NASA/TM--2002-211497

Surface Characterization Techniques:

An Overview

Kazuhisa Miyoshi

Glenn Research Center, Cleveland, Ohio

July 2002
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NASA/TM--2002-211497

Surface Characterization Techniques:

An Overview

Kazuhisa Miyoshi

Glenn Research Center, Cleveland, Ohio

National Aeronautics and

Space Administration

Glenn Research Center

July 2002
The Aerospace Propulsion and Power Program at

NASA Glenn Research Center sponsored this work.

NASA Center for Aerospace Information

7121 Standard Drive

Hanover, MD 21076

Available from

National Technical Information Service

5285 Port Royal Road

Springfield, VA 22100

Available electronically at h__GLTRS
Contents

1. Introduction ................................................................ 1

2. Why Surface Characterizations? ................................................ 2

2.1 Nature of Real Surfaces ................................................ 2

2.2 Surface Characterization Techniques ..................................... 2

3. Shape of Solid Surfaces ....................................................... 8

3.1 Surface Topography .................................................. 8

3.2 Surface Metrology Techniques (Surface Profile Probes) ...................... 8

3.2.1 Optical Profiler (Interfemmeter) ................................. 8

3.2.2 Confocal Microscope ......................................... 10

3.2.3 Scanning Probe Microscopes .................................. 11

3.2.4 Stylus Profiler (Mechanical Profiler) ............................ 12

3.2.5 Stereo Microscope ........................................... 12

4. Hardness of Solid Surfaces .................................................... 12

4.1 Hardness as Mechanical Properties Measure .............................. 12

4.2 Hardness Measurements as Mechanical Properties Probes .................... 13

4.2.1 Nanohardness Measurement ................................... 15

4.2.2 Indentation Microhardness Measurement ......................... 16

4.2.3 Scralch Micmhardness Measurement ............................ 22

5. Elemental Composition and Chemical State of Solid Surfaces ........................ 25

5.1 SEM and EDS ...................................................... 27

5.2 AES and XPS ...................................................... 28

6. Case Study: Characterization of Diamond Films and Coatings ........................ 29

6.1 Introduction and Background .......................................... 29

6.2 CVD Diamond Film Deposition Technology .............................. 30

6.3 Measurement and Characterization of CVD Diamond ....................... 31

6.4 Electron Microscopy, Stylus Pmfilometry, and Atomic Force Microscopy ....... 31

6.5 X-Ray Diffraction and Electron Diffraction ............................... 33

6.6 Raman Spectroscopy ................................................. 35

6.7 Rutherford Backscattering Spectroscopy and Elastic Recoil Spectroscopy ....... 36

6.8 Friction Measurement ................................................ 37

6.8.1 Humid Air and Dry Nitrogen Environments ...................... 37

6.8.2 Ultrahigh Vacuum Environment ................................ 38

6.9 Summary of Remarks ................................................ 41

7. Concluding Remarks ........................................................ 42

References .................................................................. 42

NASAFFM--2002-211497 iii
Surface Characterization Techniques: An Overview

Kazuhisa Miyoshi

National Aeronautics and Space Administration

Glenn Research Center

Cleveland, Ohio 44135

To understand the benefits that surface modifications provide, and ultimately to devise better ones,

it is necessary to study the physical, mechanical, and chemical changes they cause. This chapter surveys

classical and leading-edge developments in surface structure and property characterization methodologies. The primary emphases are on the use of these techniques as they relate to surface modifications,

thin films and coatings, and tribological engineering surfaces and on the implications rather than the

instrumentation.

1. Introduction

As soon as one is confronted with a system where surface properties are involved, one is in trouble.

The difficulty with surfaces in most practical situations is that conditions above, at, and below the engineering surface are extremely complex.

The properties of modified engineering surfaces in practical applications can be determined by material and surface analytical techniques (1). Material and surface analyses are evolutionary disciplines. A

number of analysis techniques are available for studying modified surfaces, thin films, and coatings from

the atomic and electronic levels to macroscopic, engineering-component levels. Such techniques include

a variety of physical, chemical, material, and mechanical characterizations. They can provide information

that will allow one to select the materials, surface treatments (surface modification techniques and conditions), thin films and coatings, and environments best suited for a particular technical application.

Most materials used in high-technology applications (ranging from high-temperature oxidation, corrosion, thermal insulation, erosion, and wear to hydrophobicity, low adhesion (no stick), and low friction)

have a near-surface region with properties differing greatly from those of the bulk material. In general,

surface modifications or protective surface coatings (thermal barrier coatings, environmental barrier coatings, and mechanical barrier coatings) are desirable or may even be necessary for a variety of reasons,

including unique properties, light weight, engineering and design flexibility, materials conversion, or

economics. These objectives can be attained by separating the surface properties from the bulk material

properties (2, 3).

Surface characterization (diagnostic) techniques are now available for measuring the shape; chemical, physical, and micromechanical properties; composition; and chemical states of any solid surface

(1, 4-8). Because the surface plays a crucial role in many thermal, chemical, physical, and mechanical

processes, such as oxidation, corrosion, adhesion, friction, wear, and erosion, these characterization

techniques have established their importance in a number of scientific, industrial, and commercial fields

(1, 4-8).

This chapter deals with the application of surface characterization techniques to the development of

advanced surface modification technology and processes and of tribological coatings and films. These

techniques can probe complex surfaces and clarify their interactions in mechanical systems and processes. The primary emphases are on the use of these techniques as they relate to surface modifications,

thin films and coatings, and tribological engineering surfaces and on the implications rather than the instrumentation. Finally, a case study describes the methodologies used for surface property measurements

and diagnostics of chemical-vapor-deposited diamond films and coatings.

NASA/TM--2002-211497 1
2. Why Surface Characterizations?

2.1 Nature of Real Surfaces

A surface, by definition, is an interface, a marked discontinuity from one material to another. Because

no change in nature is ever instantaneous, any real surface has a finite depth, and in characterizing a surface one must at some point consider just what this depth is.

Almost all surfaces of bulk substrate materials that are prepared by mechanical techniques contain

defects resulting from plastic deformation, fracture, heating, and contamination. Even cleavage faces are

rarely defect free. Mechanically abraded, polished, ground, or machined metal, polymer, and ceramic

surfaces are extremely rough on an atomic scale, and crystalline structure is distorted. All surfaces contain irregularities, or hills and valleys, which are called surface texture and surface topography. Even in

cleaved surfaces of single-crystal materials there are cleavage steps. Surface topography is a permanent

record of the deformation and fracture process and provides a materials engineer or scientist with valuable

information on the surface properties of materials and coatings.

In addition to the presence of irregularities, commonly called asperities, the solid surface itself is

covered with thin contaminant layers of atomic dimensions (-2 nm thick). These contaminant layers are

unavoidably present on every surface of any solid matter that has been exposed to air. In other words, the

simplest and most common occurrence recognized with real surfaces is that nearly all contain physically

or chemically adsorbed material, such as gases, water vapor, and hydrocarbons, that has formed through

interaction with the environment. Various hydrocarbons are detected if the component has been near

operating machinery because lubricating or processing oils vaporize. Sometimes oxide layers of various

depths are present beneath the surface contaminants. Knowledge of the contaminant and oxide layers is

of great interest to materials engineers and scientists in surface modifications, thin films and coatings,

and tribology as modern technology tries to improve material properties, such as coefficient of friction

and resistance against wear, erosion, oxidation, and corrosion in near-surface regions.

Almost every industrial process involves--even depends on--the behavior of a surface. The surface

region, which affects a broad spectrum of properties, such as oxidation, corrosion, chemical activity,

deformation and fracture, surface energy and tension, adhesion, bonding, friction, lubrication, wear, and

contamination, encompasses the first few hundred atomic layers. All surfaces obey the laws of physics

and chemistry in their formation, reactions, and combinations. Because any major discontinuity in the

solid affects the electronic energy states, effects also arise from surface energy and tension.

The surface structure and chemistry of a thin film, coating, or modified surface region from a bulk

substrate material to a surrounding environment include (a) the single-crystal bulk substrate with defects

or the polycrystalline bulk substrate with grain boundaries, (b) a deformed (worked) layer, (c) the coating

or modified layer, (d) an oxide layer covered by adsorbed contaminants, and (e) the surrounding environmental species. To understand this surface region, it is first necessary to know how the individual parts

from (a) to (d) perform in the mechanical, chemical, and physical processes.

2.2 Surface Characterization Techniques

Although a wide range of physical and chemical surface analysis techniques is available, certain

traits common to many of them can be classified from two viewpoints. Most techniques involve electrons,

photons (light), x-rays, neutral species, or ions as a probe beam striking the material to be analyzed. The

beam interacts with the material in some way. In some techniques the changes induced by the beam

(energy, intensity, and angular distribution) are monitored after the interaction, and analytical information

is derived from observing these changes. In other techniques the information used for analysis comes

NASA/TM--2002- 211497 2
from electrons, photons, x-rays, neutral species, or ions that are ejected from the specimen under the

stimulation of the probe beam. In many situations several connected processes may be going on more or

less simultaneously, with a particular analytical technique picking out only one aspect (e.g., the extent of

incident light absorption or the kinetic energy distribution of ejected electrons).

Further, many mechanical techniques are available for assessing the surface roughness and micromechanical properties of material surfaces. Most techniques in this category involve mechanical contacts

between a probe and a material surface.

Table 1 briefly summarizes the popular analytical techniques available today for studying the properties and behaviors of solid surfaces:

Technique

TABLE 1.--POPULAR ANALYTICAL TECHNIQUES FOR SURFACE, THIN FILM, INTERFACE, AND BULK

ANALYSIS OF COATINGS, MODIFIED SURFACE LAYERS, AND MATERIALS

(a) Profilometry and quantitative measurements of film thickness, plastic deformation, and fracture

Main information Vertical resolution Lateral resolution

Optical

profiler and

laser

interferometry

Confocal

microscopy

Optical

scatterometry

Light

microscopy

(general)

Stylus

profilometry

Scanning

tunneling

microscopy

(STM)

3D and 2D imaging

Morphology

Profilometry

Topographic mapping

Film thickness

Wear volume

Scar and crater depth

Defects

3D and 2D imaging

Morphology

Profilometry

Topographic imaging

Film thickness

Wear volume

Scar and crater depth

Defects

Profilometry

Topographic

imaging/mapping

Periodic structure

Morphology

Defects

Imaging

Morphology

Damages

Defects

Profilometry

Topographic tracing

Film thickness

Morphology

Scar and crater depth

Wear volume

Topographic imaging

Compositional

mapping

Morphology

Profilometry

Film thickness

Spectroscopy

Structure

Defects

(depth probed,

typical)

-0.1 nm

Variable from a

few nm to a few

gm

_>0.1 nm

Variable

0.5 nm

Types of

(typical)

A few sub gm to a

few tens of gm

Optical, 0.5 to 4 gm;

SEM, 1 to 50 gm

A few sub _tm to a

few tens of _tm; _>

laser wavelength )_/2

for topography

Variable

solid

specimen

(t_pical)

All

Almost all

Almost all

All

Almost all;

flat smooth

films

100 nm

<0.03 to 0.05 nm Atomic Conductors

damage

Use

(popularity)

Medium

Medium

Not

common

Extensive

Extensive

Medium

aThe vertical resolution is a measurement of the technique's ability to clearly distinguish a property as a function

of depth.

NASA/TM--2002-211497 3
TABLE1.--CONTINUED.

(a)Concluded.

Technique

Atomicforce

microscopy

(AFM)or

scanningforce

microscopy

(SFM)

Variable-angle

spectroscopic

ellipsometry

(VASE)

X-ray fluorescence

(XRF)

Maininformation

Topographic imaging Frictionforce

mapping

Morphology

Profilometry Filmthickness

Wearvolume

Scarandcrater

depth

Structure

Defects

Filmthickness

Microstructure

Optical properties

Filmthickness(1to

104nm)

Element composition

(qualitative

mapping)

Vertical

resolution(depth

probed, typical) a

<0.03to0.05nm

Tensofnmtogm

10gm

Lateralresolution

(typical)

Atomicto1nm

Millimeter

10to150gm

Typesof solid

specimen

(typical) All

Planar

surface

and

interface

Allbut

low-Z

elements:

H,He,

andLi

aTheverticalresolutionisameasurement ofthetechnique's abilitytoclearlydistinguishapropertyasa

functionofdepth.

Use

(popularity)

Medium

Medium

Extensive

Technique

Mechanical

strength

microprobe

(microhardness

measurements)

Mechanical

strength

microprobe

(nanohardness)

Micrometer and

nanometer

scratch

hardness

measurements

TABLE 1.--CONTINUED.

)) Surface microprobes for hardness and mechanical stren;

Main information Vertical Lateral resolution

Microscale

hardness

Creep deformation

Plastic deformation

Fracture toughness

Strength

Anisotropf

Nanoscale hardness

Young's modulus

Creep deformation

Fracture toughness

Strength

Anisotropf

Adhesion failure of

thin films and

coatings

Abrasion resistance

Scratch hardness

Deformation

Friction

Fracture

Strength

Anisotropy

resolution

(depth probed,

_pical) a

0.3 nm

0.3 nm

0.3 nm

(typical)

Variable; atomic

to a few tens of

gm using STM,

SFM, AFM, or

optical

microscopy

Atomic to 1 nm

using STM, SFM,

or AFM

Variable; atomic

to a few tens of

gm using STM,

SFM, AFM, or

optical

microscopy

th measurements

Types of

solid

specimen

(t-fpical)

All

All

All

Use

(popularity)

Extensive

Medium

Medium

"The vertical resolution is a measurement of the technique's ability to clearly distinguish a property as a

function of depth.

NASA/TM--2002- 211497 4
Technique

Scanning electron

microscopy (SEM)

Electron probe

x-ray microanalysis

(EPMA)

Energy-dispersive

x-ray spectroscopy

(EDS) or wavelengthdispersive x-ray

spectroscopy (WDS)

High-resolution

electron energy-loss

spectroscopy (EELS)

Auger electron

spectroscopy (AES)

X-ray photoelectron

spectroscopy (XPS)

Fourier transform

infrared spectroscopy

(FTIR)

Raman spectroscopy

TABLE 1.--CONTINUED.

(c) Elemental corn )osition and chemical state measurements

Main information

Imaging

Morphology

Elemental composition

Damages

Defects

Crystallography

Grain structure

Magnetic domains

Elemental composition

SEM imaging

Compositional mappin8

Elemental composition

(Z > 5; boron to

uranium)

Spectroscopy

Imaging and mapping

Elemental composition

Chemical state

Bonding state

Ima_in_

Elemental composition

(except H and He)

Chemical state

Depth profiling

Ima_in_ and mappin_

Elemental composition

Chemical state

Depth profiling

Ima_in_ and mappin_

Chemical species

Stress

Structural inhomogeneity

Defects

Ima_in_ and mappin_

Identification of

unknown compounds

Chemical state

Bonding state

Structural order

Phase transitions

Imaging and mapping

Vertical

resolution

(depth probed,

typical) a

Variable from a

few nm to a few

tim

1 _tm

0.02 to 1 btm

2 nm

0.5 to 10 nm

A few to several

nm

10 nm to btm's

Few btm to mm

Lateral resolution

(typical)

1 to 50 nm in

secondary

electron mode

0.5 to 1 btm

0.5 to 1 btm for

bulk specimens;

as small as 1 nm

for thin

specimens

1 mrn _

A few tens of nm

or less

5gmto5mm

20 btm to 5 mm

1 btm

Types of

solid

specimen

(typical)

Conductors

and coated

insulators

All

All

Ultra-highvacuumcompatible

solids

Ultra-highvacuumcompatible

solids

Ultra-highvacuumcompatible

solids

All (solid,

liquid, or

gas in all

forms)

Solids,

liquids,

gases, and

thin films

Use (popularity)

Extensive

Medium

Medium

Not common

Extensive

Extensive

Extensive

Medium

arhe vertical resolution is a measurement of the technique's ability to clearly distinguish a property as a function

of depth.

NASA/TM--2002-211497 5
Technique

Solid-state

nuclear

magnetic

resonance

(NMR)

Rutherford

backscattering

spectrometry

(RBS)

Elastic recoil

spectroscopy

(ERS)

Secondary ion

mass

spectroscopy

(SIMS)

Ion scattering

spectroscopy

(ISS)

Main information

Chemical state

Phase identification

Disordered state

Elemental composition

Structure

Defects

Hydrogen

concentrations in

thin films

Depth profiling

Chemical state

Imaging

Elemental composition

Elemental composition

(outermost

monatomic layer)

Imaging (limited)

TABLE 1 .--CONTINUED.

(c) Concluded.

Vertical

resolution

(depth probed,

t'/pical) a

2 to 30 nm

Varies with

depth; 30 to

60 nm at depth

100 nm in Si

0.3 to 2 nm

0.3 nm

Lateral

resolution

(typical)

1 to 4 mm;

1 btm in

specialized

case

1 to 4 mm

10 nm to 2 btm

Types of solid

specimen

(typical)

All; not all

elements

Ultra-highvacuumcompatible

solids

Ultra-highvacuumcompatible

solids

All; vacuumcompatible

solids

Use

(popularity)

Not common

Medium

Medium

Extensive

150 btm All; vacuumcompatible

solids

Not common

aThe vertical resolution is a measurement of the technique's ability to clearly distinguish a property as a

function of depth.

NASA/TM--2002- 211497 6
Technique

X-raydiffraction

(XRD)

Low-energy electrondiffraction

(LEED)

Transmission

electronmicroscopy

(TEM)

Reflectionhighenergyelectron diffraction

(RHEED)

Cathodoluminescence(CL)

Photoluminescence

(PL),or fluorescence

spectrometry

TABLEI.--CONCLUDED.

(d)Microstructure, c

Maininformation

Crystallinephases Strain

Crystallite orientationadsize

Atomicarrangements

Defectimaging

Concentration depth

profiling Filmthickness

Surface

crystallography and

microstructure

Surfacecleanliness

Surfacedisorder

Imaging

Atomicstructure

Microstructure

Crystallographic structure

Defects

Imagingandmapping

Morphology

Chemical bonding

Surfacecrystal

structure

2Dand3Ddefects

'stallo_raph_, phase, and defects measurements

Vertical Lateral resolution Types of solid

resolution (typical) specimen (typical)

(depth

probed,

typical) a

A few btm

-0.4 nm

None

2 to 10 nm

None; -10 btm

with microfocus

0.1 mm (-10 btm

available)

<0.2 nm

200 btm × 4 mm

Use

(popularity)

All Extensive

Single-crystal

conductors and

semiconductors

Insulators and

polycrystalline

specimens under

special

circumstances

Conductors,

semiconductors,

and coated

insulators

Single-crystal

conductors and

semiconductors

All

All (solid or liquid)

Medium

Medium

Medium

Chemical state 10 nm to btm 1 btm Not

Defects common

Band gaps 0.1 to 3 btm 1 to 2 btm Medium

Defects

Impurity structure

Chemical state

Imaging and mapping

aThe vertical resolution is a measurement of the technique's ability to clearly distinguish a property as a function of

depth.

1. Profilometry and quantitative measurements of film thickness, plastic deformation, and fracture

damage

2. Surface microprobes for hardness and mechanical strength measurements

3. Elemental composition and chemical state measurements

4. Microstructure, crystallography, phase, and defect measurements

The table allows quick access to what types of information are provided by these analytical techniques. Also, it provides the typical vertical resolution (or depth probed), typical lateral resolution,

typical types of solid specimen, and popularity. The reader will find the basic principles and instrumentation details for a wide range of analytical techniques in the literature (e.g., 4-9). However, the analytical

instrumentation field is moving rapidly and within a year current spatial resolutions, sensitivities, imaging

and mapping capabilities, accuracies, and instrument costs and sizes are likely to be out of date. Therefore, these references should be viewed with caution. This table should be used as a quick reference guide

only.

NASA/TM--2002-211497 7
3. Shape of Solid Surfaces

3.1 Surface Topography

The world of the engineer is made of solids whose surfaces acquire their texture (surface roughness,

waviness, and lay) from many processes, such as surface modification, coating, thin film deposition, cutting, grinding, lapping, polishing, etching, peening, sawing, casting, molding, and calendering (10, 11).

Surface topography, or roughness, has a great influence on the surface properties and phenomena of

materials, such as surface area, thermal conductivity (or heat contact resistance), electrical conductivity

(or electrical contact resistance), bearing area, wear, erosion, corrosion, adhesion, and friction. Surface

roughness is an important parameter in characterizing engineering surfaces used in industrial and commercial applications. Surface texture controls the performance of the product.

Profiles of engineering surfaces usually contain three major components: roughness, waviness, and

errors of form or lay (10, 11). Roughness consists of closely spaced irregularities, the height, width, and

direction of which create the predominant surface pattern. Roughness includes those surface features

intrinsic to the production process. Waviness encompasses surface irregularities of greater spacing than

roughness. Waviness is often the result of heat treatment; machine, workpiece, or specimen deflections;

vibrations; or warping strains. Errors of form are gross deviations from the nominal or ideal shape. They

are not normally considered part of the surface texture.

Surface roughness occurs at all length scales. The size range of contaminant particles in the environment is enormous. Such particles include human particles (hair, skin flakes), combustion products

(smoke, fly ash), and particles produced by abrasion (machining, car tires, sand). In general, any system

involving fluid bearings is susceptible to contaminant particle damage. The dimensions of microelectromechanical systems and the flying heights of magnetic hard-disk drives range from tens of micrometers

down to a few tens of nanometers. The scale of the world in tribology is essentially determined by the size

of the contact areas between surfaces. The diameters of contact areas range from about 100 bun down to

less than 1 nm, similar to the height range of surface features. The width of that range is large and so is

the depth of the worked (deformed) layers.

The unaided eye, fingers, hand lens, optical microscope, stylus profilometer, stereo microscope,

optical profiler (interferometer), transmission electron microscope with replicas (sometimes also used in

optical microscopy), scanning probe microscopes (e.g., scanning tunneling microscope and atomic force

microscope), and scanning electron microscope (Table 1) are typically used for studying surface topography (12). Gross features, such as tool marks, isotropy of the surface texture, surface defects, and discoloration, are often best viewed with the unaided eye. Such viewing is rapid and versatile, allows large

areas to be examined, and generally prevents details from obscuring the overall pattern. Also, surface

texture and roughness are virtually felt with the fingers as they touch a solid surface. The hand lens (e.g.,

10X) extends the eye's capability without much loss of speed or surface inspection area. The optical

microscope remains one of the most useful and cost-effective tools, in terms of initial cost as well as

speed, effectiveness, and versatility of use.

3.2 Surface Metrology Techniques (Surface Profile Probes)

3.2.1 Optical Profiler (Interferometer).--The single most useful tool available today to surface

engineers and tribologists interested in studying surface damage, erosion, and wear of engineering

surfaces is undoubtedly the optical profiler. The optical profiler (noncontact, vertical-scanning, whitelight interferometer and noncontact, vertical-scanning, laser interferometer) can profile an extremely

wide range of surface heights and measure surface features without contact (13). It characterizes and

quantifies surface roughness, step heights, bearing ratio, height distribution, critical dimensions such

as area and volume of damage, eroded craters, and wear scars, and other topographical features. It has

NASA/TM--2002- 211497 8
three-dimensional profilingcapabilitywithexcellentprecisionandaccuracy; forexample, profileheights

rangingfrom<1nmto5000_rnatspeedsto10_m/swith0.1-nmheightresolutionandprofileareasas

largeas50by50mmor100by 100mm.

Lightreflectedfromthesurfaceofinterestinterfereswithlightfromanopticallyflatreferencesurface.Deviationsinthefringepatternofbrightanddarklinesproducedbytheinterferencearerelatedto

differencesin surfaceheight.If animagingarrayisused,three-dimensional informationcanbeprovided.

Ingeneral,opticalprofilershavesomeadvantages--nondestructive measurement, nospecimenpreparation,andshortanalysistimeunderambientconditions--butalsosomedisadvantages. If thesurfaceistoo

rough(roughnessgreaterthan1.5mm),theinterferencefringescanbescatteredtotheextentthattopographycannotbedetermined. If morethanonematrixisinvolved(e.g.,multiplethinfilmsonasubstrate),

orif thespecimenispartiallyortotallytransparent tothewavelengthofthemeasurement system,measurement errorscanbeintroduced. Multiple-matrixspecimenscanbemeasuredif coatedwithalayerthat

isnottransparent tothewavelengthoflightused.

Theshapeofasurfacecanbedisplayedbyacomputer-generated mapdevelopedfromdigitaldata

derivedfromathree-dimensional interferogramofthesurface.Computerprocessingandfrequency

domainanalysisresultinaquantitativethree-dimensional image.Suchamapshowsdetailsof individual

featuresandalsothegeneraltopographyoveranareaanddescribessurfaces. Figure1showsopticalinterferometryimagestakenfromthedamagedsurfaceofatypicalnickel-basesuperalloypinaftercontact

withagammatitaniumaluminideflat(Ti-48A1-2Cr-2Nbinatomicpercent)underfretting.Clearly,the

surfacedamageconsistedof depositedcounterpart material(materialtransfer),pits,grooves,fretting

craters,wearscars,andplasticdeformation. Also,thecombinationofdatatakenfromtheopticalprofilometry,scanningelectronmicroscopy(SEM),andx-rayanalysisusingenergy-dispersive x-rayspectroscopy(EDS)(orwavelength-dispersive x-rayspectroscopy(WDS)couldbeused)verifiedthepresenceof

Ti-48A1-2Cr-2Nbonthenickel-basesuperalloypin(Fig.2).TheTi-48A1-2Cr-2Nbfailedeitherintension

orinshearbecausesomeoftheinteffacialadhesivebondswerestrongerthanthecohesivebondsinthe

Ti-48A1-2Cr-2Nb. In thisfrettingwearandfatiguestudythefailedTi-48A1-2Cr-2Nbdebrissubsequently

transferredtothenickel-basesuperalloysurfaceinamountsrangingfrom10to60%ofthenickel-base

superalloycontactareaatallfrettingconditions.ThethicknessofthetransferredTi-48A1-2Cr-2Nbranged

upto50gm.Thequantitativevolumeandthicknessof thetransferredmaterialweredirectlyprocessedby

thecomputer.

0.458

_tm

5.35

4.50

4.00

!i!_!!!, ' 3.50

_ 3.00

i_iii_i_2.50

iiiiiiiiii' 2.00

1.50

iiiiii 1.00 N-0.50

N -1.00

-150

-2.15

(a) (b)

14 0.603 mm _I

Figure 1.--Optical interferometry images of damaged surface of nickel-base superalloy pin fretted against

gamma titanium Numinide flat (Ti-48AI-2Cr-2Nb in atomic percent) in air. Fretting frequency, 50 Hz;

slip amplitude, 150 _tm; number of fretting cycles, 1 million; load, 30 N; temperature, 823 K. (a) Threedimensional view. (b) Side view. Volume of material transferred, 1.35xl 05 pro.

NASA/TM--2002-211497 9
50xl 03

/ Ti Ni

"E 40 Cr ._ Fe

2o

0 __L!___L__: _________ ..........L_:___:___ __L_:.________L.................L_______i[ ............

0 2 4 6 8 10 12 14

Electron energy, keV

(a) (b)

Figure 2.--SEM backscattered electron image (a) and x-ray energy spectrum (b) of wear scar on

nickel-base superalMy pin fretted against Ti-48AI-2Cr-2Nb flat in air at 823 K. Fretting frequency,

80 Hz; slip amplitude, 50 Hm; number of fretting cycles, 1 million; load, 1.5 N; temperature, 823 K.

_m

ii T,02

iiii!iiiii!!ii; 0.0

l 0.0

g15.0

w-16.7

Figure 3.--Optical interferometry three-dimensional

image of damaged surface of gamma titanium

Numinide (Ti-48AI-2Cr-2Nb) flat fretted against

nickN-base superalloy pin in air. Fretting frequency,

50 Hz; slip amplitude, 200 _m; number of fretting

cycles, 1 million; load, 30 N; temperature, 296 K.

107

E

-_.106

e3

o

O

E 105

104

0

Temp_ature,

o 296

[] 823 O

[]

[] 0

F_

0

[] 0

.................... [...................... 1...................... [................. J

50 100 150 200

Slip amplitude, _tnn

Figure &--Wear volume loss as function of

slip amplitude, measured by optical interferometry for Ti-48AI-2Cr-2Nb flat fretted

against nickel-base superNMy pin in air.

Fretting frequency, 50 Hz; number of

fretting cycles, 1 million; load, 30 N.

Figure 3 presents a three-dimensional view of the Ti-48A1-2Cr-2Nb wear scar at a slip amplitude

of 200 gm and a temperature of 296 K. In the wear scar are large, deep grooves where the wear debris

particles have scratched the Ti-48A1-2Cr-2Nb surface in the slip direction under fretting. The volume

loss of this particular wear scar, calculated from the three-dimensional image, was 4.8× 106 gm 3.

Figure 4 shows the volume loss measured by the optical interferometer as a function of slip amplitude

for Ti-48A1-2Cr-2Nb in contact with nickel-base superalloy at temperatures of 296 and 823 K. The fretting wear volume generally increased as the slip amplitude increased. An increase in amplitude tends to

produce more metallic wear debris, causing severe abrasive wear in the contacting metals, as shown by

Fig. 4.

3.2.2 Con focal Microscope.--The popularity of confocal microscopy in characterizing surface damage, such as surface cracks, fracture pits, wear scars and craters, scratches, oxides and debris, and material

transfer, arises from its ability to produce blur-free, crisp images of thick specimens at various depths

(7, 14). This method improves resolution and contrast by eliminating scattered and reflected light from

out-of-focus planes. In contrast to a conventional microscope, apertures are used to eliminate all light but

NASA/TM--2002- 211497 10
that from the focused plane on the specimen; a confocal microscope projects only light coming from the

focal plane of the lens. Light coming from out-of-focus areas is suppressed. An extended-focus image is

obtained by recording the maximum signal at the focal setting, without sacrificing the lateral resolution.

Thus, information can be collected from very defined optical sections perpendicular to the microscope

axis. Confocal imaging can be performed only with point-wise illumination and detection, which is the

most important advantage of using confocal laser scanning microscopy (15). Confocal optics gives a high

resolution (e.g., 0.25 gm), far exceeding that of normal light microscopes. The confocal microscope can

optically section thick specimens in depth, generating stacks of images from successive focal planes. Subsequently, the stack of images can be used to reconstruct a three-dimensional view of the specimen. The

brightness of a pixel depends on the intensity of the light measured from that point in the specimen. Like

the optical interferometry system, an image of the whole area of interest is collected either by moving the

specimen on computer-controlled scanning stages in a raster scan or moving the beam with scanning mirrors to move the focused spot across the specimen in a raster scan. In either case, the image is assembled

pixel by pixel in the computer memory as the scan proceeds. The resolution obtained with the confocal

microscope can be a factor of 1.4 better than the resolution obtained with the microscope operated conventionally. By memorizing the stage position at maximum intensity with respect to each scanned pixel,

noncontact surface profiling is possible. The measuring range and repeatability for surface profiling can

be from 0.1 to 600 gm and 0.03 gm at 1 (J, respectively.

3.2.3 Scanning Probe Microscopes.--Scanning probe microscopes (12, 16) can be considered as

derivatives of the stylus profilometer (Table 1). One popular variant is the scanning tunneling microscope

(STM). Another is the atomic force microscope (AFM), also called a scanning force microscope (SFM).

Scanning Tunneling Microscope: In this technique a tip is brought to within 1 nm of the specimen

surface, and a small bias voltage of typically 0.01 to 1 V is applied between them. Under these conditions

electrons can penetrate the potential barrier between a specimen and a probe tip, producing an electron

tunneling current that varies exponentially with tip-to-surface spacing. If the tip-to-surface spacing increases (or decreases) by 0.1 nm, the tunneling current decreases (or increases) by about a factor of 10.

Therefore, the tunneling current is a sensitive function of tip-to-surface spacing. In most cases, a single

atom on the tip will image the single nearest atom on the specimen surface. This tunneling current is the

imaging mechanism for the scanning tunneling microscope. A piezoelectric scanner is usually used as an

extremely fine positioning stage to move the probe over the specimen (or the specimen under the probe).

Clearly, this technique works only with conducting and semiconducting materials. With insulating materials one can add conducting coatings.

Atomic Force Microscope: An atomic force microscope, instead of using the electron tunneling current to measure the tip-to-surface distance, can measure the force of interaction between a specimen surface and a sharp probe tip. The tip, a couple of micrometers long and often less than 10 nm in diameter,

is located at the free end of a cantilever 100 to 200 mm long. When the tip comes within a few angstroms

of the specimen surface, repulsive van der Waals forces between the atoms on the tip and those on the

specimen cause the cantilever to deflect, or bend. A detector, such as the position-sensitive photodetector

measures the cantilever deflection as the tip is scanned over the specimen or the specimen is scanned

under the tip. As a piezoelectric scanner gently traces the tip across the specimen (or the specimen under

the tip), the contact force causes the cantilever to bend to accommodate changes in topography. The

measured cantilever deflections allow a computer to generate a map of surface topography.

Atomic force microscopes can be used to study insulating and semiconducting materials as well as

electrical conducting materials. Most atomic force microscopes currently used detect the position of the

cantilever with optical techniques. The position-sensitive photodetector itself can measure light displacements as small as 1 nm. The ratio of the path length between cantilever and detector to the length of the

cantilever itself produces a mechanical amplification. As a result, the system can detect even 0.1-nm

vertical movements of the cantilever tip. Other methods of detecting cantilever deflection rely on optical

interference, a scanning tunneling microscope tip, or piezoresistive detection (fabricating the cantilever

from a piezoresistive material).

NASA/TM--2002-211497 11
The shape of a surface can be displayed by a computer-generated map developed from digital data

derived from many closely spaced parallel profiles taken by this process. Such a map shows details of

individual features and also the general topography over an area and describes surfaces. Many engineering surfaces have height distributions that are approximately Gaussian (i.e., they can be described by the

normal probability function). It is also useful to describe surfaces in terms of the integral of the distribution (bearing ratio), which gives the fraction of the surface at or below each height. The well-known

Abbott's bearing curve, which gives the contact area that would exist if the hills were worn down to the

given height by an ideally flat body, is the fraction of the surface at or above each height. Many modem

surface analyzers provide chart or video displays of height histogram and bearing ratio (Abbott's bearing

curve or bearing area curve) as standard features. (See Fig. 24, on page 34.)

3.2.4 Stylus Profiler (Mechanical Profiler).--Today the stylus profiler (contact measurement) is

most widely used for measuring surface roughness and analyzing surface topography. The stylusbased metrology system provides long profile measurements and large surface feature measurements.

A diamond stylus with a tip radius of a few micrometers moves up and down as it is dragged across a

specimen surface. This up-and-down motion effectively replicates the surface topography. Lateral resolution depends on the stylus radius. If the radius of curvature of the surface of interest is smaller than the

radius of curvature of the stylus, the measurement will not satisfactorily reproduce the surface. The typical stylus radius is about 3 bun, but smaller radii down to submicrometer sizes are available. The load applied to the stylus is usually in the millinewton range. In spite of the light loads used, however, the contact

pressure is on the order of gigapascals and is sufficiently large to damage surfaces. Sampling distance

ranges from tens of micrometers to tens of millimeters. No specimen preparation is required, almost

any specimen regardless of engineering material can be measured rapidly, and results can be obtained

in seconds. The stylus profiler provides somewhat limited two-dimensional information. For threedimensional topographical information, consecutive line scans are needed. This procedure can be quite

time consuming.

3.2.5 Stereo Microscope.--The stereo microscope allows for three-dimensional viewing of specimens, a stereogram, or a pair of stereo pictures taken by an optical or scanning electron microscope.

Stereo imaging consists of two images taken at different angles of incidence a few degrees apart. Stereo

imaging, in conjunction with computerized frame storage and image processing, can provide threedimensional images with the quality normally ascribed to optical microscopy.

Scanning Electron Microscope: The scanning electron microscope produces micrographs with

sufficient resolution to reveal individual features (lateral resolution of 1 to 50 nm in the secondary electron mode at sampling depths from a few nanometers to a few micrometers, depending on the accelerating

voltage and the analysis mode) and yet with a large enough field of view that the interrelation of many

such features can be seen. In practice, however, the scanning electron microscope has three disadvantages: specimen size is limited to 10 cm or smaller, roughness cannot be quantified, and specimens must

be vacuum compatible. Cleaving the specimen and taking a cross-sectional view can measure surface

features best.

Light Microscope: The light microscope uses the visible or near-visible portion of the electromagnetic

spectrum. The technique involves, at its very basic level, the simple, direct visual observation of a specimen with white-light resolution to 0.2 gm. The surface morphology, color, opacity, and optical properties

are often sufficient to characterize and identify a material and its surface.

4. Hardness of Solid Surfaces

4.1 Hardness as Mechanical Properties Measure

Hardness measurements are a quick, reliable means of quantifying the mechanical properties and

performance of modified surfaces, thin films and coatings, and engineering materials. Hardness values

NASA/TM--2002- 211497 12
measuredwithaspecificmethodrepresent ascalebythemselves, evaluatingthemechanical properties

andallowingthecomparisonofmaterials(17).Hardnessmeasurements canquicklyyieldquantitative

informationabouttheelastic,anelastic, plastic,viscous,andfracturepropertiesof agreatvarietyof both

isotropicandanisotropicsolids.Hardnessmeasurements canbeusedtodeterminethehardness, yield

strength,andfracturetoughnessof amaterialinanondestructivemanner.Thetoolsusedaresimpleand

thespecimensizesneededaretypicallysmall,sometimessubmicroscopic. It isnotnecessarytohave

largespecimenstomeasurestrengthproperties, andit ispossibletomeasurethepropertiesofvarious

microscopicparticleswithinthematrixphaseof apolyphase(multiplephase)metal,polymer,mineral,

orceramicmaterialaswellasacoatedmaterial.Therefore, hardnessmaybeconsideredtobeastrength

microprobe(J.J.Gilman'swordsin(18))oramechanical propertiesmicroprobe.

4.2 Hardness Measurements as Mechanical Properties Probes

The wide variety of hardness measurement methods may be classified as in Table l(b) and Table 2

(19, 20). Many indenters are available for use in hardness measurements. Figure 5 presents the indenters

(Vickers, Berkovich, and Rockwell) most commonly used for microhardness and nanohardness measurements. Table 3 briefly describes each commonly used indenter and its uses (20, 21, 22). The effective

included angle of an indenter plays an important role in hardness testing. Some indenters are better than

others for specific tasks. Most indenters used in engineering practice are nearly blunt. The indenter, being

made of diamond, suffers little deformation during the indentation, and the constraint developed is essentially elastic.

Figure 5.--Commonly used indenters for mJcrohardness and nanohardness measurements. (a) Vickers indenter:

four-sided pyramidal tip with included angle of 136°. (b) Berkovich indenter: three-sided pyramidal tip with

included angle of 142.3°; average radius of curvature 100 to 200 nm. (c) SphericN indenter showing Flockwel[

cone diamond with tip radius of 0,2 ram.

NASA/TM--2002-211497 13
TABLE 2.--HARDNESS MEASUREMENT METHODS

Method Description

Indentation

Scratch

Plowing

Scratch with

physical

characterizations

Rebound

Damping

Cutting

Abrasion

A pyramid, ball, or cone is forced into a surface, and the load per unit area of

impression is taken as the measure of hardness (Vickers, Knoop, Berkovich,

Monotron, Brinell, and Meyer hardnesses).

It is merely observed whether one material is capable of scratching another (Mohs

and file hardnesses).

A diamond stylus is moved across a surface under controlled conditions of load and

geometry, and the hardness is determined by the width or depth of the resulting

scratch (Bierbaum, Hankins, and O'Neil hardnesses).

A diamond stylus is moved across a surface under controlled conditions of load and

geometry, and the hardness, tangential (friction) force, scratch depth, and profile are

determined from the scratch testing.

An object of standard mass and dimensions is bounced from the specimen surface, and

the height of rebound is taken as the measure of hardness (Shore scleroscope

hardness).

The change in amplitude of a pendulum having a hard pivot resting on the specimen

surface is the measure of hardness (Herbert pendulum).

A sharp tool of given geometry is caused to remove a chip of standard dimensions.

A specimen is loaded against a rotating disk and the rate of wear is taken as a measure

of hardness.

Erosion Sand or abrasive grain is caused to impinge upon the specimen surface under

standard conditions, and loss of material in a given time is taken as the measure of

hardness.

TABLE 3.--COMMONLY USED INDENTERS FOR HARDNESS MEASUREMENTS

Indenter Description

Vickers

Knoop

Berkovich

Cube

Spherical

A four-sided pyramidal tip with included angle of 136 °. In making Vickers hardness

measurements, the lengths of the diagonals of the square indentation are measured. The

Vickers hardness number is independent of the indentation size and therefore of the load.

In this it differs from the Brinell test, but for a given load the Brinell and Vickers

numbers are _enerall{z nearl{z equal, as Table 4 shows.

A rhomboidal (four-sided pyramidal) tip with included angles, subtended by the longer

and shorter edges, of 172.5 ° and 130 °, respectively, A parallelogram-shaped indentation is

formed in which the longer diagonal is about seven times the shorter diagonal. In making

Knoop hardness measurements, the longer diagonal is measured and used. The Knoop

indenter often produces satisfactory indentations in microhardness testing of a brittle

material, a material with a directional geometry to its structure, or a thin specimen.

A three-sided pyramidal tip with included angle of 142.3 °. The Berkovich indenter is the

standard for nanoindentation. Although the indentation formed is triangular, in making

nanohardness measurements, the load and indenter displacement (penetration depth) data

are recorded continuously during loading and unloading to produce a load-displacement

curve from which micromechanical properties, such as hardness and elastic modulus,

can be calculated.

A cube corner tip with included angle of 90 °. The radius of curvature for a cube corner

tip can be much smaller than that for a Berkovich tip. The sharper tips can work well for

thin films. In Bierbaum scratch hardness tests, the corner of a cube is dragged across the

specimen surface with the leading-edge diagonal inclined at an angle of 35 o to the sliding

direction.

A conical shaped tip with a spherical end. All these tips are the same except for the

radius of curvature. It is difficult to get the radius of curvature as small as that for the

three- and four-sided pyramidal tips. However, they are good scratching tips because of

the nondirectional geometry at their ends.

NASA/TM--2002-211497 14
TABLE 4.--APPROXIMATE HARDNESS CONVERSIONS

Vickers

hardness

number

900

8OO

700

600

5OO

400

300

200

100

Rockwell C

scale (1.5-kN

load)

67.0

64.0

60.1

55.2

49.1

40.8

29.8

Rockwell B scale

(1-kN load; 1.53-mm

(1/16-in.) diameter ball)

91.5

56.2

Brinell hardness

number

(30 000-N load; 10-mmdiameter ball)

564

471

370

284

190

95

Shore

scleroscope

hardness number

95

88

81

74

66

55

42

29

Table 4 compares the various scales of hardness measurement, for the convenience of conversion

from one scale to another. The values given here are approximate and only small examples. The greater

part of the data can be found in the literature (20-24). Commercial and industrial materials are often

quoted in Brinell or Rockwell hardness values. However, the scientific community tends to work mainly

with Vickers (or sometimes Knoop) microhardness and with nanohardness using a Berkovich, Vickers,

or conical indenter.

For a Brinell test using a ball of diameter D it is customary to use indentation diameters of 0.25D to

0.5D (20). The Brinell hardness test generally uses a 10-mm-diameter ball that is pressed into the specimen surface under a load of 30 kN. The Brinell hardness is inferred by comparing the load and the dimensions of the indentation. A Rockwell test infers the hardness from the depth of penetration and thus

enables a direct reading of hardness to be obtained from the instrument. Hard materials are measured on

the Rockwell C scale by using a diamond, rounded-tip cone indenter and a load of 1.5 kN. Softer materials are measured on the Rockwell B scale by using a steel ball of approximately 1.5-mm diameter and a

load of 1 kN.

In the Vickers hardness test a pyramidal-shaped indenter is pressed into the surface, the lengths of the

diagonals of indentation are measured, and then the hardness is inferred from the load and the dimensions

of the indentation (20). The loads usually are from 10 N to 1.2 kN for macrohardness measurements and

up to 10 N for microhardness measurements.

4.2.I Nanohardness Measurement.--Nanohardness measurement, such as by a mechanical properties nano-probe, is today most ideal for thin coatings, surface-modified materials, multiple-phase materials, and composites on almost any type of material: hard,

soft, brittle, or ductile. Hardness, Young's modulus, and

time-dependent indentation creep can be determined at

penetration depths as small as a few tens of nanometers.

An indenter tip, normal to the specimen surface, with

a known geometry (e.g., Berkovich or Vickers diamond

indenter) is driven into the specimen by applying an

increasing load up to some preset value. The load is then

gradually decreased until partial or complete relaxation

of the specimen has occurred. The load and displacement

are recorded continuously throughout this process to

produce a load-displacement curve from which the micromechanical properties can be calculated. The applied load

and penetration depth data can be analyzed to provide the

hardness and elastic modulus of the specimen. Figure 6, for

example, presents the load-displacement data taken for a

3000

z

2000

o

__1000

<

0 0 40 80 120 160

Indentation depth, nm

Figure &--Load-displacement data (nanohardness measurements) for tungsten

carbide/carbon multiple-layered coating

deposited on steel. From (21).

NASA/TM--2002-211497 15
120 ---

100

0..

80

ok

e60

.g2

e"-

O

4o

ok

2O

Knoop

Vickers

EEl Berkovich

Diamond Cubic BN SiC Sapphire Quartz

{111} {111} {0001} {0001} {0001}

Material

Figure 7.--Indentation hardnesses for diamond and other solid

materials. From (25).

tungsten carbide and carbon multiple-layer coating deposited on steel substrates evaluated by nanoindentation (21). The measured hardness, elastic modulus, and maximum contact depth obtained from

25 indentations of the WC/C multiple-layer coating were 11.5 _+1.2 GPa, 113.2 _+6.9 GPa, and 102.9 _+

6.8 nm, respectively (21).

The combination of a quantitative depth-sensing nano-indenter with scanning probe microscopy can

provide nanometer-scale images of indentation, revealing the imprint of the indents and other surface

features with nanometer resolution.

4.2.2 Indentation Microhardness Measurement.--Pyramidal indenters (used by Vickers, Knoop,

and Berkovich) produce square, rhombohedral, and triangular indentations, respectively, that are plastically deformed. Indentation microhardness measures the plastic strength of the material (i.e., the amount

of plastic deformation produced). All the pyramidal indenters have a further advantage in that they yield

values, in terms of units of pressure, that can be compared directly with other mechanical properties, such

as yield stress, yield strength, and Young's modulus, as described in the previous section.

It has already been established that the hardness measured for a crystalline solid is very much dependent on the indenter shape, normal load, temperature, crystallographic orientation of the material with

respect to the indented plane, and impurities. Figure 7 (25), for example, presents the median indentation

hardnesses for diamond, cubic boron nitdde, silicon carbide, sapphire, and quartz measured with Knoop,

Vickers, and Berkovich indenters. For a given crystal the Knoop hardness values are generally lowest,

and the Vickers and Berkovich indenters give similar results (25).

Spherical indenters develop tensile stresses around the contact area that encourage brittle fracture

rather than plastic flow (Figs. 8 and 9). Fracture stresses and crack patterns (Fig. 9) can be evaluated by

spherical indenters (26).

Vickers Hardness: The Vickers hardness indenter performs one of the most useful indentation

measurements. The Vickers indenter is a small diamond pyramid with an angle of 136 ° between faces

(Table 3 and Fig. 5(a)). The indents are geometrically similar regardless of load, eliminating the variation

of hardness with load except with very small loads (20, 27). The Vickers hardness H v is defined as the

load divided by the surface area of the indent. Vickers hardness can be related to the yield strength of the

material _y by H v = 2.78_y for non-strain-hardening materials (20). The microhardness test is usually

performed with the aid of a microscope, and only a very small specimen is required.

NASA/TM--2002- 211497 16
Circular

crack

i Radial !

_crack

Circular

Radial

cracks1

Figure 8.--Scanning electron micrographs of indentation and cracks on silicon carbide {0001} surface

generated by hemispherical indenter. (a) indenter radius, 0.1 nnm; load, 10 N. (b) Indenter radius, 0.02 ram;

load, 5 N. (c) indenter radius, 0.008 ram; load, 2 N.

//f

Subsurface

Plastically f

deformed zone

i

Radial crack profile / ........

Load /" ...."" \

' ._.//-- Circular

"\__ l/_,_..j,,/crackpr0f,l e .

2;"";/ /

"-_ Z J/"

, "'-@Spher'ical

I [ crack profile

Figure 9.--Schematic of hemispherical crack formation under

plastically deformed zone.

NASA/TM--2002-211497 17
Screw ii

dislocationill

10 _m

Figure lO.--Distribution of dislocation etch pits on

MgO {001} surface around indentation made by

Vickers diamond indenter at load of 0.1 N.

-oE

.m

-_5

-o N

t--O

UO

o Edge dislocation

[] Screw dislocation

400 F z_ Diagonalofindentation_

100 __- J© _cy" 0.44

80

60

40

0.5

10

8

6

4 I,I

10-1 100 101

Load, N

Figure 11.--Lengths of dislocation row and diagonal

of indentation as function of load.

The indentation process imposes a considerable hydrostatic stress on the material, a great advantage

when indenting brittle materials. The hydrostatic pressure suppresses fracture and makes an otherwise

difficult measurement routine. In other types of mechanical tests, such as bend or tensile testing, careful

machining is required so that surface defects do not create stress raisers and affect the test. The microhardness test also eliminates the difficulties associated with machine and fixture alignment.

Dislocation Phenomena: Figure 10 shows the distribution of dislocation etch pits on a well-defined,

single-crystal magnesium oxide (MgO) surface (28). The MgO bulk crystals were first cleaved along the

{001 } surface in air and then subjected to hardness indentation in air at 298 K, which introduced a certain

amount of plastic deformation into the {001 } surface. Next, the MgO surfaces were chemically etched

in a solution of five parts saturated ammonium chloride, one part sulfuric acid, and one part distilled

water at room temperature. Then scanning electron micrographs were taken of the etched surfaces. The

dislocation-etch-pit pattern on the indented surface (Fig. 10) contains screw dislocations in the [010]

direction and edge dislocations in the [110] direction. The screw and edge dislocation arrays are 4.9 and

7.7 times wider, respectively, than the average length of the two diagonals of hardness indentation.

Figure 11 shows the length of the dislocation row and the length of the diagonal of indentation as

functions of load on a log-log scale (28). As expected, the gradient of the diagonal length is approximately 0.5 because the Vickers hardness is independent of indentation load. Almost the same gradient is

shown for the length of edge dislocations. However, the gradient for the screw dislocations is slightly

smaller, possibly because cross slips occur easily at higher loads. The row of edge dislocations is always

longer than that of screw dislocations for the hardness indentations.

Fracture Phenomena: Cracking and fractures around the indents can affect the accuracy of microhardness measurements. The energy absorbed by plastic deformation far exceeds that released by cracking for many materials (29). Although it can make accurate measurements difficult, indentation cracking

can reveal important material parameters. Palmqvist was the first to realize that indentation cracking was

related to the fracture toughness of the material (30).

Because cracks are formed around microhardness indents in several ways, different methods are

needed to analyze them (27, 29-32). The cracks can be one of two basic types, median or lateral, as

shown in Fig. 12 (27, 31, 32). Median cracks, which form on loading, are deep halfpenny-shaped cracks

with the fracture plane normal to the surface. Lateral cracks, which form on unloading, are shallow cracks

with a fracture plane approximately parallel to the surface. Lateral cracks are also known as Palmqvist

cracks. Lawn and Marshall (33) reported a hardness of 10 GPa and a fracture toughness of 0.6 MPa.m 1/2

NASA/TM--2002- 211497 18
(a)

I I

I-_-----J----_t-_---2a---_1-_----[-----_

-,.c_ Lateral crack

(3K,o)f.

Hal/2J \_j = 0.035 (a/_) 1/2

(From (31).)

+-,_......................... 9,-........................ _1

I I I I

_V

Z J [ J

V-Median crack

Hal/2J lS-_j = 0.1 29 fc_t

(From (32).)

Figure 1 2.--Lateral and median crack geometry, where / is crack length,

a is indentation radius, c is crack radius, KIC is fracture toughness, E is

Young's modukis, and H is hardness.

t_

E

tOO

O

t2900 --

2800

2700

2600 (b) I I

0 "_/6 "_/3

Azimuth angle, rad

<I01-0> <I 1 20> <I01-0>

Orientation

Figure 13.--Indentation hardness aNsotropy of SiC {001} basal plane. Measuring load, 2.9 N.

(a). Backreflection Laue photograph. (b) Knoop hardness as function of angle between long

axis of Knoop indenter and <1010) direction axis.

for silicon. Antis et al. (34) reported a hardness of 10.6 GPa and a fracture toughness of 0.7 MPa.m ]/2 for

silicon. All results were obtained at room temperature.

Crystallographic Orientation, Impurity, and Temperature Effects: As hardness is a conventionally

used parameter for indicating the abrasion resistance of materials, it is useful and important to consider

the effects of crystallographic orientation (hardness anisotropy), impurities, and temperature (25, 35-41).

Figure 13, for example, shows a backreflection Laue photograph and the results of Knoop hardness

experiments made on the {0001 } plane of single-crystal silicon carbide (SIC). The specimen is within

+2 ° of the low index {0001 } plane. The Knoop hardness is presented as a function of the orientation of

the long axis of the Knoop diamond indenter with respect to the (10T0_ direction at 10° intervals. The

hardness decreases smoothly to a minimum of approximately 2670" "near 30 ° from the (10T0_ direction.

Figure 13 indicates that the (1010) direction is the maximum hardness direction and that the maximum

hardness is approximately 2830. The hardness results are consistent with those of other workers (35, 36).

NASA/TM--2002-211497 19
250 -

{3.

_5 200 --

E

150 -

..c

13.

O

o 100 -

E

Y

5O

101

• Natural diamond

A Synthetic diamond

t,,,t{'t t

I i I illlll I i I illlll

102 103

Nitrogen concentration, ppm

Figure 14.--Knoop harness as function of nitrogen

concentration for synthetic and natural diamond.

From Y Ma and GF Tellier, Rockwell Aerospace,

Rocketdyne, Canoga Park, CA, 1994.

8O

70

6O

c_

£L

_5 50

E

4O

Q.

O

o 30

20

10

I o Diamond {111} <112>

[] Alumina (sapphire) {1010} <0001>

O

_ "D"'-43_ 43...

"[_'_ "1_ --13_ ...D.._ []

I I I I I I

0 200 400 600 800 1000 1200

Temperature, °C

I I I I I I I

273 473 673 873 1073 1273 1473

Temperature, K

Figure 150--Knoop harness as function of temperature

for diamond {111} and sapphire (alumina) {1070}

surface. From (25).

Impurities considerably alter the indentation

hardness, as shown in Fig. 14 (based on personal

communication with Y Ma and GF Tellier, Rockwell

Aerospace, Rocketdyne, Canoga Park, CA, 1994).

Natural diamond invariably contains more nitrogen

impurities and thus has greater ranges of hardness.

The hardness measured for diamond and sapphire is dependent on temperature, as shown in

Fig. 15 (25). Hardness decreased with increasing

temperature, and there was a corresponding increase

in plastic deformation.

Hertzian Fracture by Spherical Indenter: Materials with high hardness are usually brittle. Knowledge of the fracture stresses and crack patterns

produced in brittle materials, such as ceramics, is

important in understanding materials behavior and

tribological phenomena, such as wear, erosion, and

abrasion. Such knowledge can be gained from crack

patterns produced in brittle materials by spherical

indenters under normal loading or sliding (20, 37,

39). An indenter loaded onto the surface of a specimen generally produces a local damage zone (Hertzian cone crack or ring crack) comparable to the

dimensions of the contact area (Fig. 16). These

results have interest for two reasons. First, it is

important to know a material's fracture behavior,

particularly the crack patterns and fracture stresses

under conditions arising in its tribological and

mechanical applications. Second, indentation techniques are the main method for measuring the

strength of materials.

Figure 17 shows well-developed ring cracks produced on silicon { 100}, sapphire {0001 }, and natural

diamond { 111 } during experiments in which the

specimens were indented with 200-gm- or 500-gmradius spherical diamond indenters (39). Cleavage

cracks emerging on the crystalline surface form

inherent patterns on the surface. Cleavage occurred

mostly along the { 111 } planes in both silicon and

diamond and along the {10 ]- 2} planes in sapphire.

In silicon the ring cracks (following the { 111 } cleavage planes) on the { 100} plane formed a square

pattern in the (110) direction. In sapphire the ring

cracks (following the {10 ]-2} cleavage planes) on

the {0001 } plane formed a triangular or hexagonal

pattern. In diamond the ring cracks (following the

{ 111 } cleavage planes) on the { 111 } plane formed a

triangular or hexagonal pattern in the (110) direction.

NASA/TM--2002- 211497 20
(a) (b)

_CO ntact pressu re p

al stress)

(c) (d) r = a r

Figure 1&--Geometry of Hertzian cone (ring) crack and stress distributions

formed by sphere loaded normally onto plane surface of brittle material.

(a) Hertzian dng crack. (b) Contact area, (c) Distribution of normal stress,

(d) Distribution of tensile stress.

Figure 17.--TypicN ring cracks. (a) Silicon {100}. Indenter radius, 500 #m. (b) Sapphire

{0001}. Indenter radius, 200 pro. (c) Natural diamond {111}. Indenter radius, 200 pro.

From (39).

NASA/TM--2002-211497 21
102 --

CL.

E _

o_

101 --

--

E -

E --

_J

10100

MateriN Cleavage

plane

O Silicon {100}

[] Sapphire {0001}

A Natural diamond {111}

Synthetic diamond {111}

A

A

[] A

[] A

[]

o

o o

I I I Illlll I I I Illlll I I I illlll

101 102 103

indenter radius, R, #m

Figure 18.--Maximum tensile stress normal to cleavage plane at

edge of contact circle as function of indenter radius for silicon,

sapphire, and natural and synthetic diamond. From (38, 39).

Figure 18 presents the maximum tensile stress or the tensile strength, which acts normal to cleavage

planes at the edge of the Hertzian contact circle and gives rise to fracture on silicon { 100}, sapphire

{0001 }, natural diamond { 111 }, and synthetic diamond { 111 } as a function of indenter radius (38, 39).

Indenter radius had a marked effect on Hertzian fracture and on the maximum tensile stress to fracture.

The greater the indenter radius, the lower the maximum tensile stress to fracture. Further, the maximum

tensile stresses (tensile strengths) shown in Fig. 18 are of the same order as the theoretical strengths for

the corresponding materials. The theoretical strengths are approximately 1/10th of the Young's moduli,

which are 167 GPa for silicon, 380 GPa for sapphire, and 1020 GPa for natural and synthetic diamond.

The tensile strengths of the materials investigated herein were, in ascending order, silicon, sapphire,

natural diamond, and synthetic diamond.

Impurities considerably alter the tensile strength. For example, when the { 100} surfaces of singlecrystal synthetic diamond containing 1 ppm to nearly 300 ppm of nitrogen were indented with a 5-gmradius spherical diamond indenter, nitrogen impurities altered the maximum tensile stress to fracture

(tensile strength). The tensile strength decreased as nitrogen concentration increased (39).

4.2.3 Scratch Microhardness Measurement.--Any scratch hardness test is a form of controlled

abrasive wear, and thus it seems reasonable to use the test as a means of ranking materials for their likely

resistance to abrasion in service (42). Scratch microhardness measurements and surface morphological

studies are widely accepted by industry and researchers for the quantitative measurement of the adhesion

of thin films and the ductility and abrasion resistance (plasticity) of materials. They are rapid and simple

and allow direct comparison between similar coatings, surface-modified materials, or engineering materials. Scratch testing is most often used as a quality control technique enabling the performance of one

surface to be qualitatively and, to some extent, quantitatively compared with another that is known to be

satisfactory in use. The scratch test is especially popular when dealing with surfaces that have been engineered by thermal, chemical, or coating treatments to enhance hardness or wear resistance.

A diamond stylus or related hard stylus is used to make a scratch measurement on a specimen. Controlled stress and strain are induced on the surface. The mechanical response can be measured by the

surface morphological changes and the friction monitored during scratching. Subsequent Raman mapping

(Table l(c)) of the scratched region can provide information on the local stress and strain distribution,

together with the molecular composition of any chemical species and its changes induced by scratching

action.

NASA/TM--2002- 211497 22
> 10

__

"__ -10

0

i I I

5 10 15

.2--

°z FCTC,

0

0 0

i(a) i L_"-S 0 I (b){

20 25 0 5 10 15 20 25

Sliding time, s

50

=- 40

._o

30

o 20

if)

= 10

8

< 0

0 5 10 15

.5

z_ .4 _4_k

o .3

2

0 .2

0

I_ .1 --

I (C)I 0 , I I i

20 25 0 5 10 15

Sliding time, s

{(d) l

20 25

>

E

c"

0

E

0

0

60 i........

40 .....

20

0 _i 1 _ _(e)

0 5 10 15 20 25 0 5 10 15 20 25

Sliding time, s

Figure 19.--Typical acoustic emission traces and friction force traces

for ion-beam-deposited BN film in contact with hemispherical diamond

film in laboratory air.

Investigators have detected released acoustic emissions when the intrinsic cohesive bonds in the coating film or the adhesive bonds between the film and the substrate, or both, are broken and a new surface

is created. The pattern and intensity of the acoustic emissions depend on the nature of the disturbance

(i.e., plastic flow, cracking, or flaking of fragments (43, 44)). For example, Fig. 19 presents typical acoustic emission traces and friction force traces for a boron nitride (BN) film deposited onto a silicon substrate

(45). When the BN film surface is brought into contact with a diamond pin (tip radius of 0.2 mm) under a

small load (lower than the critical loads needed to fracture intrinsic cohesive bonds in the BN film and

adhesive bonds between the film and the substrate), no acoustic emission is detected (Fig. 19(a)). The

friction force trace at the same load (3 N) fluctuates slightly with no trace of stick-slip behavior (Fig.

19(b)). After the diamond has passed over the surface once, scanning electron microscopic examination of

the wear track indicates that a permanent groove is formed in the BN film, much as occurs in metallic

films under similar conditions. However, no cracking of the BN film is observed with sliding.

NASA/TM--2002-211497 23
o Mean contact pressure

[] Vickers mardness

12 -- Substrate

z

440 C Stainless steel [] o

_10

O

-_ 8

o

o

-- []9 Ti

[] o 304 Stainless steel

(a) I I I I

12--

Z

_10 --

"t3

O

"8 8

o

o

O

A

Tensile strength

Yield strength

Substrate

440 C Stainless steel AO

-- AO Ti

A 0304 Stainless steel

(b) I I I I

0 2 4 6 8 0 .5 1.0 1.5 2.0

Mean contact pressure, Tensile strength of substrate,

Pro, GPa (Tmax, GPa

I I I I I I I I I I

0 200 400 600 800 0 .5 1.0 1.5 2.0

Vickers hardness of substrate, H V Yield strength of substrate, Y, GPa

Figure 20.--CriticN load needed to fracture BN film and interracial adhesive

bonds between film and substrate in sliding contact with hemispherical

diamond film in laboraton; air (mean contact pressure is scratch hardness

of substrate).

Increasing the load to or above the critical loads required to fracture the BN film and the interfacial

adhesive bonds between the film and the substrate results in a small amount of cracking in and near the

plastically deformed groove (45). The acoustic emission trace detected at a load of 9 N indicates evidence

of a fluctuating acoustic emission signal output (Fig. 19(c)). Acoustic emission is observed when the sliding appears to involve small amounts of cracking in addition to plastic flow. Such acoustic emission is

caused by the release of elastic energy when cracks propagate in the BN film. The friction force trace

measured at the 9-N load is characterized by randomly fluctuating behavior, but only occasional evidence

of stick-slip behavior is observed (Fig. 19(d)).

When a much higher load (e.g., 12 N) is applied to the BN film, the sliding action produces, in addition to plastic flow, locally gross surface and subsurface fracturing in the film and at the interface between

the BN film and the substrate (45). In such cases the acoustic emission traces are primarily characterized

by chevron-shaped peaks (Fig. 19(e)), whereas the friction force traces are primarily characterized by

continuous, marked stick-slip behavior (Fig. 19(f)).

The behavior of acoustic emission is related to that of friction force. For example, at point I in Figs.

19(e) and (f) the diamond pin comes to rest until point II is reached. At point II the pin is set into motion,

slips, and continues to move until point III is reached. Acoustic emission is released at point II because

the slip action produces fracturing at the interface between the BN film and the substrate. At point III the

pin comes to rest again. Thus, fracture in the film and at the interface between the BN film and the substrate is responsible for the observed acoustic emission signal output and friction behavior. Acoustic and

friction measurements of the critical load required to fracture a ceramic film on a substrate agree well

with the critical loads detected by optical and scanning electron microscopy of the scratches.

In another example, Fig. 20 presents the critical loads required to fracture a BN film and the adhesive

bonds between the film and various metallic substrates as determined by acoustic emission and friction

force measurements (45). The critical load to fracture is related to the hardness and strength of the metallic substrate. The harder the substrate or the greater its strength, the higher the critical load. Benjamin and

Weaver (46) derived the following expressions for scratch adhesion in terms of shear stress S produced

at the coating/substrate interface by the plastic deformation, the hardness of the substrate (mean contact

pressure at fully plastic state Pro)' the critical load applied on the pin W c, the tip radius of the pin R, and

the width of the resulting scratch D:

NASA/TM--2002- 211497 24
TABLE 5.--CRITICAL NORMAL LOAD TO FRACTURE BN FII,M IN SLIDING CONTACT AND

St tEAR STRENGTtt OF INTERFACIAL ADHESIVE BONDS

Substrate

Substrate BN

film

Silicon b8.89 bl 8.8

440C stainless aT. 1 b 10.2

stee]

304 stainless 22.5 b4.3

steel

Titanium _'2.6 b3.4

_Hardness measuring load, 2 N.

Vickers hardness,

Hv,

GPa

bHardness measuling load, 0.05 N.

Mean contact

(yield) pressure at

fully plastic state,

GPa

24.0

12.0

4.1

3.3

Cli tical

norlilal

load,

Wc,

N

Interracial shear strength,

S_

GPa

• p_ l/2

.gRI

11

11

7

8

1.1

•'7'7

.37

.40

2ug

gDR

1.0

.68

.29

.30

S = 2Wc

7zDR

These relationships allow for the calculation of the shear strength (i.e., the adhesion strength of the

interracial bonds) (46, 47). The results are presented in Table 5. The values of the critical loads were obtained and confirmed not only by optical and scanning electron microscopic examination of the scratches

but also by the acoustic emission technique. Table 5 reveals the strong correlation between the shear

strength (i.e., the adhesion strength) and the hardness of the substrate. The harder the metallic substrate,

the greater the shear strength.

If a hard material is brought into contact with a softer single crystal, the plastic deformation and accordingly the coefficient of friction of the single-crystal material are anisotropic and relate to the crystal

structure. In crystals of comparable purity and crystallographic perfection, slip always begins when the

shear stress across the slip planes reaches a certain definite value known as the critical resolved shear

stress. The actual stress required to start deformation depends on the orientation of the slip planes relative

to the applied stress. The details on the anisotropic plastic deformation and hardness of single-crystal ceramics as they relate to friction can be found in the references (48, 49, 50).

5. Elemental Composition and Chemical State of Solid Surfaces

Elemental composition is perhaps the most basic information about materials, followed by chemical

state information, phase identification, the determination of structure (bond structure, atomic sites, bond

lengths, and angles), and defects (Tables l(c) and (d)). The elemental and chemical state, phase, microstructure, and defects of a solid often vary as a function of depth into the material or spatially across the

material. Many techniques specialize in addressing these variations down to extremely fine dimensions,

as small as on the order of angstroms in some cases (refer to Fig. 21). Requests are made for physical and

chemical information as a function of depth, to depths of 1 mm or so (materials have about 3 million

atomic layers per millimeter of depth). This upper region at the material surface affects a broad spectrum

of properties: elemental composition, contamination, adhesion, bonding, corrosion, surface strength and

toughness, hardness, chemical activity, friction, wear, and lubrication. Knowing these variations is of

great importance when selecting and using coatings, modified surfaces, and materials.

NASA/TM--2002-211497 25
Sampling

depth

from surface

1to3nm

10to 30 nm

100 nm to 1#m

_ Contaminant

I

@ @ @ @ So,id surface

000

0@0@

0 0 0 (a)

XXXXXXXXXXX

XXXXXXXXXXX

•oeeo oe e* •••*o oee eee ••eooe eo

•oeee eo eeoo •ee eee eoo•• oooe ee

IIII/11/I//111//I///

"/////////////////i

I/I, 1,'1/ I/I/

(b)

(c)

+

1 mm

+ + + +

+ + + + +

+ + + +

+ + + + +

+ + + +

+ + + + + (d)

+ + +

Figure 21.--Schematic diagram showing regimes of (a)

surface analysis, (b)thin film analysis, (c) interface

analysis, and (d) bulk substrate analysis.

For surfaces, interfaces, and thin films

there is often little material to analyze--hence,

the need for many microanalytical methods

such as those listed in Table 1. Within microanalysis it is often necessary to identify trace

components down to extremely low concentrations (parts per trillion in some cases), and a

number of techniques specialize in this aspect.

In other cases a high degree of accuracy in

measuring the presence of major components

may be of interest. Usually, the techniques

that are good for trace identification do not

accurately quantify major components. Most

complete analyses require the use of multiple

techniques, the selection of which depends

on the nature of the specimen and the desired

information.

It is important to know the sampling

(information) depth of the analytical tool to be

used. For example, let us compare the analysis

of two different specimens. The first has an

atomic layer of one or more impurities on the

surface; the other has these atoms distributed

homogeneously within the specimen. When

a conventional x-ray microprobe with a sampling depth of about 1000 nm is used, the

specimens produce signals of equal intensity

and it is not possible to differentiate between

them. One can sometimes get an indication of

whether there is a bulk impurity or a surface

segregation (or a thin film) by lowering the

electron beam voltage or by measuring at grazing incidence. However, this is not possible

with only a few atomic layers. On the other

hand, because of their insufficient detection

limits Auger electron spectroscopy (AES) or

x-ray photoelectron spectroscopy (XPS) will

produce two quite different spectra: in the first

specimen, a strong signal from the impurity layer caused by the low sampling depth; in the second specimen, only the spectrum of the pure bulk material with no indication of the impurities.

Ion scattering spectroscopy (ISS) and secondary ion mass spectrometry (SIMS) are extremely

surface-sensitive characterization tools, followed by AES and XPS (or electron spectroscopy for chemical

analysis (ESCA)). Electron probe microanalysis (EPMA) and energy-dispersive x-ray spectroscopy

analysis (EDS) are bulk characterization tools. Thus, knowing both the structure of real surfaces and the

capabilities of the various characterization techniques is of great importance.

It was during the 1960's that the amazing growth and diversification of surface analytical techniques

began and evolved with the development of two types of ultra-high-vacuum electron spectroscopy--AES

closely followed by XPS. The combination of the all-encompassing definition of surface engineering

and tribology with these surface analytical techniques, including a variety of electronic, photonic, and

ionic spectroscopies and microscopies, reflects the trend of surface engineering and tribology today.

NASA/TM--2002- 211497 26
In the following subsections characterization equipment commonly used in the fields of surface modifications, thin films and coatings, and tribology and examples of their use are described. Also, it is shown

where surface science can play a role in advancing our knowledge of adhesion, friction, lubrication, and

wear as well as the basics of surface phenomena.

A number of techniques are now available for measuring the composition of any solid surface. The

most widely used techniques for surface analysis are AES, XPS (or ESCA), and SIMS (Table l(c)). These

techniques are well suited for examining extremely thin layers, including the contaminant layers and the

oxide layers.

5.1 SEM and EDS

The single most useful tool available today to surface engineers and scientists, tribologists, and lubrication engineers interested in studying the morphology, defects, and wear behavior of material surfaces is

undoubtedly the scanning electron microscope (SEM). Especially, the combination of the SEM and x-ray

analysis using either energy-dispersive x-ray spectroscopy (EDS) or wavelength-dispersive x-ray spectroscopy (WDS) provides a powerful tool for local microchemical analysis (7, 51). The use of electron

microprobe techniques in the SEM is now a well-established procedure. The two techniques, EDS and

WDS, differ only in the use of an energy-dispersive, solid-state detector versus a wavelength-dispersive,

crystal spectrometer. Successful studies have been carried out to characterize surface-modified materials,

thin films and coatings, and the surfaces of bulk materials. The SEM is often the first analytical instrument used when a quick look at a material is required and the light microscope no longer provides adequate spatial resolution or depth of focus. The SEM provides the investigator with a highly magnified

image of a material surface. Its resolution can approach a few nanometers, and it can be operated at magnifications from about 10X to 300 000X. The SEM produces not only morphological and topographical

information but information concerning the elemental composition in near-surface regions.

In the SEM an electron beam is focused into a fine probe and subsequently raster scanned over a

small rectangular area. As the electron beam interacts with the specimen, it creates various signals, such

as secondary electrons, internal currents, and photon emissions, all of which can be collected by appropriate detectors. The SEM-EDS produces three principal images: secondary electron images, backscattered

electron images, and elemental x-ray maps. Secondary and backscattered electrons are conventionally

separated according to their energies. They are produced by different mechanisms. When a high-energy

primary electron interacts with an atom, it undergoes either inelastic scattering with the atomic electrons

or elastic scattering with the atomic nucleus. In an inelastic collision with an electron some amount of

energy is transferred to the other electron. If the energy transferred is extremely small, the emitted electron will probably not have enough energy to exit the surface. If the energy transferred exceeds the work

function of the material, the emitted electron will exit the solid. When the energy of the emitted electron

is less than about 50 eV, by convention it is referred to as a secondary electron (SE), or simply a secondary. Most of the emitted secondaries are produced within the first few nanometers of the surface. Secondaries produced much deeper in the material suffer additional inelastic collisions, which lower their energy

and trap them in the interior of the solid.

Higher energy electrons are primary electrons that have been scattered without loss of kinetic energy

(i.e., elastically) by the nucleus of an atom, although these collisions may occur after the primary electron

has already lost some energy to inelastic scattering. Backscattered electrons (BSE's) are, by definition,

electrons that leave the specimen with only a small loss of energy relative to the primary electron beam

energy, but BSE's are generally considered to be the electrons that exit the specimen with an energy

greater than 50 eV, including Auger electrons. The BSE imaging mode can be extremely useful for tribological applications, since the energy, spatial distribution, and number of BSE's depend on the effective

atomic number of the specimen, its orientation with respect to the primary beam, and the surface condition. The backscatter coefficient, or relative number of electrons leaving the specimen, increases with

NASA/TM--2002-211497 27
increasingatomicnumber(51).ThehighertheatomicnumberZ of a material, the more likely it is that

backscattering will occur. Thus, as a beam passes from a low-Z to a high-Z area, the signal due to backscattering and consequently the image brightness will increase. There is a built-in contrast caused by elemental differences. BSE images can therefore be used to distinguish different phases, modified surfaces,

thin films and coatings, and foreign species of the specimen having different mean atomic numbers

(atomic number contrast). For most specimens examined in SEM, except for those that are flat or polished, the specimen both varies in chemistry from area to area and exhibits a varying rough surface. As

a result, both atomic number and topographic contrast are present in the BSE signal (as well as in the SE

signal). In general, if the high-energy BSE's are collected from the specimen at a relatively high takeoff

angle, atomic number information is emphasized. Conversely, if the high-energy electrons leaving the

specimen are collected at a relatively low takeoff angle, topographic information is emphasized. For

nearly all BSE applications the investigator is interested in the atomic number contrast and not in the

topographic contrast. Note that the backscatter coefficient is defined as the number of BSE's emitted by

the specimen for each electron incident on the specimen. Because of the relatively deep penetration of

the incident electron beam combined with the extensive range of the BSE's produced, spatial resolution

in the BSE mode is generally limited to about 100 nm in bulk specimens under the usual specimen/

detector configurations.

Both energy-dispersive and wavelength-dispersive x-ray detectors can be used for element detection

in the SEM. When the atoms in a material are ionized by high-energy radiation, usually electrons, they

emit characteristic x-rays. The detectors produce an output signal that is proportional to the number of

x-ray photons in the area under electron bombardment. EDS is a technique of x-ray spectroscopy that is

based on the collection and energy dispersion of characteristic x-rays. Most EDS applications are in electron column instruments like the SEM, the electron probe microanalyzer (EPMA), and the transmission

electron microscope (TEM). X-rays entering a solid-state detector, usually made from lithium-drifted

silicon, in an EDS spectrometer are converted into signals that can be processed by the electronics into an

x-ray energy map or an x-ray energy histogram. A common application of the x-ray systems, such as EDS

and WDS, involves x-ray mapping, in which the concentration distribution of an element of interest is

displayed on a micrograph. The detectors can be adjusted to pass only the pulse range corresponding to a

particular element. This output can then be used to produce an x-ray map or an elemental image. Higher

concentrations of a particular element yield higher x-ray photon pulse rates, and the agglomeration of

these pulses, which appear as dots in the image, generate light and dark areas relating to the element's

concentration distribution. In x-ray spectroscopy the x-ray spectrum consists of a series of peaks that represent the type and relative amount of each element in the specimen. The number of counts in each peak

can be further converted into elemental weight concentration either by comparison with standards or

by standardless calculations. Three modes of analysis are commonly used: spectrum acquisition, spatial

distribution or dot mapping of the elements, and element line scans.

5.2 AES and XPS

The surface analytical techniques most commonly used in surface engineering and tribology are AES

and XPS (or ESCA). Each can determine the composition of the outermost atomic layers of a clean surface or of surfaces covered with adsorbed gas films, oxide films, thin films and coatings, reaction film

products, surface-modified materials, and frictionally transferred films (1, 4-8, 52, 53).

AES and XPS are generally called "surface analysis" techniques, but this term can be misleading (8,

9). Although these techniques derive their usefulness from their intrinsic surface sensitivity, they can also

be used to determine the composition of deeper layers. Such a determination is normally achieved through

controlled surface erosion by ion bombardment. AES or XPS analyzes the residual surface left after a

certain sputtering time with rare gas ions. In this way composition depth profiles can be obtained that provide a powerful means for analyzing thin films, surface coatings, reaction film products, transferred films,

NASA/TM--2002- 211497 28
andtheirinterfaces. Clearly,thiscapabilityalsomakesAESandXPSidealforstudyingsurface-modified

materialsandwear-resistant coatings.Thereare,however,anumberof practicaldifferencesbetweenthe

twotechniques(e.g.,detectionspeed,background, andspatialresolution)thataregenerallymoreadvantageousinAESprofiling.AESusesafocusedelectronbeamtocreatesecondaryelectronsnearasolid

surface.Someof theseelectrons(theAugerelectrons)haveenergiescharacteristicoftheelements.

Asstatedabove,AEScancharacterizethespecimenidepthandprovideelemental depthprofiles

whenusedincombinationwithsputtering(e.g.,argon-ionsputteretching)tograduallyremovethe

surface.In additiontoenergiescharacteristicoftheelements,omeof theAugerelectronsdetected

haveenergiescharacteristic,nmanycases,of thechemicalbondingoftheatomsfromwhichtheyare

released. Becauseoftheircharacteristicenergiesandtheshallowdepthsfromwhichtheyescapewithout

energyloss,Augerelectronscancharacterizetheelemental compositionand,attimes,thechemistryof

surfaces. TheAugerpeaksofmanyelementsshowsignificantchangesinpositionorshapeindifferent

chemicalconditionsandenvironments.

Thus,AEShastheattributesofhighlateralresolution,relativelyhighsensitivity,andstandardless

semi-quantitativeelemental analysis.It alsoprovideschemicalbondinginformationinsomecases.Further,thehighspatialresolutionoftheelectronbeamandthesputteretchingprocessallowmicroanalysis

of three-dimensional regionsof solidspecimens.

InXPS,mono-energetic softx-raysbombardaspecimenmaterial,causingelectronstobeejected.

Theelementspresentinthespecimencanbeidentifieddirectlyfromthekineticenergiesoftheseejected

photoelectrons. Electronbindingenergiesaresensitivetothechemicalstateof theatom.AlthoughXPS

isdesignedtodealwithsolids,specimenscanbegaseous, liquid,orsolid.XPSisapplicabletometals,

ceramics, semiconductors, andorganic,biological,andpolymericmaterials.Althoughx-raybeamdamagecansometimesbesignificant,especiallyinorganicmaterials, XPSistheleastdestructiveofallthe

electronorionspectroscopytechniques. Thedepthof solidmaterialsampledvariesfromthetop2atomic

layersto15to20layers.Thissurfacesensitivity,combinedwithquantitativeandchemicalanalysiscapabilities,hasmadeXPSthemostbroadlyapplicablegeneralsurfaceanalysistechniqueusedtoday,especiallyinthefieldof tribology.LikeAES,XPScanalsocharacterizethespecimenidepthandprovide

elemental depthprofileswhenusedincombinationwithsputtering(e.g.,argon-ionsputteretching)to

graduallyremovethesurface.

In general,AESprovideselemental informationonly.TheAESpeaksofmanyelements, however,

showsignificantchangesinpositionorshapeindifferentchemicalenvironments. Ontheotherhand,the

mainadvantageofXPSisitsabilitytoprovidechemicalinformationfromtheshiftsinbindingenergy.

TheparticularstrengthsofXPSarequantitativeelemental analysisof surfaces(withoutstandards) and

chemicalstateanalysis.Forasolid,AESandXPSprobe2to 10and2to20atomiclayersdeep,respectively,dependingonthematerial,theenergyof thephotoelectronconcerned, andtheangle(withrespect

tothesurface)ofthemeasurement.

Thethicknessof theoutermonatomiclayerscanbedeterminedbystudyingtheattenuationofphotoelectronsoriginatinginthebulkmaterialcausedbythelayersandbystudyingthevariationinintensityof

photoelectrons emittedbythelayersasafunctionofthickness.

6. Case Study: Characterization of Diamond Films and Coatings

6.1 Introduction and Background

During the last decade significant progress has been made in the development of advanced surface

films and coatings for engineering and biomedical applications. Some of the most exciting recent

developments are superhard coatings and films, such as chemical-vapor-deposited (CVD) diamond,

diamondlike carbon (DLC), carbon nitride (CNx), and cubic boron nitride (c-BN) (54).

NASA/TM--2002-211497 29
Thecommercial potentialof CVDdiamondfilmshasbeenestablished, andanumberofapplications

havebeenidentifiedthroughuniversity,industry,andgovernment researchstudies.CVDdiamondispresentlyproducedintheformofcoatingsorwafers.CVDdiamondfilm technologyoffersabroadertechnologicalpotentialthandonaturalandhigh-pressuresyntheticdiamondbecausesize,geometry,andcost

will notbeaslimiting.Diamondcoatingscanimprovemanyofthesurfacepropertiesof engineeringsubstratematerials, includingerosion,corrosion,andwearresistance(54).Examplesof actualandpotential

applications, suchasmicroelectromechanical systemsandenvironmentallydurablebarriers,ofdiamond

coatingsandrelatedsuperhardcoatingsaredescribedinareference(55).Forexample,diamondcoatings

canbeusedasachemicalandmechanical barrierforspaceshuttlecheckvalves,particularlyguidepins

andseatassemblies(56).

Achievingthequalityanddistinctivepropertiesof diamondcoatingsandfilmsrequiresoptimizing

depositionparametersthroughthestudyofthephysical,chemical,andstructural changesof coatingsand

filmsasafunctionofdepositionparameters. Theseparametersmustnotonlygivetheappropriateinitial

levelofqualityandpropertiesbutmustalsoprovidedurablecoatingsandfilms.

Foramaterialtoberecognizedasdiamondit musthaveallofthefollowingcharacteristics (57,58):

1. Crystallinediamondmorphologyandmicrostructurevisiblebyopticalorelectronmicroscopy

2. Single-phasediamondcrystallinestructuredetectablebyx-rayorelectrondiffraction

3. Clear,sharpdiamondpeakat1332cm-1inaRamanspectrum

4. Carboncontent(>95at.%)

5. Lowcoefficientof friction(0.01to0.05)inair,buthighcoefficientoffriction(>0.4)inultrahigh

vacuum

Thissectiondealswiththeapplicationofmeasurement andcharacterizationtechniquesrequiredfor

thetechnological growthof advancedCVDdiamondfilmsandcoatings.First,CVDdiamondfilmdepositiontechnologyisbrieflydescribedandthenthemeasurement andcharacterizationtechniquesof greatest

interestarereviewed.

Eachmeasurement andcharacterizationtechniqueprovidesuniqueinformation. A combinationof

techniquescanprovidethetechnicalinformationrequiredtounderstandthequalityandpropertiesof

CVDdiamondfilms,whichareimportanttotheirapplicationinspecificcomponent systemsandenvironments.In thisstudythecombinationofmeasurement andcharacterizationtechniqueswassuccessfully

appliedtocorrelatedepositionparametersandresultantdiamondfilmcomposition, crystallinity,grain

size,surfaceroughness, andcoefficientof friction.Animportantcasestudyof microwave-plasmaassistedCVDdiamondfilmswill behighlighted.Someearlierdataandexperimental detailsonthis

researcharegiveninthereferences(59,60,61).

6.2 CVD Diamond Film Deposition Technology

The basic reaction in the chemical vapor deposition of diamond is simple (57). It involves the decomposition of a hydrocarbon, such as methane, as follows:

CH 4 --->(Activation) --->C(diamond) --->2H 2

The carbon species must be activated, since graphite at low pressure is thermodynamically stable

and, without activation, only graphite would be formed. Activation is obtained by using either high temperature or plasma, each of which requires a great deal of energy. The four most often used activation

methods at this time are

NASA/TM--2002- 211497 30
1. High-frequency, plasmaglowdischargeusingthemicrowaveandradiofrequencyprocesses

2. Plasmarcingusingthedirect-current arcandradiofrequencyarcprocesses

3. Thermalchemicalvapordepositionusingthehot-filamentprocess

4. Combustionsynthesisusinganoxyacetylenetorch

Plasmarcingandcombustionsynthesishavehighdepositionrates(57,62,andpersonal communicationwithHWindischmann). Forexample,themassdepositionrateusingadirect-current arcjetreached

20carats/hrin 1997(62andpersonal communicationwithHWindischmann). Progressindirect-current

arcjet depositionhasadvancedtothepointthatthe$5/carat($8/cm2)barrierhasbeenbreached. In 1997

diamondmadebydirect-current arcjetwasavailableat$8/cm2($50/in.2).

Diamondhasbeendepositedfromalargevarietyof precursors, includingmethane,aliphaticand

aromatichydrocarbons, alcohols,ketones,andsolidpolymersuchaspolyethylene, polypropylene, and

polystyrene(57).Thesesubstances generallydecomposeintotwostableprimaryspecies,themethyl

radicals(CH3)andacetylene(C2H4).TheradicalisthekeycompoundingeneratingthegrowthofCVD

diamond.

6.3Measurement and Characterization of CVD Diamond

A variety of techniques can be used to characterize CVD diamond films. Measurement and characterization techniques used in this investigation include

1. Scanning electron microscopy and transmission electron microscopy (SEM and TEM), to determine surface morphology, microstructure, and grain size

2. Surface profilometry and atomic force microscopy (AFM), to measure surface roughness and to

determine surface morphology

3. Rutherford backscattering (RBS) and elastic recoil spectroscopy (ERS), to determine the composition (including hydrogen)

4. Raman spectroscopy, to characterize the atomic bonding state and quality of diamond

5. X-ray diffraction (XRD), to determine the crystal orientation of diamond

6. Friction measurement, to determine the coefficient of friction and surface properties

Case studies described in the references (59, 60, 61) focus attention primarily on microwave-plasmaassisted CVD diamond films.

6.4 Electron Microscopy, Stylus Profilometry, and Atomic Force Microscopy

Transmission electron microscopy offers image and diffraction modes for specimen observation (63).

In the image mode, analysis of transmitted electron images yields information both about atomic structure

and about defects present in the material. In the diffraction mode, an electron diffraction pattern is obtained from the specimen area illuminated by the electron beam. The electron diffraction pattern is entirely equivalent to an x-ray diffraction pattern.

Scanning electron microscopy (with energy-dispersive x-ray spectroscopy) is the most useful tool

when the researcher needs not only morphological and topographical information about surfaces but also

information concerning the composition of near-surface regions of the material. Although diamond is an

insulator, it can be studied by using low primary electron beam voltages (5 keV or less) if one is willing

to compromise image resolution to some extent. If the diamond is coated with a thin conducting film

(10 to 20 nm thick) of carbon, gold, or some other metal, the coated diamond can be studied with an

image resolution of 1 to 50 nm.

NASA/TM--2002-211497 31
TABLE 6.--DEPOSITION CONDITIONS FOR DIAMOND FILMS OF VARIOUS GRAIN SIZES

Condition Sub strate a

Si (100) Si (100) c_-SiC c_-SiC c_-SiC Si3N4 Si3N4

Deposition 860 + 20 1015 + 50 1015 + 50 965 + 50 860 + 20 965 + 50 860 + 20

temperature, °C

Gaseous flow rate,

cm3/min:

CH 4 4 3.5 3.5 3.5 4 3.5 4

H2 395 500 500 500 395 5800 395

o_ 1 o o o 1 o 1

Pressure, torr 5 40 40 40 5 40 5

Microwave power, 500 100 1000 1000 500 1000 1500

W

Deposition time, hr 10.5 140 14 22 21 22 521

Thickness, nm 1000 4200 5000 8000 1000 7000 800

Grain size, nm 20 to 100 1100 3300 1500 22 to 100 1000 22 to 100

Surface roughness 15 63 160 92 50 52 35

rms, nm

aScratched with 0.5-mm diamond _aste.

200 ......

E

'- 150 --

E

I1)

==100 ......

e

I1)

o

_: 50

..-i

Q

0

0

Substrate

O Si {100} £> oz-SiC

A Si {100} _ Si3N4 S

[] e-sic _ Si3N 4

@ oz-SiC

_T Standard deviation

7_

r5

I I I

1 2 3

Grain size, #m

Figure 22.--Surface roughness as function of grain

size for diamond films.

The grain size, surface morphology, and surface

roughness of a microwave-plasma-assisted CVD

diamond film can be controlled by varying the

deposition parameters, such as gas-phase chemistry

parameters and temperatures (e.g., Table 6). The

grain size and surface roughness data were obtained

by using TEM and stylus profilometry, respectively.

The CVD diamond films referred to in Table 6 can

be divided into three groups by grain size: fine,

medium, and coarse grain. The grain sizes of the finegrain diamond films were determined from brightand dark-field electron micrographs to be between

20 and 100 nm. The medium- and coarse-grain

diamond films have grain sizes estimated at 1000

to 1500 nm and 3300 nm, respectively. The average

surface roughness of the diamond films measured

by a surface profilometer increases as the grain size

increases, as shown in Fig. 22. Figure 23 shows

scanning electron micrographs of fine-, medium-,

and coarse-grain diamond films. Triangular crystalline facets typical of diamond are clearly evident on

the surfaces of the medium- and coarse-grain films.

In an atomic force microscope a probe tip traverses across a diamond surface and senses the force of

interaction between itself and the diamond surface. By monitoring the tip deflection necessary to maintain

a constant interacting force, surface topographical data can be obtained on a nanometer scale. Figure 24

shows an AFM image of a chemical-vapor-deposited, fine-grain diamond film on a mirror-polished silicon substrate, along with a histogram and bearing ratio. The CVD diamond surface has a granulated or

spherulitic morphology with spherical asperities of different sizes. The surface roughness of the CVD

diamond on silicon is 58.8 nm rms.

NASA/TM--2002- 211497 3 2
Figure 23.--Scanning electron micrographs of diamond films. (a) Fine-grain

(20 to 100 nm) diamond film on {100} silicon substrate; rms surface roughness, 15 nm. (b) Medium-grain (11O0 nm) diamond film on {100} silicon

substrate; rms surface roughness, 63 nm. (c) Coarse-grain (3300 nm)

diamond film on {100} _-SiC substrate; rms surface roughness, 160 nm.

6.5 X-Ray Diffraction and Electron Diffraction

Although x-ray diffraction (XRD) is not inherently a surface characterization technique, yet it offers

unparalleled accuracy in the measurement of atomic spacing (63). XRD was used to determine the structure and crystal orientation of the CVD diamond films (60). Typical x-ray diffraction patterns for the fineand medium-grain diamond films (Fig. 25) show peaks representing only the diamond film and the silicon

substrate. Diffraction peaks corresponding to the { 111 }, { 220 }, { 311 }, and {400 } planes, reflective of

diamond, are clearly evident. The intensity ratios I{ 220 }/I{ 111 } were calculated from the x-ray diffraction patterns for these films and found to be 1.3 and 0.04, respectively. The powder diffraction pattern of

diamond with random crystal orientation (ASTM 6-0675) gives I{ 220 }/I{ 111 } = 0.27. Thus, most of the

crystallites in the fine-grain diamond film are oriented along the {110) direction, whereas most of the crystallites in the medium-grain diamond films are oriented along the {111) direction. The well-formed triangular facets observed in SEM micrographs of medium- and coarse-grain diamond films confirm the {111)

crystal orientation.

Figure 26 presents a TEM selected-area diffraction pattern (SAD), a TEM bright-field micrograph,

and a TEM dark-field micrograph of a free-standing, fine-grain CVD diamond film (59). Diffraction rings

NASA/TM--2002-211497 33
iii:..........

iiiii !!!

0.2 Q_iiii::!_iiii__ 2

Bm _:_0

5000--

= 4000--

O

O

_3000--

_2000--

_.lOOO--

E

0

0 100

Histogram

|

2OO

Height, nm

300 400

Bearing ratio (Abbott's bearing curve

or g

100

O

80

-o 60

O

4o

e--

o° 2o

k.

O

o_ 0

0 100 200 300 400

Height, nm

Figure 24.--Atomic force microscopy of chemical-vapor-deposited, fine-grain diamond film on mirrorpolished silicon substrate.

co

o

.__

n_

Si 5OO

400

300

200

100

0

30

(a)

Si Si

-q

Diamond

{111}

50

r---- Diamond

{220}

Diamond

I _*_1

70 90 110 130

Angle 20, deg

Diamond

5000 ...... {111}, Si Si

4000 --

e--

 ooo

:_ 2000 F- Diamond {220}

, / _- Diamond {311}

tr 1000 _ \ Diamond

0

20 40 60 80 100 120

(b) Angle 20, deg

Figure 25.--X-ray diffraction patterns of diamond films. (a) Fine-grain (20 to 100 nm) diamond film on {100}

silicon substrate. (b) Medium-grain (1100 rim) diamond film on {100} silicon substrate.

and dots can be observed in Fig. 26(a). The d spacings of the diffraction rings were calculated by using

an aluminum SAD as a calibration standard and were found to match well with the known diamond d

spacings. No evidence of nondiamond carbon was found in the SAD. This observation indicates that the

nondiamond carbon concentration in the diamond film was extremely small. Careful observation of Fig.

26(b) revealed various nuclei-like regions marked N. Diamond grains are distributed radially outward

from these nuclei. A grain boundary is formed where the grains from various nuclei meet. As previously

mentioned, the grain sizes of the fine-grain CVD diamond films estimated from the bright- and dark-field

micrographs varied from 20 to 100 nm.

NASA/TM--2002-211497 34
Figure 26.--Free-standing diamond film. (a) Selected-area diffraction pattern.

(b) Bright-field TEM. (c) Dark-field TEM.

6.6 Raman Spectroscopy

Raman spectroscopy is primarily a structural characterization tool (63). Raman spectra are more

sensitive to the lengths, strengths, and arrangement of bonds in a material than to chemical composition.

Raman spectra of crystals likewise reflect the details of defects and disorder rather than trace impurities

and related chemical imperfections. The laser-optical Raman technique can determine with great confidence the atomic bonding states of the carbon atoms (sp 2 for graphite or sp 3 for diamond) from their

different vibrational modes (64). Raman spectra result from the inelastic scattering of optical photons by

lattice vibration phonons.

Typical Raman spectra of the fine- and medium-grain diamond films (Fig. 27) show one Raman band

centered at 1332 cm -] and one centered around 1530 cm -]. The sharp peak at 1332 cm -] is characteristic

of the sp 3 bonding of the diamond form of carbon in the film. The very broad peak centered around

1530 cm -] is attributed to the sp 2 bonding of the nondiamond forms of carbon (graphite and other carbon)

(65, 66, 67).

More sp3-bonded (diamond) carbon is produced in larger grained CVD diamond films (e.g., Fig.

27(b)) than in fine-grain films, as is evident from the relative intensities of the diamond and nondiamond

carbon Raman bands (60). However, the ratio of the intensities of the Raman responses at 1332 cm -]

and centered around 1530 cm -] does not indicate the ratio of diamond to nondiamond carbon present

in a particular film, since the Raman technique is approximately 50 times more sensitive to sp2-bonded

(nondiamond) carbon than to sp3-bonded (diamond) carbon (66). Thus, the peak centered around

1530 cm -] for each film represents a much smaller amount of nondiamond carbon in these diamond

films than appears at first glance.

NASA/TM--2002-211497 35
1.0

0.8

e--

0.6

t-

,m

d)

•--- 0.4

0.2

113113113

O0OO3

...... CO T- T- T- 'a' m ii _,

I I I I

1200 1300 1400 1500 1600 1700

Raman shift, cm-1

¢%1

8.0-

(b) ,-

7.2--

5.6

:_ 4.8

4.0

3.2

1200 1300

O

cO

113

Ti i i-'m

1400 1500 1600 1700

Raman shift, cm-1

Figure 27.--Raman spectra of diamond films. (a) Fine-grain (20 to 100 nm) diamond film on {100} silicon

substrate. (b) Medium-grain (1100 nm) diamond film on {100} silicon substrate.

6.7 Rutherford Backscattering Spectroscopy and Elastic Recoil Spectroscopy

Rutherford backscattering spectroscopy (RBS) is a nondestructive, quantitative depth profiling of thin

film compositions and structures, crystallinity, dopants, and impurities (63). Elastic recoil spectroscopy

(ERS, hydrogen forward scattering or proton recoil detection) is the simplest ion beam technique for

hydrogen profiling and determining hydrogen concentrations in thin films. In combination with RBS

analysis of the same sample, ERS provides concentration profiles and complete compositional analysis

of the near-surface regions of the sample material.

Figures 28 and 29 present RBS and ERS spectra, respectively, of a fine-grain CVD diamond film

(59). Besides carbon from the diamond film and silicon from the silicon substrate, no other elements

were observed in the RBS spectrum. From both spectra it was estimated that the fine-grain diamond film

consisted of 97.5 at.% carbon and 2.5 at.% hydrogen. (In contrast, the medium-grain diamond films contained less than 1 at.% hydrogen (60).) It was also demonstrated that both carbon and hydrogen are uniformly distributed in the fine-grain film from the top of the surface to the silicon substrate.

40

"O

"N,

"u 30

d_

N

z0

O

Z

10

Energy, MeV

0.2 0.4 0.6 0.8 1.0

50- I I I I I

RBS spectrum 2-Me_

..... - - Simulation .-4__._"_'-2_'_ 1 78 _,

--I $i I

I

!

I

I

4

!

I

, I

0

0 50 100 150 200 250

Channel

Figure 28.--Rutherford backscattering spectrum

of fine-grain diamond film on silicon substrate.

(Simulation curve was calculated by using the

computer code RUMP.)

150

==100

O

o

Energy, MeV

0.2 0.4 0.6 0.8 1.0

200 -- I 1 I I I

2.75-MeV He+_ o

75_7 '_3o

-- / _ 12.5-_m [

50 --

0 I

0 50 100 150 200 250

Channel

Figure 29.--Elastic recoil spectrum of fine-grain

diamond film on silicon substrate.

NASA/TM--2002- 211497 36
RBS analytical results can also be used to determine diamond film thickness. Figure 28 presents a

simulated RBS spectrum of a diamond film with a carbon-to-hydrogen ratio (C/H) of 97.5/2.5 obtained

by using the RUMP computer code (68). In the computer program the film thickness of the diamond

film is taken as a variable. This thickness was obtained from the close match between the observed and

simulated RBS, as shown in Fig. 28, and is 1.5 gm at the center of the substrate. The deposition rate was

estimated to be 0.14 gin/hr.

6.8 Friction Measurement

The classical Bowden and Tabor model for sliding friction of materials in contact, in its simple form,

assumes that the friction force arises from two contributing sources (69). First, an adhesion force is developed at the real area of contact between the surfaces, arising from the attractive forces between the contacting surfaces. Second, a deformation force is needed to plow or cut the asperities of the harder surface

through the softer. The resultant friction force is the sum of the two contributing sources: friction due to

adhesion and friction due to deformation and/or fracture. When a smooth flat is brought into contact with

a smooth spherical surface of the same or softer material, the plowing or cutting contribution in friction

can be neglected. In this situation, as is well known, diamond is one of the slipperiest materials and is

similar to polytetrafluoroethylene in air. The coefficient of friction in air is between 0.01 and 0.05.

The friction and wear properties of CVD diamond films are similar to those of natural and synthetic

diamond. The coefficient of friction and wear resistance of CVD diamond are generally superior in the

atmosphere. However, the environment to which a CVD diamond film is exposed can markedly affect

its friction and wear behavior, giving it a Jekyll-and-Hyde character (60). For example, the coefficient of

friction in ultrahigh vacuum is greater than 0.4.

6.8.1 Humid Air and Dry Nitrogen Environments.--When the fine-, medium-, and coarse-grain

CVD diamond films characterized in previous sections were brought into contact with a natural diamond

pin in reciprocating sliding motion in air and in nitrogen, the coefficients of friction varied as the pin

traveled back and forth (reciprocating motion), retracing its tracks on the diamond films (Fig. 30).

Both in humid air, at a relative humidity of 40%, and in dry nitrogen, abrasion occurred and dominated the friction and wear behavior. The bulk natural diamond pin tended to dig into the surface of diamond films during sliding and to produce a wear track (groove). SEM observations of the diamond films

indicated that small fragments chipped off the surfaces. When abrasive interactions between the diamond

pin surface and the initially sharp tips of asperities on the diamond film surfaces were strong, the friction

was high (points A in Fig. 30). The surface roughness of diamond films can appreciably influence their

initial friction (i.e., the greater the initial surface roughness, the higher the initial coefficient of friction,

Fig. 31). Similar frictional results have also been found by other workers on single-crystal diamonds (70)

and on diamond coatings (71, 72, 73).

As sliding continued and the pin passed repeatedly over the same track, the coefficient of friction

was appreciably affected by the wear on the diamond films (Fig. 32) (i.e., a blunting of the asperity tips).

When repeated sliding produced a smooth groove or a groove with blunted asperities on the diamond

surface, the coefficient of friction (only due to adhesion) was low, and the initial surface roughness effect

became negligible. Therefore, the equilibrium coefficient of friction was independent of the initial surface

roughness of the diamond film (Fig. 31(b)).

The generally accepted wear mechanism for diamonds is that of small fragments chipping off the

surface (60, 74). This mechanism is in agreement with the wear of diamond films. The wear rate is

dependent on the initial surface roughness of the diamond films (Fig. 33), increasing markedly with an

increase in initial surface roughness. The wear rates of the diamond films in humid air and in dry nitrogen

are comparable to the wear rates of single-crystal diamonds and diamond films investigated by other

workers (61, 71, 75).

NASA/TM--2002-211497 37
0.15"

tO

,m

_E0.10

0.52

0.43

A

Grain size, Substrate

nm

o 20 to l00 (fine) Si{100}

A 1100(medium) Si{100}

[] 3300 (coarse) _x-SiC

B

_0.05 C

O

o

0

0 30 60 90

Sliding distance, m

I I I I

0 10 000 20 000 30 000

Number of passes

0"69

.52 GrainnmSiZe, Substrate

0"15_A o 20 to l00 (fine) Si{100}

el A 1100 (medium) Si {100}

[] 3300 (coarse) _x-SiC

_0.10

"5 B

i_ 0.05

O

o

0 I I (b)l

0 30 60 90

Sliding distance, m

I I I I

0 10 000 20 000 30 000

Number of passes

Figure 30.--Coefficient of friction as function of number of passes of bulk diamond pin in

contact with fine-, medium-, and coarse-grain diamond films (a) in humid air (appro×.

40% relative humidity) and (b) in dry nitrogen.

6.8.2 Ultrahigh Vacuum Environment.--When the fine-, medium-, and coarse-grain diamond films

were brought into contact with a natural diamond pin in unidirectional pin-on-disk sliding motion in

vacuum, the coefficients of friction were high and varied with the number of passes (60). In vacuum, as

in humid air and in dry nitrogen, the bulk natural diamond pin dug into the surfaces of the diamond films

during sliding and produced a wear track (groove, Fig. 34). The groove surface was generally smoother

than the original surface of the diamond films. Further analysis of the grooves by scanning electron

microscopy revealed that the tips of the diamond coating asperities were worn smooth and that the gaps

between asperities were filled by debris.

The coefficient of friction increased with an increase in the number of passes (Fig. 35), just the opposite of what occurred in humid air and in dry nitrogen. Further, the initial surface roughness of the diamond film had no effect on friction. These results led us to ask the following questions: What factors

determine friction behavior? Have dangling bonds been exposed during sliding and played a role in the

friction behavior? Which is more important for diamond surfaces in vacuum, abrasion or adhesion?

Removing some of the contaminant surface film from the contact area of diamond films by sliding

action resulted in stronger inteffacial adhesion between the diamond pin and the diamond films and raised

the coefficient of friction, as shown in Fig. 35. A contaminant surface film may be removed by repeatedly

sliding the diamond pin over the same track in ultrahigh vacuum (61).

The friction results shown in Fig. 35 agree with other researchers' results for single-crystal diamond

rubbing against diamond and for CVD diamond sliding against CVD diamond in vacuum (76, 77).

Bowden and Hanwell (77) observed an initial coefficient of friction of 0.1 for diamond on diamond;

within several hundred passes, however, the coefficient of friction rose rapidly to 0.9 and remained constant. Dugger, Peebles, and Pope (78) also found that the coefficient of friction increased to 0.47 when

CVD diamond slid against itself in vacuum (<0.6 mPa). In both cases the increase in friction was attributed to cleaning the adsorbed contaminants from the surface by rubbing or sliding in vacuum at room

temperature.

When sliding continues, the wear dulls the tips of the diamond grains and increases the contact area

in the wear track, thereby causing an increase in friction. The increase in equilibrium friction that results

from cleaning off the contaminant surface film by sliding and from increasing the contact area is greater

than the corresponding decrease in abrasion and friction that results from blunting the tips of surface

NASA/TM--2002- 211497 38
0,8 m

tO

O

_5

O

o

0.7

0.6

0.5

0.4

0.3

0.2

0.1

0

0

m

bstrate

// O 20to _?0(fine) Si{100}

// A 1100(medium) Si{100}

// [] 3300 (coarse) oz-SiC

m Standard deviation

__ Open symbols denote dry

i nitrogen

Solid symbols denote humid

(a) I air I I I

50 100 150 200

Surface roughness, rms, nm

_ 0.04 ----fli

[_ i_ 0.02

0

0 50 100 150

Surface roughness, rms, nm

I

200

Figure 31 .--Coefficient of friction as function of initial

surface roughness of diamond films in humid air

(approx. 40% relative humidity) and in dry nitrogen.

(a) INtial coefficients of friction. (b) Equilibrium

coefficients of friction.

...._... [ L_J __ 1200 nm

1 O0 nm :"

[--J [................... I

(a) 200 Fm (b) 200 Fm

 iPl :

L,- I

:3 _ 1

[__

1 00

J

(c) 200 #m

_m

Figure 32.--Wear tracks (grooves) on diamond films

after 30 000 passes of bulk diamond pins in dry

nitrogen. (a) Fine-grain (20 to 100 nm) diamond

film; rms surface roughness, 15 nm. (b) Mediumgrain (1100 nm) diamond film; rms surface roughness, 63 nm. (c) Coarse-grain (3300 nm) diamond

film; rms surface roughness, 160 nm.

16xl 0 -8

14 .....

12 .....

E

;;10

E

E

-8

6 ..... / L Grain size, Substrate /

nm

- O 20 to 100 (fine) Si {100}

4 F- / A 1100 (medium) Si {100}

| / [] 3300 (coarse) e-SiC

k_7__ / I standard deviati°n

21 SolidOpen symbolSb denoteden°te dry nitrogenair

0 I symB°ls Ihumid I

0 50 100 150 200

Surface roughness, rms, nm

Figure 33.--Wear rate as function of diamond

surface roughness for diamond films in humid

air and dry nitrogen.

NASA/TM--2002-211497 39
m

- ...... ,4_

_r_ r.,

(a)

40 nm

l--J i

50 _m i

(b)

_f" ,t

I AJJ

_/_..,_J '_" ]50 nm

1

5_oFm

A

,, ( ,f

N\! [iv

"_ 't

J........... J

(c) 50 #m

Figure 34.--Wear tracks (grooves) on diamond films after 100 passes of bulk

diamond pin in ultrahigh vacuum. (a) Fine-grain (20 to 100 nm) diamond

film on silicon substrate; rms surface roughness, 15 nm. (b) Medium-grain

(1000 rim) diamond film on silicon nitride substrate; rms surface roughness,

52 nm. (c) Coarse-grain (1500 nm) diamond film on (x-SiC substrate; rms

surface roughness, 92 nm.

0 g ...............................................................................................................

0 20 40 60 80 1O0

Number of passes

Figure 35.--Typical friction trace for bulk diamond

pin in contact with diamond film on et-SiC substrate in ultrahigh vacuum (initial coefficient of

friction, _/; equilibrium coefficient of friction, #F)"

2,0 --

tO

"5

1.5 --

tO 1.0

0

Substrate

0 Si {100} _ _x-SiC

[] _x-SiC D Si3N4

0 _x-SiC r_ Si3N 4

T Standard deviation

Solid symbols denote I_F

Open symbols denote _/

o o @

50 1O0 150

Surface roughness, rms, nm

I

200

Figure 36.--Inital _/and equilibrium #F coefficient

of friction as function of initial surface roughness

for diamond films in ultrahigh vacuum.

asperities. This relationship is brought out clearly in Fig. 36; here the equilibrium coefficients of friction

(1.5 to 1.8) are greater than the initial coefficients of friction (1.1 to 1.3) regardless of the initial surface

roughness of the diamond films. In vacuum, therefore, the friction arises primarily from adhesion between

the sliding surfaces of the diamond pin and the diamond films.

The wear rates of the diamond films in ultrahigh vacuum (Fig. 37) depended on the initial surface

roughness of the diamond films, generally increasing with an increase in initial surface roughness. The

wear rates of the diamond films in ultrahigh vacuum were considerably higher (by a factor of 3000) than

those of the diamond films in humid air or in dry nitrogen (Fig. 33). Obviously, under these vacuum

conditions adhesion between the sliding surfaces of the diamond pin and the diamond films played an

important role in the higher wear process.

NASA/TM--2002- 211497 40
E

z

E

22

5xl 0-4

-- Substrate

0 Si{lO0} _e-SiC

[] e-SiC (q Si3N 4

1 ...._ 0 e-SiC _h Si3N 4

T Standard deviation

0 I I I I

0 50 1O0 150 200

Surface roughness, rms, nm

Figure 37.--Wear rate as function of initial surface

roughness for diamond films in ultrahigh vacuum.

Thus, under vacuum conditions it is adhesion between the sliding surfaces of the diamond pin and

the diamond films (due to the highly clean state) and the possible presence of dangling bonds that play

a significant role in the friction and wear process. The surface roughness of the diamond films does not

have much influence on the friction of diamond films in ultrahigh vacuum.

6.9 Summary of Remarks

The technical application and utility of CVD diamond in specific component systems and environments can be achieved if the deposition parameters have been optimized to achieve the desired quality,

properties, and durability. To understand the benefits provided by the deposition parameters, and ultimately to provide even better deposition parameters and greater film and coating performance, researchers must use a variety of measurement and diagnostic techniques to investigate the physical, chemical,

material, and structural changes in films and coatings produced at different deposition parameters.

The use of measurement and characterization techniques, including friction measurements, was highlighted in the important case study of microwave-plasma-assisted, chemical-vapor-deposited diamond

films. In this study a combination of measurement and characterization techniques was successfully

applied to correlate the coating deposition parameters with the resultant diamond film composition,

crystallinity, grain size, surface roughness, and coefficient of friction. These techniques have contributed

significantly to the understanding of the quality and properties of diamond films and their surfaces.

NASA/TM--2002-211497 41
7. Concluding Remarks

To understand the benefits that surface modifications provide, and ultimately to extend these benefits,

it is necessary to study the physical, mechanical, and chemical changes they cause. A wide variety of surface characterization techniques is available for assessing the physical, mechanical, and chemical properties of surfaces. Each measurement and characterization technique provides unique information. It should

be possible to coordinate the different pieces of information provided by these measurement and diagnostic techniques into a coherent self-consistent description of the surface and bulk properties.

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NASA/TM--2002-211497 45
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4. TITLE AND SUBTITLE 5. FUNDING NUMBERS

Surface Characterization Techniques: An Overview

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Kazuhisa Miyoshi

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National Aeronautics and Space Administration

John H. Glenn Research Center at Lewis Field

Cleveland, Ohio 44135-3191

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13. ABSTRACT (Maximum 200 words)

To understand the benefits that surface modifications provide, and ultimately to devise better ones, it is necessary to study

the physical, mechanical, and chemical changes they cause. This chapter surveys classical and leading-edge developments in surface structure and property characterization methodologies. The primary emphases are on the use of these

techniques as they relate to surface modifications, thin films and coatings, and tribological engineering surfaces and on

the implications rather than the instrumentation.

14. SUBJECT TERMS

Solid surfaces; Surface roughness; Surface properties

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