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 Tribology on the Small Scale
A Modern Textbook on Friction, Lubrication, and Wear
Second Edition

C. Mathew Mate and

Robert W. Carpick

1
 3
Great Clarendon Street, Oxford, OX2 6DP,
United Kingdom
Oxford University Press is a department of the University of Oxford.
It furthers the University’s objective of excellence in research, scholarship,
and education by publishing worldwide. Oxford is a registered trade mark of
Oxford University Press in the UK and in certain other countries
© Oxford University Press 2019
The moral rights of the authors have been asserted
First Edition published in 2008
Second Edition published in 2019
Impression: 1
All rights reserved. No part of this publication may be reproduced, stored in
a retrieval system, or transmitted, in any form or by any means, without the
prior permission in writing of Oxford University Press, or as expressly permitted
by law, by licence or under terms agreed with the appropriate reprographics
rights organization. Enquiries concerning reproduction outside the scope of the
above should be sent to the Rights Department, Oxford University Press, at the
address above
You must not circulate this work in any other form
and you must impose this same condition on any acquirer
Published in the United States of America by Oxford University Press
198 Madison Avenue, New York, NY 10016, United States of America
British Library Cataloguing in Publication Data
Data available
Library of Congress Control Number: 2019941494
ISBN 978–0–19–960980–2
DOI: 10.1093/oso/9780199609802.001.0001
Printed in Great Britain by
Bell & Bain Ltd., Glasgow
Links to third party websites are provided by Oxford in good faith and
for information only. Oxford disclaims any responsibility for the materials
contained in any third party website referenced in this work.

Front cover image: Molecular dynamics simulation of an asperity covered with an oxide layer making contact
with a flat metal surface where the contact area consists of only a few atom-to-atom contacts. In this image,
oxygen atoms are represented by blue spheres, oxidized platinum atoms by white spheres, and metallic platinum
atoms by grey spheres. Image courtesy of Prof. Ashlie Martini and Rimei Chen at the University of California,
Merced.
Preface

The importance of friction, lubrication, adhesion, and wear in technology and everyday
life is well known; they are encountered whenever two surfaces come into contact, such as
when you walk across a room, push a pencil across a piece of paper, or stroke your favorite
pet. While many excellent books have been written on tribology, most have focused on
analyzing the macroscopic aspects, with only slight attention paid to the rich interplay
between the atoms and molecules at the contacting surfaces, as these have historically
been poorly understood. In recent decades, however, many talented physicists, chemists,
engineers, and materials scientists have begun to decipher the nanoscale origins of
tribological phenomena. Given the tremendous progress and excitement generated by
this endeavor, now seems the opportune time for a more modern approach on tribology
emphasizing how macroscopic tribological phenomena originate at the atomic and
molecular level.
The goal of this book is to incorporate a bottom up approach to friction, lubrication,
and wear into a modern textbook on tribology. This is done by focusing on how these
tribological phenomena occur on the small scale—the atomic to the micrometer scale.
We hope to demonstrate that focusing on the microscopic origins leads to a more
scientifically rigorous understanding of tribology than typically achieved by tribology
books that take a macroscopic empirical approach. It is also hoped that the reader
becomes enthused with the same excitement as those working in the field have for
unraveling the mysteries of friction, lubrication, and wear, as well as an appreciation
for the many challenges that remain.
This book covers the fundamentals of tribology from the atomic scale to the
macroscale. The basic structure—with chapters on topography, friction, lubrication, and
wear—is similar to that found in conventional tribology texts. These chapters cover the
microscopic origins of the macroscopic concepts commonly used to describe tribological
phenomena: roughness, elasticity, plasticity, friction coefficients, and wear coefficients.
Some macroscale concepts (like elasticity) scale down well to the micro- and atomic-
scale, while other macroscale concepts (like hydrodynamic lubrication and wear) do not.
This book also has chapters on surface energy and surface forces, and covers other topics
not typically found in tribology texts, but which become increasingly important at the
small scale: capillary condensation, disjoining pressure, contact electrification, molecular
slippage at interfaces, and atomic scale stick-slip.
Tribology is a continually evolving field, and nanoscale studies of tribology have an
especially rapid pace of progress. These factors, combined with feedback from many
readers of the first edition, including students and university teachers, have motivated
the writing of a substantially revised second edition of Tribology on the Small Scale. For
the second edition, all the chapters have had numerous new sections added and the rest
vi Preface

of the chapter updated and revised. Some of the new sections add examples from recent
experiments that illustrate modern nanoscale tribological concepts. Other new sections
incorporate the most significant advancements that have occurred in nanoscale tribology
since the publication of the first edition, such as Persson’s contact theory; the power
spectrum treatment of surface roughness; and the application of transition state theory to
wear, viscosity, and friction. Another important enhancement of the second edition over
the first edition is the addition of problems at the end of each chapter. These problems
are drawn from classes taught at University of Pennsylvania by Prof. Carpick, which
were reviewed and improved by both authors; also many new problems were specifically
created for the second edition.
This book is intended to be suitable as a textbook for tribology courses taught at the
advanced undergraduate and graduate level in many engineering programs. In terms of
the scientific and mathematical background expected of the reader, no special knowledge
is assumed beyond that typically encountered by science and engineering students in
their first few years at a university.
In addition to college students learning about tribology for the first time, this book is
intended for several other audiences:

• Academics and scientists who wish to learn how friction, lubrication, and wear
occur at the microscopic and atomic scales.
• Engineers and technicians who do not consider themselves tribologists, but who
work with technologies (such as MEMS, disk drives, and nanoimprinting) where a
good grasp of how tribological phenomena occur on the small scale is essential.

We would like to thank all those who provided help and encouragement during the
writing of this book:

• Oxford University Press for providing us the opportunity to publish this book with
them and for their encouragement and patience during the writing of the first and
second editions of this book.
• Professor Steve Granick at the University of Illinois, Urban-Champaign and
Professor Curt Frank at Stanford University who hosted one of us (C. M. Mate)
as a visiting scholar at their universities during the writing of the first edition
(S. Granick) and the second edition (C. Frank).
• Our colleagues who were kind enough to comment on various draft chapters and
provide advice on particular aspects of tribology:

o First edition – Peter Baumgart, Tsai-Wei Wu, Run-Han Wang, Robert Waltman,
Bruno Marchon, Ferdi Hendriks, Bernhard Knigge, Qing Dai, Xiao Wu, Barry
Stipe, Bing Yen, Zvonimir Bandic, Kyosuke Ono, and Yasunaga Mitsuya.
o Second edition – Andrew Jackson, Robert Smith, Greg Rudd, Tevis Jacobs,
Joel Lefever, Harman Khare, Ashlie Martini, Jackie Krim, Nicholas Spencer,
Mark Robbins, Lars Pastewka, Arup Gangopadhyay, and all of the students of
Professor Carpick’s nanotribology class.

• Our families and especially our spouses, who have always been constant sources of
support and encouragement.
Contents

1 Introduction 1
1.1 Why is it called tribology? 2
1.2 Economic and technological importance of tribology 3
1.2.1 Tribology success story #1: reducing automotive friction 4
1.2.2 Tribology success story #2: solving adhesion in MEMS devices 6
1.2.3 Tribology success story #3: slider–disk interfaces in disk drives 9
1.3 A brief history of modern tribology 11
1.3.1 Scientific advances enabling nanotribology 12
1.4 Breakthrough technologies relying on tribology at the small scale 15
1.4.1 Nanoimprinting 16
1.4.2 Nanoelectromechanical contact switch 19
1.4.3 Nanotechnology 22
1.5 Problems 23
1.6 References 24
2 Surface Roughness 28
2.1 Surface finish, texture, and roughness 28
2.2 Measuring surface roughness 30
2.2.1 Optical interferometry 32
2.2.2 Atomic force microscopy (AFM) 33
2.3 Characterizing surface roughness 35
2.4 Roughness parameters 36
2.4.1 Variation in z-height 37
2.4.2 Surface height distributions 39
2.4.2.1 Example: z-height parameters for a polished
steel surface 40
2.4.3 Asperity summits roughness parameters 43
2.4.3.1 Example: summit parameters for a disk from a
disk drive 44
2.4.4 Surface roughness power spectrum 46
2.4.4.1 Example: surface power spectra of fractured rock
and polished steel 47
2.5 Self-affine fractal surfaces 48
2.6 Problems 51
2.7 References 52
viii Contents

3 Mechanical Properties of Solids and Real Area of Contact 54

3.1 Atomic origins of deformation 54
3.2 Elastic deformation 58
3.2.1 Basic relations 58
3.2.2 Elastic deformation of a single asperity contact 59
3.2.2.1 Approximating an asperity contact as sphere on flat 60
3.2.2.2 Elastic contact area for a sphere on a flat 60
3.2.2.3 Approximating an asperity contact as a flat punch 64
3.2.3 Elastic deformation from tangential loading 66
3.3 Plastic deformation 66
3.3.1 Basic relations 66
3.3.2 Yield criteria for plastic deformation 67
3.3.3 Plastic deformation in the sphere-on-flat geometry 68
3.3.4 Hardness 70
3.4 Real area of contact 71
3.4.1 Greenwood and Williamson model 72
3.4.1.1 Example: TiN contacts 74
3.4.1.2 Real area of contact using the Greenwood and
Williamson model 75
3.4.1.3 Example: recording head on a laser textured
disk surface 76
3.4.2 Persson theory of the contact mechanics of rough surfaces 80
3.5 Problems 83
3.6 References 85
4 Friction 88
4.1 Amontons’ and Coulomb’s laws of friction 89
4.1.1 Coefficients of friction 90
4.2 Physical origins of dry friction 91
4.2.1 Adhesive friction 93
4.2.1.1 Human skin friction 95
4.2.2 Plowing friction 97
4.2.3 Work hardening 98
4.2.4 Junction growth 99
4.3 Static friction 101
4.3.1 Stick-slip 103
4.3.1.1 Velocity-controlled stick-slip 103
4.3.1.2 Time-controlled stick-slip 106
4.3.1.3 Displacement-controlled stick-slip 107
4.4 Problems 108
4.5 References 109
 Contents ix

5 Surface Energy and Capillary Pressure 110

5.1 Liquid surface tension 110
5.2 Capillary pressure 113
5.2.1 Capillary pressure in confined places 115
5.2.2 The Kelvin equation and capillary condensation 118
5.2.2.1 Example: capillary condensation of water in a
nano-size pore 119
5.2.2.2 Example: capillary condensation of an organic
vapor at a sphere on flat geometry 119
5.3 Interfacial energy and work of adhesion 119
5.4 Contact angles 121
5.4.1 Types of wetting 122
5.4.1.1 Superhydrophobicity 123
5.4.2 Measuring contact angles 124
5.4.2.1 Contact angle hysteresis 125
5.5 Surface energy of solids 126
5.5.1 Why solids are not like liquids 126
5.5.2 Estimating solid surface energies from contact angles 128
5.5.2.1 Equation of state method 128
5.5.2.2 Surface tension components method 130
5.5.3 Other methods for estimating solid surface energies 131
5.6 Adhesion hysteresis 131
5.6.1 Mechanical adhesion hysteresis 132
5.6.2 Chemical adhesion hysteresis 134
5.7 Problems 135
5.8 References 137
6 Surface Forces Derived from Surface Energies 140
6.1 The Derjaguin approximation 140
6.1.1 Derivation of the Derjaguin approximation 142
6.2 Dry environment 144
6.2.1 Force between a sphere and a flat 144
6.2.1.1 Example: adhesion force between two polystyrene
spheres 144
6.2.1.2 Example: adhesion force between a polystyrene
sphere and a PTFE flat 145
6.2.1.3 Example: adhesion force for an atomically sharp
asperity 146
6.2.2 Adhesion-induced deformation at a sphere-on-flat contact 146
6.2.2.1 The Johnson–Kendal–Roberts (JKR) theory 146
6.2.2.2 Derjaguin–Müller–Toporov (DMT) theory 150
6.2.2.3 Adhesion deformation in nanoscale contacts 152
x Contents

6.2.3 Effect of roughness on adhesion in a dry environment 153

6.2.3.1 Example: effect of roughness on AFM adhesion 155
6.2.4 Criterion for sticky surfaces 156
6.2.4.1 Examples of when surfaces are sticky 158
6.3 Wet environment 159
6.3.1 Force for a sphere-on-flat in a wet environment 160
6.3.1.1 Example: lubricant meniscus force on an AFM tip 161
6.3.1.2 Solid–solid adhesion in the presence of a
liquid meniscus 162
6.4 Menisci in sand and colloidal material 164
6.5 Meniscus force for different wetting regimes at contacting interfaces 168
6.5.1 Toe dipping regime 168
6.5.1.1 Example: toe dipping adhesion with an exponential
distribution of summit heights 169
6.5.2 Pillbox and flooded regimes 170
6.5.3 Immersed regime 171
6.6 Example: liquid adhesion of a microfabricated cantilever beam 171
6.7 Example: surface forces in biological attachments 173
6.8 Problems 176
6.9 References 177
7 Physical Origins of Surface Forces 181
7.1 Normal force sign convention 182
7.2 Repulsive atomic potentials 183
7.3 Van der Waals forces 184
7.3.1 Van der Waals forces between molecules 184
7.3.1.1 Retardation effects for dispersion forces 187
7.3.2 Van der Waals forces between macroscopic objects 187
7.3.2.1 Molecule–flat surface interaction 188
7.3.2.2 Flat–flat interaction 189
7.3.2.3 Sphere–flat interaction 190
7.3.3 The Hamaker constant 191
7.3.3.1 Determining Hamaker constants from Lifshitz’s theory 191
7.3.3.2 Example: van der Waals force on a polystyrene sphere
above a PTFE flat 196
7.3.4 Surface energies arising from van der Waals interactions 197
7.3.5 Van der Waals adhesive pressure 199
7.3.6 Van der Waals interaction between contacting rough surfaces 200
7.3.6.1 Example: stuck microcantilevers 202
7.3.7 Example: gecko adhesion 204
7.3.8 Van der Waals contribution to the disjoining pressure of a
liquid film 206
 Contents xi

7.4 Liquid-mediated forces between solids 209

7.4.1 Solvation forces 209
7.4.1.1 Example: experimental observation of solvation
forces by AFM 212
7.4.2 Forces in an aqueous medium 213
7.4.2.1 Electrostatic double-layer force 214
7.4.2.2 Hydration repulsion and hydrophobic attraction 216
7.5 Contact electrification 219
7.5.1 Conductor–conductor mechanism of contact electrification 221
7.5.2 Metal– and insulator–insulator mechanisms of contact
electrification 223
7.5.2.1 Electrostatic discharge and triboluminescence 226
7.5.3 Example: contact electrification induced force for a PVC
sphere contacting a PTFE flat 227
7.6 Problems 228
7.7 References 230
8 Measuring Surface Forces 234
8.1 Surface force apparatus (SFA) 236
8.2 Atomic force microscope (AFM) 240
8.2.1 AFM cantilevers and tips 240
8.2.2 Chemical force microscopy 241
8.2.3 Dynamic atomic force microscopy 242
8.2.4 Friction force microscopy 242
8.3 Examples of forces acting on AFM tips 243
8.3.1 Van der Waals forces under vacuum conditions 243
8.3.2 Atomic resolution of short-range forces 245
8.3.3 Capillary condensation of contaminants and water vapor 246
8.3.4 Bonded and unbonded perfluoropolyether polymer films 249
8.3.5 Electrostatic double-layer force 252
8.3.6 Friction force mapping 253
8.4 Problems 254
8.5 References 255
9 Lubrication 259
9.1 Lubrication regimes 259
9.1.1 Stribeck curve 260
9.2 Viscosity 262
9.2.1 Definition and units of viscosity 262
9.2.2 Non-Newtonian behavior and shear degradation 265
9.2.3 Eyring model for viscosity and shear thinning 268
9.2.4 Temperature dependence 270
9.3 Fluid film flow between parallel surfaces 271
xii Contents

9.4 Slippage at liquid–solid interfaces 273

9.4.1 Definition of slip length 273
9.4.2 Example: shear stress in the presence of slip 274
9.4.3 Example: measuring slip lengths using viscous force
during drainage 274
9.4.4 Mechanisms for slip at liquid–solid interfaces 276
9.4.4.1 Theories for defect slip 276
9.4.4.2 Global slip of polymer melts 277
9.4.4.3 Apparent slip 278
9.4.5 Why does the no-slip boundary condition work so well? 280
9.5 Fluid film lubrication 280
9.5.1 Hydrodynamic lubrication 282
9.5.1.1 Inclined plane bearing 283
9.5.1.2 Rayleigh step bearing 283
9.5.1.3 Journal bearing 284
9.5.1.4 Cavitation 286
9.5.2 Gas bearings 287
9.5.2.1 Slip flow in gas bearings 288
9.5.3 Elastohydrodynamic lubrication (EHL) 289
9.5.3.1 Pressure dependence of viscosity 290
9.5.3.2 Pressure induced elastic deformation 291
9.5.3.3 Experimental measurements of EHL 292
9.6 Important physical and chemical properties of lubricants 295
9.6.1 Surface tension 295
9.6.2 Thermal properties 296
9.7 Problems 296
9.8 References 297
10 Lubrication in Tight Spots 301
10.1 Confined liquids 301
10.1.1 Example: enhanced viscosity of dodecane 304
10.1.2 Molecular origins of enhanced viscosity 306
10.2 Boundary lubrication 310
10.2.1 Boundary lubricant materials 311
10.2.2 Molecular mechanisms of boundary lubrication 314
10.2.3 Example: growth of a ZDDP anti-wear boundary layer 319
10.2.4 Molecularly thin liquid boundary lubricant layers 321
10.2.4.1 Example of the importance of end-groups in a
liquid lubricant film 323
10.3 Physics of lubricant menisci 325
10.3.1 Disjoining pressure of a liquid lubricant film 325
10.3.2 Equilibrium distribution of a liquid film 330
10.3.3 Lubricant distribution between contacting surfaces 331
 Contents xiii

10.3.4 Meniscus force 332

10.3.4.1 Example: stiction of a recording head slider 333
10.3.4.2 Calculating the meniscus force 334
10.4 Capillary condensation of water vapor 336
10.5 Example of cold welding: what happens in the absence of lubrication 340
10.6 Problems 342
10.7 References 343
11 Atomistic Origins of Friction 348
11.1 Concept of adhesive friction 348
11.1.1 Cobblestone model 349
11.1.2 Pressure dependence of the shear strength 351
11.1.3 Maximum possible shear strength 352
11.2 Atomistic models for static friction 353
11.2.1 Frenkel–Kontorova model 353
11.2.2 Superlubricity 356
11.2.2.1 Superlubricity of a graphite flake on graphite 357
11.2.2.2 Other examples of superlubricity 358
11.2.2.3 Impact of finite contact area on superlubricity 359
11.2.3 Example of extreme atomistic locking: cold welding 362
11.2.4 Prandtl–Tomlinson model 363
11.2.4.1 Example: an AFM tip sliding across an NaCl
crystal at ultra-low loads 365
11.2.4.2 Thermal activation of stick-slip events 368
11.2.5 Role of stiffness in the Frenkel–Kontorova and
Prandtl–Tomlinson models 370
11.2.6 Molecular dynamic (MD) simulations 371
11.2.7 Why static friction occurs in real-life situations 372
11.3 Energy dissipation mechanisms for friction 373
11.3.1 Friction of atoms, molecules, and monolayers sliding
over surfaces 374
11.3.1.1 Quartz crystal microbalance 375
11.3.1.2 Example: Xe on Ag(111) 376
11.3.1.3 Phononic friction 378
11.3.1.4 Electronic friction 378
11.3.1.5 Pinning of an absorbed layer 379
11.3.2 Frictional dissipation mechanisms in solid–solid sliding 380
11.4 Problems 383
11.5 References 383
12 Wear 389
12.1 Three stages of component wear 390
12.2 Modeling wear 391
xiv Contents

12.2.1 Archard wear equation 392

12.2.2 Delamination theory of wear 395
12.3 Mechanisms of wear 396
12.3.1 Wear from plastic deformation 397
12.3.2 Adhesive wear 399
12.3.3 Abrasive wear 401
12.3.4 Oxidative wear 405
12.3.4.1 Metals 405
12.3.4.2 Carbon overcoats 406
12.3.4.3 Ceramics 406
12.4 Wear maps 407
12.4.1 Unlubricated steel wear-mechanism map 408
12.4.2 Ceramic wear map 409
12.5 Atomic attrition and the transition state theory of wear 411
12.6 Hardness, plasticity, and fracture at the nanoscale 416
12.6.1 Hardness and nanoindentation 416
12.6.1.1 Example: load–displacement curves on single
crystal Cr3 Si 419
12.6.1.2 Example: fracture and plasticity in a hard carbon film 420
12.6.2 Plasticity 421
12.6.2.1 Dislocations 422
12.6.3 Fracture 423
12.7 Problems 425
12.8 References 428

Index 431
1
Introduction

Starting in childhood, we all acquired a sufficient working knowledge of tribology to lead

happy, productive lives. Crawling as infants, we mastered the frictional forces needed
to get us where we wanted to go. Eventually, we graduated from crawling to walking
to school, where an occasional icy sidewalk, if one lived in a cold climate, provided a
challenging lesson on slippage and traction. If our teacher at school asked us to move
our chair backwards, we knew intuitively that the chair would be easier to slide if no one
was sitting on it. Mastering friction was also a critical component in many of the games
that we played, whether it was gripping a bat, maintaining traction when running and
stopping, or putting a devilish spin on a ping-pong ball.
In addition to friction, we also encountered wear and adhesion at a young age. The
detrimental aspects of wear may have been first learnt when our favorite toys wore out
quicker than we felt they should. The more positive aspects of wear may have been
first appreciated as we sanded our first woodworking projects and polished our first art
sculptures into their final artistic shapes. We also quickly learnt that crayons and pencils
become dull when rubbed against paper, but can be sharpened back up by grinding in a
pencil sharpener. Our first awareness of adhesion may have been on a humid day when
someone commented on how “sticky” it feels. Or perhaps it was when we first wondered
why spiders and flies can walk on the ceiling, but dogs and cats cannot.
Once in college, science and engineering classes usually only cover the topics of
friction, lubrication, adhesion, and wear at a rudimentary level. For friction, all that is
usually taught is that static friction is greater than kinetic friction, friction is proportional
to the normal contact force with different coefficients for different materials, and viscous
friction in a fluid is proportional to velocity. The principles of thin film lubrication are
covered only in an advanced class on fluid mechanics as an example of solving Reynolds’
equation. Wear is only briefly covered in specialized engineering classes on tribology,
despite its pervasiveness as a failure mechanism, and adhesion is covered incidentally in
courses on chemical bonding or polymer physics.
Considering how much we encounter the tribological phenomena of friction, lubri-
cation, adhesion, and wear in our daily lives and the wide extent of these phenomena
in industry and technology, one might be puzzled why these topics are only marginally
covered in our current education system. In the authors’ opinion, the fault lies not with
colleges and universities, but rather with the inherently complicated and interconnected

Tribology on the Small Scale: A Modern Textbook on Friction, Lubrication and Wear. Second edition. C. Mathew Mate and
Robert W. Carpick. © Oxford University Press 2019. Published in 2019 by Oxford University Press.
DOI: 10.1093/oso/ 9780199609802.001.0001
2 Introduction

physical origins of most tribological phenomena. This multifaceted nature has made
it difficult for scientists and engineers to develop predictive theories for most tribo-
logical phenomena. Instead, empirically derived trends (for instance, that friction is
proportional to the loading force) are often the only predictive tools available. These
empirical approaches have the drawback of being predictive only over a limited range of
parameters. Since the underlying physical mechanisms are not well understood, often one
does not even know what the important parameters are or over what range the observed
trends are valid. Similarly, if a purely analytical approach is attempted, the lack of
knowledge of the relevant parameters often leads to inaccurate predictions of tribological
behavior. This poor predictive power has led to the field of tribology being perceived in
many scientific quarters as more of a “black art” than as a scientific discipline. This lack
of predictive power may also be the reason why educators are reluctant to spend much
time on tribology concepts whose application may be dubious in many situations.
For example, if one wanted to analyze the friction force acting on a chair sliding
across a hardwood floor, the most expedient approach would be to take advantage of
past empirical studies that have shown that friction is generally proportional to the
loading force (the weight of the chair and the person sitting on it) with a proportionality
constant called the coefficient of friction or μ. Using this approach, the next step is to
determine from experiment how μ depends on the parameters suspected of influencing
friction: sliding velocity, hardness of the wood, type of floor wax, etc. After a few hours
of experiment, one would begin to have a good idea how friction depends on these
parameters, but would have trouble predicting without further experimentation how the
friction might change if new parameters were introduced, for example, by adding felt
pads to the bottom of the chair legs to prevent them from scratching the hardwood floor.
While many tribology problems are still best approached through empirical investi-
gations, these types of investigations are not the focus of this book. Instead, the focus
is on the physical origins of tribology phenomena and how understanding these can be
used to develop analytical approaches to tribological problems. In essence, the goal is to
make tribology less of a black art and more of a scientific endeavor. This will be done
by emphasizing how the tribological phenomena of friction, lubrication, adhesion, and
wear originate at the small scale. Or, equivalently, how physical phenomena occurring at
the atomic to micron scale eventually lead to macroscale tribological phenomena. The
hope is that, once readers have gained a solid understanding of the nanoscale origins
of tribological phenomena, they will be well equipped to tackle new tribology problems,
either by applying analytical methods or developing better empirical approaches.

1.1 Why is it called tribology?

The pursuit of the microscopic origins of friction, lubrication, adhesion, and wear is not
a recent scientific activity. Over the centuries, many have pondered on these origins, and
in recent decades it has become quite fashionable for leading scientists to take up the
challenge. One of the early pioneers and champions of the microscopic approach was
Prof. David Tabor (1913–2005) of Cambridge University. One of the frustrations faced
 Economic and technological importance of tribology 3

by Tabor and others working in this field at that time was the lack of a scientific name for
the area of study encompassing all the phenomena occurring between contacting objects.
It was felt that this lack of terminology was depriving the field of a certain level of status
and respect within the scientific community. (For example, some of Tabor’s colleagues
at the Cavendish Laboratory in Cambridge would disparagingly refer to his research
group as the “Rubbing and Scrubbing Department” (Hahner and Spencer 1998).) To
counter this, Tabor coined the name tribophysics for the research group that he headed
while investigating practical lubricants, bearings, and explosives at Melbourne University
during the Second World War, which he derived from the Greek word tribos, meaning
rubbing.
In 1966, H. Peter Jost led a Committee of the British Department of Education and
Science to produce the “Jost Report,” which officially launched the word tribology to
describe the entire field and which was derived from Tabor’s earlier word, tribophysics
( Jost 1966). While the literal translation of tribology is “the science of rubbing,” in the
Jost Report, this definition was adopted: “The science and technology of interacting
surfaces in relative motion and of associated subjects and practices.” After the Jost
Report, the term tribology quickly became established as the field’s official name, and
the word now commonly appears in the titles of papers, books, journals, professorships,
and institutions concerned with this topic.
While the name tribology has certainly increased the credibility of the field as a valid
discipline of scientific and engineering, the term remains somewhat unknown outside
the field. So, tribologists need to be prepared to explain the word to those who have not
heard of it before, or who mistake it for the study of tribes or of the number three.

1.2 Economic and technological importance of tribology

One of the goals of the 1966 Jost Report was to document the potential economic savings
that could be achieved through the development and adoption of better engineering
practices for minimizing the unnecessary wear, friction, and breakdowns associated with
tribological failures. The possible savings within the United Kingdom were estimated to
be roughly equivalent to 1% of its GNP. Since the Jost Report, other agencies have also
evaluated possible savings, and the consensus view now is that between 1% and 2% of
most industrialized nations’ GNP could be gained through proper attention to tribology
(Dake et al. 1986, Jost 1990, Chattopadhyay 2014); for example, this would correspond
to $186–$371 billion for the United States in 2017.
While these potential economic benefits have long been recognized, this has not always
been followed up with the level of investment in tribology research and development
felt to be warranted by many tribologists. Possibly a major factor in this reluctance to
back tribology projects comes from its historical “black art” character, which tends
to cast doubt on how successful a proposed tribology project will be. Hopefully, this
book will help diminish these doubts by demonstrating a rational and scientific basis for
approaching tribological problems. Another way of diminishing doubts about the science
of tribology is through a few success stories.
4 Introduction

1.2.1 Tribology success story #1: reducing automotive friction

Improving the fuel economy of cars and trucks has long been a major technology goal
of the automotive industry (Tung and McMillan 2004, Holmberg et al. 2012, Lee and
Carpick 2017). An obvious way for improving fuel efficiency is reducing the energy loss
through friction. For the average passenger car, the analysis by Holmberg et al. (2012)
indicates that only about 21.5% of the fuel energy goes to actually moving the car along
the road, while 33% is lost overcoming friction within the automobile (Figure 1.1).
Due to the fairly mature nature of automotive technology, generally only incremental
improvements are achieved each design cycle; however, the cumulative effect of these
incremental improvements has been quite substantial. For example, from 1980 to 2016,
the average fuel economy of cars and trucks sold in the United States increased from
19.2 to 24.7 miles per gallon, despite the average horsepower more than doubling from
104 to 230 (U.S. Environmental Protection Agency 2017). In addition, the reduction in
automotive friction and improvements in the wear resistance of automotive components
has led to the median age of automobiles on the road increasing from 5.1 years in 1969
to 11.6 years in 2016 (Bureau of Transportation Statistics 2017).
As shown in Figure 1.1, automotive frictional losses come from

• the friction within the engine,

• the friction within the transmission system,
• the rolling resistance and traction of the tires against the road, and
• the friction during braking.

Even though automobiles powered by internal combustion have been around for over
a century, the automotive industry still continues to find ways to lower friction losses

EXHAUST
33%
Useless
energy
losses Total
energy
FUEL COOLING losses
ENERGY 29%
100%
ENGINE
11.5%
MECHA- FRICTION
NICAL TRANSM. 5%
LOSSES
POWER 33% ROLLING ENERGY
38% RESIST. 11.5% TO MOVE
BRAKES 5% THE CAR
AIR DRAG 5% AIR DRAG 5% 21.5%

Figure 1.1 Breakdown of how the fuel energy in the average passenger car is used and dissipated as it
is converted into useful work to move the car. Reproduced from Holmberg et al. (2012) with permission
from Elsevier, copyright 2012.
 Economic and technological importance of tribology 5

5W–20

5W–30
5W–20
2.5
Fuel efficiency improvement, %

5W–20

5W–30
5W–30
2

5W–20

5W–30
1.5
5W–20
5W–30

0.5

0
GF–1 GF–2 GF–3 GF–4 GF–5
1993 1997 2001 2005 2010

Figure 1.2 Improvement in fuel efficiency due to the reduction in engine friction achieved through
changes in engine oils for gasoline fueled (GF) vehicles. GF-1 to GF-5 engine oil specifications correspond
to changes in base oil and additive chemistry. Reducing the oil viscosity from 5W-30 to 5W-20 provides
an additional 0.5% improvement. The baseline is Energy Conserving II engine oils available prior to
1993. Courtesy of Arup Gangopadhyay at Ford Powertrain Research and Advanced Engineering.

in automotive powertrains and tires. An example of this is shown in Figure 1.2, which
illustrates the impact that improved engine oils have had on fuel efficiency. From 1993
to 2010, changes in engine oil, including reducing their viscosity, resulted in a 1.6%
improvement in fuel efficiency through the reduction of non-viscous engine friction.
Along with the improvement in fuel economy, these newer engine oils also achieve
higher wear protection, higher resistance to oxidation, and less formation of sludge and
varnish within the engines. Over the 1993–2006 period, an additional 1% improvement
in automotive fuel efficiency was achieved by using lower viscosity transmission fluids
and another 1% by using lower viscosity gear lubricant (Gangopadhyay 2006).
Due to the desire to reduce the transportation sector’s contribution to global CO2
emissions, the automotive industry continues to strive to improve fuel economy, with
further reduction in automotive friction still expected to be an important contributor to
this goal. The amount of possible gains in fuel economy that could potentially be achieved
by reducing friction has been analyzed by Holmberg et al. (2012), who estimate that
friction could be reduced by upwards of 18% if one could build a car out of components
with friction coefficients as low as the lowest demonstrated in research labs.
A 2017 report to the U.S. Department of Energy (DOE; Lee and Carpick 2017,
Chapter 2) discusses a wide variety of technological opportunities for further improving
fuel economy related to tribology. These include further improving engine and drivetrain
lubricants, optimizing component design (e.g., through thin film coatings and surface
6 Introduction

finishes of parts, or improving the design of pistons), designing lubricants in tandem

with the engine and drivetrain, incorporating advanced engine sensing and actuation,
improving computationally-aided design and modeling, and developing advanced coat-
ings, finishes and lubricants. This DOE report “estimates that continued efforts in this
area . . . could easily achieve 2–5% additional fuel economy gains.”

1.2.2 Tribology success story #2: solving adhesion in

MEMS devices
It has long been realized that miniaturization of machines can result in major new tech-
nologies. In recent years, the most promising way for fabricating microscale mechanical
devices has been to use processes originally developed for fabricating semiconductor
electronic devices. By using these fabrication processes, mechanical functions (such
as actuation, fluid flow, thermal response, etc.) can be integrated on a small area
of a chip along with electronic signal processing. A major advantage of fabricating
these microelectromechanical systems (MEMS) with semiconductor processing techniques
is that they achieve excellent economies of scale, since many devices are fabricated
simultaneously onto a single chip. This low unit cost, along with the integration of
mechanical and electrical functions into a small space, enables whole new types of
technologies to become commercially viable.
MEMS devices can be categorized as follows based on how their mechanical con-
stituents move and contact (Romig et al. 2003):

• Class I—no moving parts (e.g., pressure sensors, inkjet printer heads, and micro-
phones);
• Class II—moving parts, but no rubbing or impacting surfaces (e.g., accelerometers,
gyros, and radiofrequency (RF) oscillators);
• Class III—moving parts with impacting surfaces, (e.g., digital micromirror devices
(DMDs), RF contact switch);
• Class IV—moving parts with impacting or rubbing surfaces (e.g., micromotors).

These classes are listed in order of increasing tribology complexity, which typically
corresponds to an increasing tendency for failure from tribological phenomena such as
adhesion, friction, mechanical stress, wear, and fracture. Most of the MEMS devices
that have been successfully commercialized belong to Class I and II, with only a few in
Class III, and none in Class IV. As the lack of tribological interactions contributes to
higher reliability, the best way to avoid a tribology reliability issue in a MEMS device is
to design it so that it moves as little as possible and without impacting contacts!
The most widely used Class III MEMS device is the DMD, developed by Texas
Instruments (TI) and used in digital light processing (DLP) video projection devices
such as large screen televisions (Hornbeck 2011). The development of the DMD
provides a good success story of how solving microscale tribology issues can enable
 Economic and technological importance of tribology 7

Mirror –10°

Mirror +10°
Hinge

CMP
oxide Metal 3 Yoke
CMOS
Spring tip
memory
substrate

Figure 1.3 Two of the mirrors in a digital micromirror device (DMD). Electrostatic attraction is used
to rotate the mirrors ±10◦ to the mechanical stops where the spring tips make contact. Reprinted from
Hornbeck (2011) with permission from Cambridge University Press, copyright 2011.

a new technology to gain sufficient reliability for commercialization. In a DMD, an

array of mirrors, each about 16 μm across, is used to project an image onto a video
screen. As illustrated in Figure 1.3, the intensity of each pixel is controlled by rotating the
individual micromirrors through ±10◦ by using electrostatic attraction. Before shipping
its first DMD product in 1996, TI carried out extensive reliability engineering and
testing (Douglass 1998, Van Kessel et al. 1998), and a number of reliability issues were
addressed: stuck mirrors, fatigue of the mirror hinge, excessive hysteresis in hinge deflec-
tion, mirrors breaking as result of vibration and shock, and particles preventing mirrors
from rotating. Here we focus on the sticking of the mirrors against their mechanical stop,
which was a persistent tribology problem for which the TI engineers implemented a com-
bination of clever solutions based on a thorough micro-understanding of the adhesive
mechanism.
In a DMD, the individual micromirrors are rotated from the on to off positions. To
ensure that each mirror has the correct angular position at the end of the rotation, the
mirror yoke is designed to come to rest against a mechanical stop, as illustrated in Figure
1.3. During the development of the DMD, it was found that adhesive forces acting at this
contact would sometimes be large enough to result in the mirror sticking against the stop,
making it non-functional. These adhesive forces originate from the meniscus force due
to water vapor condensing around the contact (discussed in Chapter 6) and from van der
Waals forces (discussed in Chapter 7). A number of design changes were implemented
in the DMD to reduce the magnitude of these adhesive forces and to improve the release
function:
8 Introduction

• The DMD was hermetically sealed in a dry environment to minimize the capillary
condensation of water.
• The contacting parts were covered with a low surface energy “anti-stick” material
to minimize the van der Waals force.
• Miniature springs were added to the parts of the mirror yoke that makes contact—
the “spring tips” shown in Figure 1.3. These spring tips store elastic energy when
the parts come into contact, which helps push the mirror away from the surface
when the electrostatic attractive force is released.

These design modifications dramatically reduced the tendency of the micromirrors

to stick, greatly improving the DMD operating margins (Douglass 1998, Van Kessel
et al. 1998). From 1996 to 2010, TI sold over 20 million DLP systems with DMDs,
demonstrating that, when proper attention is paid to the microscale tribology issues, a
reliable product can include a MEMS device with contacting components.
The RF MEMS switch is another Class III MEMS device that was first commer-
cialized by Analog Devices. These MEMS devices use a conductive gold cantilever
that is pulled by electrostatic forces into contact with another electrode, thereby closing
an electronic path for RF conductivity (Goggin et al. 2015). The small size of the
MEMS switch is not only beneficial in terms of space and weight, but also consumes
far less power than larger conventional switches, as well as providing a number of other
improvements in electrical performance (Rebeiz 2004).
Initial attempts to commercialize MEMS switches were unsuccessful largely due to
tribological reliability issues of the contact, which must survive billions of switching
cycles to be commercially viable. By engineering the packaging environment to include
hermetic sealing to prevent contamination and electrostatic charging from the envi-
ronment and by developing materials at the contact junction that minimized wear and
adhesion, Analog Devices was able to produce a reliable commercial device.
As discussed in Section 1.4.2, miniaturization of MEMS contact switches to have
sub-100 nm feature sizes (a nanoelectromechanical contact switch) is being developed
as a new technology for potentially competing with complementary metal–oxide semi-
conductor (CMOS) transistors, once the reliability issues associated with the repeated
contact and the manufacturing issues can be solved.
For Class IV MEMS devices where surfaces rub against each other, solving the
tribology issues is much more challenging (Williams and Le 2006, Achanta and Celis
2015). For example, much fanfare was made about the first working MEMS micromotor
in 1988 (Fan et al. 1989). While these micromotors rotated as desired, the rotors
need to supported by a bearing that is typically made by silicon microfabrication
technologies; this typically results in the contacting surfaces having high friction and
wear, severely limiting the reliability lifetimes of the micromotor. While micromotors
have been demonstrated with a low friction liquid bearing, a gas-lubricated bearing, a
contactless magnetic bearing, and an electrostatic bearing (Shearwood et al. 2000, Wong
et al. 2004, Chan et al. 2012, Sun et al. 2016), micromotors with sufficient reliability for
commercialization still have not been demonstrated.
Another random document with
no related content on Scribd:
 supply or medical departments is known to have been court
martialed or even censured. Yet I do not hesitate to say that
the summary dismissal from the service, in the beginning, of
two or three quartermasters and commissaries, including the
gentlemen who were the cause of sending thousands of cars to
Tampa without invoices or anything on the outside of them to
indicate their contents, would have saved the lives of
hundreds of our soldiers. Under these circumstances it is most
lamentable to find that the awful experiences which have made
so many homes desolate, and so many of our best young men
invalids, have borne no practical fruit. Both the army
officials and Congress are like the Bourbons, they 'have
learned nothing and forgotten nothing.'"

G. W. Wingate,
What the Beef Scandal Teaches
(Independent, April 6, 1899).

UNITED STATES OF AMERICA: A. D. 1898-1899.

Joint High Commission for settlement of
pending questions with Canada.

See (in this volume)

CANADA: A. D. 1898-1899.

UNITED STATES OF AMERICA: A. D. 1898-1899 (October-October).

Military government of Porto Rico.

See (in this volume)

PORTO RICO: A. D. 1898-1899 (OCTOBER-OCTOBER).

UNITED STATES OF AMERICA: A. D. 1898-1899 (December-January).

Instructions by the President to General Otis,
Military Governor of the Philippines.
Their proclamation by the latter in a modified form.
The effect.
 See (in this volume)
PHILIPPINE ISLANDS: A. D. 1898-1899 (DECEMBER-JANUARY).

UNITED STATES OF AMERICA: A. D. 1899 (January).

The case of Commissary-General Eagan.

A court-martial, sitting in January, 1899, for the trial of

Commissary-General Eagan, on the charge that he had been
guilty of "conduct unbecoming an officer and a gentleman, and
conduct to the prejudice of good order and military
discipline," in the abusive language that he had applied to
the commanding general of the army, in the course of his
testimony before the Commission to investigate the conduct of
the War Department found the accused officer guilty, and
imposed the inevitable penalty of dismissal from the service,
but recommended executive clemency in his case.

See:
UNITED STATES OF AMERICA: A. D. 1898-1899.

The sentence was commuted by the President to suspension from

rank and duty for six years. This involved no loss of pay,
and, at the end of six years, General Eagan will go on the
retired list.

UNITED STATES OF AMERICA: A. D. 1899 (January).

Appointment of the First Commission to the Philippines.
The President's instructions to the Commissioners.

See (in this volume)

PHILIPPINE ISLANDS: A. D. 1899 (JANUARY).

UNITED STATES OF AMERICA: A. D. 1899 (January-February).

The Treaty of Peace in the Senate.
Its ratification.

The Treaty of Peace with Spain, signed at Paris December 10,

1898, was sent by the President to the Senate on the 4th of
January, 1899, and held under debate in that body until the
6th of February following. The opposition to it was very
strong, being especially directed against the acquisition of
the Philippine Islands, involving, as that acquisition did,
the embarkation of the Republic in a colonial or imperial
policy, of conquest and of government without the consent of
the governed, which seemed to a great number of thoughtful
people, not only incongruous with its constitution, but a
dangerous violation of the principles on which its republican
polity is founded. But even those most opposed to the
acquisition of the Philippine Islands were reluctant to reopen
the state of war by rejection of the treaty, and directed
their efforts mainly towards the securing of a definite
declaration from Congress of the intention of the government
of the United States to establish independence in the islands.

"Even before the signing of the treaty at Paris, on the 6th of

December, when the demand of the American commissioners for
cession of the Philippines was known, the opposition expressed
itself in the following resolution, introduced by Senator
Vest, of Missouri:

"Resolved by the Senate and House of Representatives of the

United States of America in Congress assembled. That under the
Constitution of the United States no power is given to the
Federal Government to acquire territory to be held and
governed permanently as colonies. The colonial system of
European nations can not be established under our present
Constitution, but all territory acquired by the Government,
except such small amount as may be necessary for coaling
stations, correction of boundaries, and similar governmental
purposes, must be acquired and governed with the purpose of
ultimately organizing such territory into States suitable for
admission into the Union."

This resolution became the ground of much senatorial debate

 during the following weeks. The arguments opposed to it, and
supporting the policy of the administration, are represented
fairly by the following passage from a speech made by Senator
Platt, of Connecticut, on December 16:

{635}

"I propose to maintain that the United States is a nation;

that as a nation it possesses every sovereign power not
reserved in its Constitution to the States or the people; that
the right to acquire territory was not reserved, and is
therefore an inherent sovereign right; that is a right upon
which there is no limitation, and with regard to which there
is no qualification; that in certain instances the right may
be inferred from specific clauses in the Constitution, but
that it exists independent of these clauses; that in the right
to acquire territory is found the right to govern it; and as
the right to acquire is a sovereign and inherent right, the
right to govern is a sovereign right not limited in the
Constitution, and that these propositions are in accordance
with the views of the framers of the Constitution, the
decisions of the Supreme Court, and the legislation of
Congress.

"Mr. President, this is a nation. It has been called by

various names. It has been called a Confederated Republic, a
Federal Union, the Union of States, a league of States, a rope
of sand; but during all the time these names have been applied
to it it has been a nation. It was so understood by the
framers of the Constitution. It was so decided by the great
judges of the Supreme Court in the early days of the
Constitution. It is too late to deny it, and, Mr. President,
it is also too late to admit it, and not have faith in it.
Intellectual assent to the doctrines of Christianity does not
make a man a Christian. It is saving faith that makes the
Christian. And a mere intellectual assent to the doctrine that
we are a nation does not make the true patriot. It is high
time that we come to believe without qualification, to believe
in our hearts, in the exercise of patriotic faith, that the
United States is a nation. When we come to believe that, Mr.
President, many of the doubts and uncertainties which have
troubled men will disappear.

"It is time to be heroic in our faith and to assert all the

power that belongs to the nation as a nation. … The attempt to
shear the United States of a portion of its sovereign power is
an attempt which may well be thoroughly and fully discussed.
In the right to acquire territory is found the right to
govern, and as the right to acquire is sovereign and
unlimited, the right to govern is a sovereign right, and I
maintain is not limited in the Constitution. If I am right in
holding that the power to acquire is the sovereign power
without limitation, I think it must be admitted that the right
to govern is also sovereign and unlimited. But if it is sought
to rest the right to govern upon that clause of the
Constitution which gives Congress the power to dispose of or
make 'all needful rules and regulations' for the government of
the territory of the United States, I submit there is no
limitation there. There is no qualification there."

On the 4th of January the Senate received the treaty from the
President. On the 7th, Senator Mason, of Illinois, introduced
the following resolution, and, subsequently, spoke with
earnestness in its support:

"Whereas all just powers of government are derived from the

consent of the governed: Therefore, be it

"Resolved by the Senate of the United States, That the

Government of the United States of America will not attempt to
govern the people of any other country in the world without
the consent of the people themselves, or subject them by force
to our dominion against their will."
On the 9th an impressive speech was made by Senator Hoar, of
Massachusetts, mainly in reply to Senator Platt. He spoke
partly as follows:

"Mr. President, I am quite sure that no man who will hear or

who will read what I say today will doubt that nothing could
induce me to say it but a commanding sense of public duty. I
think I dislike more than most men to differ from men with
whom I have so long and so constantly agreed. I dislike to
differ from the President, whose election I hailed with such
personal satisfaction and such exulting anticipations for the
Republic. I dislike to differ from so many of my party
associates in this Chamber, with whom I have for so many years
trod the same path and sought the same goal. I am one of those
men who believe that little that is great or good or permanent
for a free people can be accomplished without the
instrumentality of party. And I have believed religiously, and
from my soul, for half a century, in the great doctrines and
principles of the Republican party. I stood in a humble
capacity by its cradle. I do not mean, if I can help it, to
follow its hearse. I am sure I render it a service; I am sure
I help to protect and to prolong the life of that great
organization, if I can say or can do anything to keep it from
forsaking the great principles and doctrines in which alone it
must live or bear no life. I must, in this great crisis,
discharge the trust my beloved Commonwealth has committed to
me according to my sense of duty as I see it. However
unpleasant may be that duty, as Martin Luther said, 'God help
me. I can do no otherwise.'

"I am to speak for my country, for its whole past and for its
whole future. I am to speak to a people whose fate is bound up
in the preservation of our great doctrine of constitutional
liberty. I am to speak for the dead soldier who gave his life
for liberty that his death might set a seal upon his country's
historic glory. I am to speak for the Republican party, all of
whose great traditions are at stake, and all of whose great
 achievements are in peril. …

"The question with which we now have to deal is whether

Congress may conquer and may govern, without their consent and
against their will, a foreign nation, a separate, distinct,
and numerous people, a territory not hereafter to be populated
by Americans, to be formed into American States and to take its
part in fulfilling and executing the purposes for which the
Constitution was framed, whether it may conquer, control, and
govern this people, not for the general welfare, common
defense, more perfect union, more blessed liberty of the
people of the United States, but for some real or fancied
benefit to be conferred against their desire upon the people
so governed or in discharge of some fancied obligation to
them, and not to the people of the United States.

"Now, Mr. President, the question is whether the men who

framed the Constitution, or the people who adopted it, meant
to confer that power among the limited and restrained powers
of the sovereign nation that they were creating. Upon that
question I take issue with my honorable friend from
Connecticut.
{636}
I declare not only that this is not among the express powers
conferred upon the sovereignty they created, that it is not
among the powers necessarily or reasonably or conveniently
implied for the sake of carrying into effect the purposes of
that instrument, but that it is a power which it can be
demonstrated by the whole contemporaneous history and by our
whole history since until within six months they did not mean
should exist—a power that our fathers and their descendants
have ever loathed and abhorred—and that they believed that no
sovereign on earth could rightfully exercise it, and that no
people on earth could rightfully confer it. They not only did
not mean to confer it, but they would have cut off their right
hands, everyone of them, sooner than set them to an instrument
which should confer it. …
"The great contemporaneous exposition of the Constitution is
to be found in the Declaration of Independence. Over every
clause, syllable, and letter of the Constitution the
Declaration of Independence pours its blazing torch-light. The
same men framed it. The same States confirmed it. The same
people pledged their lives, their fortunes, and their sacred
honor to support it. The great characters in the
Constitutional Convention were the great characters of the
Continental Congress. There are undoubtedly, among its burning
and shining truths, one or two which the convention that
adopted it were not prepared themselves at once to put into
practice. But they placed them before their countrymen as an
ideal moral law to which the liberty of the people was to
aspire and to ascend as soon as the nature of existing
conditions would admit. Doubtless slavery was inconsistent
with it, as Jefferson, its great author, has in more than one
place left on record. But at last in the strife of a great
civil war the truth of the Declaration prevailed and the
falsehood of slavery went down, and at last the Constitution
of the United States conformed to the Declaration and it has
become the law of the land, and its great doctrines of liberty
are written upon the American flag wherever the American flag
floats. Who shall haul them down?"

Two days later (January 11) the following resolutions were

introduced by Senator Bacon, of Georgia:

"Resolved by the Senate and House of Representatives of the

United States of America in Congress assembled,

First, That the Government and people of the United States

have not waged the recent war with Spain for conquest and for
the acquisition of foreign territory, but solely for the
purposes set forth in the resolution of Congress making the
declaration of said war, the acquisition of such small tracts
of land or harbors as may be necessary for governmental
purposes being not deemed inconsistent with the same.

"Second. That in demanding and in receiving the cession of the

Philippine Islands it is not the purpose of the Government of
the United States to secure and maintain dominion over the
same as a part of the territory of the United States, or to
incorporate the inhabitants thereof as citizens of the United
States, or to hold said inhabitants as vassals or subjects of
this Government.

"Third. That whereas at the time of the declaration of war by

the United States against Spain, and prior thereto, the
inhabitants of the Philippine Islands were actively engaged in
a war with Spain to achieve their independence, and whereas
said purpose and the military operations thereunder have not
been abandoned, but are still being actively prosecuted
thereunder, therefore, in recognition of and in obedience to
the vital principle announced in the great declaration that
governments derive 'their just powers from the consent of the
governed,' the Government of the United States recognizes that
the people of the Philippine Islands of a right ought to be
free and independent; that, with this view and to give effect
to the same, the Government of the United States has required
the Government of Spain to relinquish its authority and
government in the Philippine Islands and to withdraw its land
and naval forces from the Philippine Islands and from the
waters thereof.

"Fourth. That the United States hereby disclaim any

disposition or intention to exercise sovereignty,
jurisdiction, or control over said islands, and assert their
determination when an independent government shall have been
duly erected therein entitled to recognition as such, to
transfer to said government, upon terms which shall be
reasonable and just, all rights secured under the cession by
Spain, and to thereupon leave the government and control of
the islands to their people."
 On the 13th, Senator McLaurin, of South Carolina, returned to
the question of constitutional power in the government of the
United States to hold territory in a permanently subject
state, and spoke against the view maintained by Senator Platt,
of Connecticut: "To hold," he said, "that there is an inherent
power of sovereignty in the nation, outside of the
Constitution, to do something not authorized by that
instrument is to place this 'inherent sovereignty' above the
Constitution and thus destroy the very foundation upon which
constitutional government rests. Judge Gray in the
Chinese-exclusion case, said: 'The United States are a
sovereign and independent nation, and are invested by the
Constitution with the entire control of international
relations and with all the powers of government necessary to
maintain that control and make it effective.' While holding
that the United States are a sovereign and independent nation,
it will be seen that he also holds that the sovereignty of the
nation is vested by the Constitution; and if so, it can only
be exercised in the mode pointed out in the Constitution and
is controlled by the words of the grant of this sovereignty.
There was no nation of the United States until the adoption of
the Federal Constitution; hence before that time there could
be no sovereignty of the nation. What conferred this
sovereignty? Clearly the States, by and through the Federal
Constitution. If so, then there can be no inherent right of
sovereignty except that conferred by the Constitution.

"The Senator further contends that we are a sovereign nation,

and as such have the same inherent right to acquire territory
as England, France, Germany, and Mexico. I controvert that
proposition. The sovereignty of the nation of Great Britain
and the others is vested in the people, and has never been
delegated and limited as in our country. These Governments
enjoy sovereignty in its elementary form.
{637}
What the government wills it may do without considering the
act or its consequences in the light of an organic law of
binding obligation. Our Government is in a very different
position. The Federal Constitution is the embodiment of the
sovereignty of the United States as a nation, and this
sovereignty can only be exercised in accordance with the
powers contained in its provisions. Great Britain can do
anything as a nation in the way of the exercise of
governmental functions. There is nothing to prohibit or
restrict the fullest exercise of her sovereignty as a nation.
Hence there is no analogy, and the sovereignty of the United
States as a nation differs widely from that of Great Britain.

"It is further contended that a sovereign right can not be

limited and that all our Constitution can do is to prescribe
the manner in which it can be exercised. If, as already shown,
the sovereignty of the United States was conferred by the
States through the Federal Constitution, it is clear that, in
conferring the power and prescribing the manner of its
exercise, they did set a limit in the very terms of the
instrument itself. I deny, therefore, that the United States
as a nation has a sovereign, inherent right and control
outside of the grant of such power in the Constitution. This
is not an essential element of nationality so far as our
nation is concerned, although it may be in England or Russia,
where the nationality and sovereignty incident to it are not
created and limited by a written constitution."

On the 14th of January, Mr. Hoar submitted the following:

"Resolved, That the people of the Philippine islands of right

ought to be free and independent; that they are absolved from
all allegiance to the Spanish Crown, and that all political
connection between them and Spain is and ought to be totally
dissolved, and that they have, therefore, full power to do all
acts and things which independent states may of right do; that
it is their right to institute a new government for
themselves, laying its foundation on such principles and
organizing its powers in such form as to them shall seem most
likely to effect their safety and happiness; and that with
these rights the people of the United States do not propose to
interfere."

On the 18th, Mr. Bacon amended his resolutions, given above,

by changing the phrase "an independent government" to "a
stable and independent government," and then spoke upon them
with force, saying, among other things: "The simple fact that
we went to war with Spain did not devolve upon us any
obligation with reference to the Philippine Islands. We went
to war with Spain not for the purpose of correcting all the
evils with which her people were afflicted; we went to war
with Spain not to break the chains of tyranny with which she
might be binding her different colonies: we did not undertake
to be the great universal benefactor and to right all the
wrongs of all the world, or even all the wrongs that Spain
might be inflicting upon any of her people. "We went to war
because a particular colony which she was afflicting lay at
our doors; we went to war because the disorders of that
Government affected the peace of our community and were
injurious to our material interest. We said there was a
condition of affairs which was unbearable and that we would
put an end to it.

"To that extent and to that alone we claimed and avowed the
reason for the declaration of war. So it follows that the mere
declaration of war did not affect in any manner our relations
with the Philippine Islands except to put us in a state of war
with them as a part of the Spanish domain, and in no manner
laid any obligations upon us as to those islands. We were not
charged with the duty of preserving order in Asia. We were not
charged with the obligations of seeing that they had a stable
and orderly government in any part of that hemisphere. No such
duty rested upon us. None such was assumed by us. Therefore
the simple declaration of war did not lay any obligation upon
us as to the Philippine Islands, and I desire that any Senator
will put his finger upon the act which laid us under any
obligations to the Philippine Islands outside of the fact that
in the war which ensued we took those who were the insurgents
in those islands to be our allies and made a common cause with
them.

"Now, Mr. President, all that grows out of that—all that grows
out of the fact of that cooperation and that alliance—is to
impose upon us a single obligation which we must not ignore.
How far does that obligation go? Does it require that we shall
for all time undertake to be the guardians of the Philippine
Islands? Does that particular obligation lay upon us the duty
hereafter, not only now but for years to come, to maintain an
expensive military establishment, to burden our people with
debt, to run the risk of becoming involved in wars in order
that we may keep our hands upon the Philippine Islands and
keep them in proper condition hereafter? I am unable to see
how the obligation growing out of the fact that they were our
allies can possibly be extended to that degree. No Senator has
yet shown any reason why such an obligation rests upon us, and
I venture to say that none which is logical will or can be
shown."

The practical considerations, of circumstance and expediency,

which probably had more influence than those of law or
principle, were strongly urged by Senator Lodge, of
Massachusetts, who said, on the 24th:

"Suppose we ratify the treaty. The islands pass from the

possession of Spain into our possession without committing us
to any policy. I believe we can be trusted as a people to deal
honestly and justly with the islands and their inhabitants
thus given to our care. What our precise policy shall be I do
not know, because I for one am not sufficiently informed as to
the conditions there to be able to say what it will be best to
do, nor, I may add, do I think anyone is. But I believe that
we shall have the wisdom not to attempt to incorporate those
 islands with our body politic, or make their inhabitants part
of our citizenship, or set their labor alongside of ours and
within our tariff to compete in any industry with American
workmen. I believe that we shall have the courage not to
depart from those islands fearfully, timidly, and unworthily
and leave them to anarchy among themselves, to the brief and
bloody domination of some self-constituted dictator, and to
the quick conquest of other powers, who will have no such
hesitation as we should feel in crushing them into subjection
by harsh and repressive methods. It is for us to decide the
destiny of the Philippines, not for Europe, and we can do it
alone and without assistance. …

{638}

"During the campaign of last autumn I said in many speeches to

the people of my State that I could never assent to hand those
islands back to Spain; that I wanted no subject races and no
vassal States; but that we had by the fortunes of war assumed
a great responsibility in the Philippines; that we ought to
meet it, and that we ought to give to those people an
opportunity for freedom, for peace, and for self-government;
that we ought to protect them from the rapacity of other
nations and seek to uplift those whom we had freed. From those
views I have never swerved, and I believed then, as I believe
now, that they met with the approbation of an overwhelming
majority of the people of Massachusetts. …

"Take now the other alternative. Suppose we reject the treaty

or strike out the clause relating to the Philippines. That
will hand the islands back to Spain; and I cannot conceive
that any American should be willing to do that. Suppose we
reject the treaty: what follows? Let us look at it
practically. We continue the state of war, and every sensible
man in the country, every business interest, desires the
re-establishment of peace in law as well as in fact. At the
same time we repudiate the President and his action before the
whole world, and the repudiation of the President in such a
matter as this is, to my mind, the humiliation of the United
States in the eyes of civilized mankind and brands us a people
incapable of great affairs or of taking rank where we belong,
as one of the greatest of the great world powers.

"The President cannot be sent back across the Atlantic in the

person of his commissioners, hat in hand, to say to Spain,
with bated breath, 'I am here in obedience to the mandate of a
minority of one-third of the Senate to tell you that we have
been too victorious, and that you have yielded us too much,
and that I am very sorry that I took the Philippines from
you.' I do not think that any American President would do
that, or that any American would wish him to."

Senator Harris, of Kansas, submitted the following on the 3d

of February:

"Resolved by the Senate of the United States of America, That

the United States hereby disclaim any disposition or intention
to exercise permanent sovereignty, jurisdiction, or control
over the Philippine Islands, and assert their determination,
when a stable and independent government shall have been
erected therein entitled to recognition as such, to transfer
to said government, upon terms which shall be reasonable and
just, all rights secured under the cession by Spain, and to
thereupon leave the government and control of the islands to
their people."

The following was offered on the 27th of January by Senator

Sullivan, of Mississippi:

"Resolved, That the ratification of the pending treaty of

peace with Spain shall in no wise determine the policy to be
pursued by the United States in regard to the Philippines, nor
shall it commit this Government to a colonial policy; nor is
it intended to embarrass the establishment of a stable,
independent government by the people of those islands whenever
conditions make such a proceeding hopeful of successful and
desirable results."

On the same day a joint resolution was proposed by Senator

Lindsay, of Kentucky:

"Resolved by the Senate and House of Representatives of the

United States of America in Congress assembled, That the
acquisition by the United States, through conquest, treaty, or
otherwise, of territory, carries with it no constitutional
obligation to admit said territory, or any portion thereof,
into the Federal Union as a State or States.

"Section 2.
That it is against the policy, traditions, and interests of
the American people to admit states erected out of other than
North American territory into our union of American States.

"Section 3.
That the United States accept from Spain the cession of the
Philippine Islands with the hope that the people of those
islands will demonstrate their capacity to establish and
maintain a stable government, capable of enforcing law and
order at home and of discharging the international obligations
resting on separate and independent States, and with no
expectation of permanently holding those islands as colonies
or provinces after they shall demonstrate their capacity for
self-government, the United States to be the judge of such
capacity."

None of the resolutions given above obtained favorable

consideration in the Senate. On the 6th of February the treaty
was ratified, by one vote in excess of the two-thirds which
the constitution requires. It received 57 votes against 27, or
61 against 29 if account be taken of senators absent and
paired. Of the supporters of the treaty, 42 were Republicans;
 of its opponents, 24 were Democrats. It was signed by
President McKinley on the 10th of February, and by the Queen
of Spain on the 17th of March.

After the ratification of the treaty, the Senate, by 26 votes

against 22, adopted the following resolution, offered by Mr.
McEnery of Louisiana:

"Resolved, That by the ratification of the treaty of peace

with Spain it is not intended to incorporate the inhabitants
of the Philippine islands into citizenship of the United
States, nor is it intended to permanently annex said islands
as an integral part of the territory of the United States. But
it is the intention of the United States to establish on said
islands a government suitable to the wants and conditions of
the inhabitants of said islands, to prepare them for local
self-government, and in due time to make such disposition of
said islands as will best promote the interests of the
citizens of the United States and the inhabitants of said
islands."

Congressional Record,
December 6, 1898—February 6, 1899.

UNITED STATES OF AMERICA: A. D. 1899 (January-November).

Attack on Americans at Manila by Aguinaldo's forces.
Continued hostilities.
Progress of American conquest.

See (in this volume)

PHILIPPINE ISLANDS: A. D. 1899 (JANUARY-NOVEMBER).

UNITED STATES OF AMERICA: A. D. 1899 (March).

Appointment of the Isthmian Canal Commission.

See (in this volume)

CANAL, INTEROCEANIC: A. D. 1889-1899.
UNITED STATES OF AMERICA: A. D. 1899 (May).
Modification of Civil Service Rules by President McKinley.

See (in this volume)

CIVIL SERVICE REFORM: A. D. 1899.

UNITED STATES OF AMERICA: A. D. 1899 (May-July).

Representation in the Peace Conference at The Hague.

See (in this volume)

PEACE CONFERENCE.

UNITED STATES OF AMERICA: A. D. 1899 (June-October).

Arbitration and settlement of the Venezuela boundary question.

See (in this volume)

VENEZUELA: A. D. 1896-1899.

{639}

UNITED STATES OF AMERICA: A. D. 1899 (July).

Cabinet change.

General Russel A. Alger resigned his place in the President's

Cabinet as Secretary of War, in July, and was succeeded by the
Honorable Elihu Root, of New York.

UNITED STATES OF AMERICA: A. D. 1899 (July).

Provisional government established in the island of Negros.

See (in this volume)

PHILIPPINE ISLANDS: A. D. 1899 (MARCH-JULY).

UNITED STATES OF AMERICA: A. D. 1899 (October).

Report of conditions in Cuba by the Military Governor.
 See (in this volume)
CUBA: A. D. 1898-1899 (DECEMBER-OCTOBER).

UNITED STATES OF AMERICA: A. D. 1899 (October).

Modus Vivendi fixing provisional boundary line between Alaska
and Canada.

See (in this volume)

ALASKA BOUNDARY QUESTION.

UNITED STATES OF AMERICA: A. D. 1899 (November).

Death of Vice-President Hobart.

Honorable Garret A. Hobart, Vice-President of the United

States, died November 21. Under the Act provided for this
contingency, the Secretary of State then became the successor
to the President, in the event of the death of the latter
before the expiration of his term.

UNITED STATES OF AMERICA: A. D. 1899 (November).

Re-arrangement of affairs in the Samoan Islands.
Acquisition of the eastern group, with Pago Pago harbor.

See (in this volume)

SAMOAN ISLANDS.

UNITED STATES OF AMERICA: A. D. 1899-1900 (September-February).

Arrangement with European Powers of the commercial policy
of the "open-door" in China.

See (in this volume)

CHINA: A. D. 1899-1900 (SEPTEMBER-FEBRUARY).

UNITED STATES OF AMERICA: A. D. 1899-1900 (November-

November).
Continued military operations in the Philippines.
 See (in this volume)
PHILIPPINE ISLANDS: A. D. 1899-1900.

UNITED STATES OF AMERICA: A. D. 1899-1901.

Reciprocity arrangements under the Dingley Tariff Act,
not ratified by the Senate.

The Dingley Tariff Act, which became law on the 24th of July,
1897, authorized the making of tariff concessions to other
countries on terms of reciprocity, if negotiated within two
years from the above date. At the expiration of two years,
such conventions of reciprocity had been arranged with France
and Portugal, and with Great Britain for her West Indian
colonies of Jamaica, Barbadoes, Trinidad, Bermuda, and British
Guiana. With France, a preliminary treaty signed in May, 1898,
was superseded in July, 1899, by one of broader scope, which
opens the French markets to an extensive list of American
commodities at the minimum rates of the French tariff, and
cuts the American tariff from 5 to 20 per cent. on many French
products, not inclusive of sparkling wines. In the treaty with
Portugal, the reduction of American duties on wines is more
general. The reciprocal reduction on American products extends
to many agricultural and mineral products. The reciprocal
agreement with the British West Indies covers sugar, fruits,
garden products, coffee and asphalt, on one side, and flour,
meat, cotton goods, agricultural machinery, oils, etc., on the
other.

None of these treaties was acted upon by the United States

Senate during the session of 1899-1900, and it became
necessary to extend the time for their ratification, which was
done. Some additional reciprocity agreements were then
negotiated, of which the following statement was made by the
President in his Message to Congress, December 3, 1900:

"Since my last communication to the Congress on this subject

special commercial agreements under the third section of the