Barely three months into the new year and we are happy to announce a monumental milestone reached - 150 million downloads.
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This achievement solidifies IntechOpen’s place as a pioneer in Open Access publishing and the home to some of the most relevant scientific research available through Open Access.
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We are so proud to have worked with so many bright minds throughout the years who have helped us spread knowledge through the power of Open Access and we look forward to continuing to support some of the greatest thinkers of our day.
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Thank you for making IntechOpen your place of learning, sharing, and discovery, and here’s to 150 million more!
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It is a helpful tool for practicing engineers concerned with emerging electric machines and their challenges and potential uses. Chapters cover such topics as electric machines with axial magnetic flux, asynchronous machines with dual power supply, new designs for electrical machines, and more.",isbn:"978-1-83968-733-4",printIsbn:"978-1-83968-732-7",pdfIsbn:"978-1-83968-734-1",doi:"10.5772/intechopen.77462",price:119,priceEur:129,priceUsd:155,slug:"emerging-electric-machines-advances-perspectives-and-applications",numberOfPages:118,isOpenForSubmission:!1,isInWos:null,isInBkci:!1,hash:"760ddfa7715b5846406936c4915c5020",bookSignature:"Ahmed F. Zobaa and Shady H.E. Abdel Aleem",publishedDate:"June 9th 2021",coverURL:"https://cdn.intechopen.com/books/images_new/7658.jpg",numberOfDownloads:1781,numberOfWosCitations:1,numberOfCrossrefCitations:2,numberOfCrossrefCitationsByBook:0,numberOfDimensionsCitations:2,numberOfDimensionsCitationsByBook:0,hasAltmetrics:0,numberOfTotalCitations:5,isAvailableForWebshopOrdering:!0,dateEndFirstStepPublish:"September 7th 2020",dateEndSecondStepPublish:"October 5th 2020",dateEndThirdStepPublish:"December 4th 2020",dateEndFourthStepPublish:"February 22nd 2021",dateEndFifthStepPublish:"April 23rd 2021",currentStepOfPublishingProcess:5,indexedIn:"1,2,3,4,5,6,7",editedByType:"Edited by",kuFlag:!1,featuredMarkup:null,editors:[{id:"39249",title:"Dr.",name:"Ahmed F.",middleName:null,surname:"Zobaa",slug:"ahmed-f.-zobaa",fullName:"Ahmed F. Zobaa",profilePictureURL:"https://mts.intechopen.com/storage/users/39249/images/system/39249.jpg",biography:"Ahmed Faheem Zobaa received his BSc (Hons), MSc, and Ph.D. in Electrical Power and Machines from Cairo University, Egypt, in 1992, 1997, and 2002, respectively. He received his Postgraduate Certificate in Academic Practice from the University of Exeter, UK, in 2010, and his DSc from Brunel University London, UK, in 2017. He was an instructor from 1992 to 1997, a teaching assistant from 1997to 2002, and an assistant Professor from 2002–2007 at Cairo University, Egypt. From 2007 to 2010, he was a senior lecturer in renewable energy at the University of Exeter. From 2010 to 2019, he was a senior lecturer in power systems at Brunel University London, where he is currently a reader in electrical and power engineering. His main areas of expertise include power quality, (marine) renewable energy, smart grids, energy efficiency, and lighting applications. \nDr. Zobaa is an executive editor for the International Journal of Renewable Energy Technology, an executive editor-in-chief for Technology and Economics of Smart Grids and Sustainable Energy, and editor-in-chief for the International Journal of Electrical Engineering Education. He is also an editorial board member, editor, associate editor, and editorial advisory board member for many international journals. He is a registered Chartered Engineer, Chartered Energy Engineer, European Engineer, and International Professional Engineer. He is also a registered member of the Engineering Council, UK; the Egypt Syndicate of Engineers; and the Egyptian Society of Engineers. He is a senior fellow of the Higher Education Academy and a fellow of the Institution of Engineering and Technology, Energy Institute, Chartered Institution of Building Services Engineers, Institution of Mechanical Engineers, the Royal Society of Arts, the African Academy of Sciences, and Chartered Institute of Educational Assessors, all in the United Kingdom. He is a senior member of the IEEE, and a member of the International Solar Energy Society, the European Power Electronics and Drives Association, and IEEE Standards Association.",institutionString:"Brunel University London",position:null,outsideEditionCount:0,totalCites:0,totalAuthoredChapters:"4",totalChapterViews:"0",totalEditedBooks:"6",institution:{name:"Brunel University London",institutionURL:null,country:{name:"United Kingdom"}}}],equalEditorOne:null,equalEditorTwo:null,equalEditorThree:null,coeditorOne:{id:"251090",title:"Dr.",name:"Shady H.E.",middleName:null,surname:"Abdel Aleem",slug:"shady-h.e.-abdel-aleem",fullName:"Shady H.E. Abdel Aleem",profilePictureURL:"https://mts.intechopen.com/storage/users/251090/images/system/251090.png",biography:"Shady H. E. Abdel Aleem (M\\'12, SM’21) received a BSc, MSc, and Ph.D. in Electrical Power and Machines from the Faculty of Engineering, Helwan University, Egypt, in 2002, and the Faculty of Engineering, Cairo University, Egypt, in 2010 and 2013, respectively. From September 2018 to September 2019 was an associate professor at the 15th May Higher Institute of Engineering and the quality assurance unit director. Since September 2019, he has been an adjunct associate professor in the Arab Academy for Science, Technology & Maritime Transport, College of Engineering and Technology, Smart Village Campus, where he teaches power quality energy efficiency, wind energy, and energy conversion courses. In addition, he is a consultant in power quality studies at ETA Electric Company, Egypt. His research interests include harmonic problems in power systems, power quality, renewable energy, smart grids, energy efficiency, optimization, green energy, and economics. Dr. Shady is the author or co-author of many refereed journals and conference papers. He has published more than 120 journal and conference papers, eighteen book chapters, and seven edited books with various publishers. He was awarded the State Encouragement Award in Engineering Sciences in 2017 from Egypt. He was also awarded the medal of distinction from the first class of the Egyptian State Award in 2020. Dr. Shady is a senior member of the Institute of Electrical and Electronics Engineers (IEEE) and the Institution of Engineering and Technology (IET). He is an editor/associate editor for the International Journal of Renewable Energy Technology, Vehicle Dynamics, IET Journal of Engineering, Technology and Economics of Smart Grids and Sustainable Energy, and International Journal of Electrical Engineering Education.",institutionString:"Arab Academy for Science, Technology and Maritime Transport",position:null,outsideEditionCount:0,totalCites:0,totalAuthoredChapters:"3",totalChapterViews:"0",totalEditedBooks:"0",institution:null},coeditorTwo:null,coeditorThree:null,coeditorFour:null,coeditorFive:null,topics:[{id:"738",title:"Electromechanics",slug:"electromechanics"}],chapters:[{id:"76521",title:"Introductory Chapter: Emerging Electric Machines - Advances, Perspectives and Applications",doi:"10.5772/intechopen.97604",slug:"introductory-chapter-emerging-electric-machines-advances-perspectives-and-applications",totalDownloads:223,totalCrossrefCites:0,totalDimensionsCites:0,hasAltmetrics:0,abstract:null,signatures:"Ahmed F. Zobaa, Shady H.E. Abdel Aleem and Ahmed M. Zobaa",downloadPdfUrl:"/chapter/pdf-download/76521",previewPdfUrl:"/chapter/pdf-preview/76521",authors:[{id:"39249",title:"Dr.",name:"Ahmed F.",surname:"Zobaa",slug:"ahmed-f.-zobaa",fullName:"Ahmed F. Zobaa"},{id:"251090",title:"Dr.",name:"Shady H.E.",surname:"Abdel Aleem",slug:"shady-h.e.-abdel-aleem",fullName:"Shady H.E. Abdel Aleem"},{id:"320729",title:"Ph.D. Student",name:"Ahmed M.",surname:"Zobaa",slug:"ahmed-m.-zobaa",fullName:"Ahmed M. Zobaa"}],corrections:null},{id:"75236",title:"Brushless Electric Machines with Axial Magnetic Flux: Analysis and Synthesis",doi:"10.5772/intechopen.95945",slug:"brushless-electric-machines-with-axial-magnetic-flux-analysis-and-synthesis",totalDownloads:269,totalCrossrefCites:0,totalDimensionsCites:0,hasAltmetrics:0,abstract:"An analysis of electric machines with axial magnetic flux is given. First, the effect of commutation on the electromagnetic moment and electromagnetic power is analyzed. Two types of discrete switching are considered. The analysis is performed for an arbitrary number of phases. The first type of switching involves disabling one phase for the duration of switching. The second type of switching involves the operation of all phases in the switching interval. The influence of the pole arc and the number of phases on the electromagnetic moment and electromagnetic power is investigated. The conclusion is made about the advantage of the second type of switching. It is recommended to increase the number of phases. Next, the classification of the main structures of the axial machine is carried out. Four main versions are defined. For each variant, the equation of the electromagnetic moment and electromagnetic power is derived. This takes into account the type of commutation. The efficiency of the selected structures is analyzed. The comparative analysis is tabulated for choosing the best option. The table is convenient for engineering practice. This chapter forms the basis for computer-aided design of this class of machines.",signatures:"Sergey Gandzha and Dmitry Gandzha",downloadPdfUrl:"/chapter/pdf-download/75236",previewPdfUrl:"/chapter/pdf-preview/75236",authors:[{id:"303625",title:"Dr.",name:"Sergey",surname:"Gandzha",slug:"sergey-gandzha",fullName:"Sergey Gandzha"},{id:"343353",title:"MSc.",name:"Dmitriy",surname:"Gandzha",slug:"dmitriy-gandzha",fullName:"Dmitriy Gandzha"}],corrections:null},{id:"74666",title:"Detection of Stator and Rotor Asymmetries Faults in Wound Rotor Induction Machines: Modeling, Test and Real-Time Implementation",doi:"10.5772/intechopen.95236",slug:"detection-of-stator-and-rotor-asymmetries-faults-in-wound-rotor-induction-machines-modeling-test-and",totalDownloads:346,totalCrossrefCites:0,totalDimensionsCites:0,hasAltmetrics:0,abstract:"This chapter deals with detection of stator and rotor asymmetries faults in wound rotor induction machines using rotor and stator currents signatures analysis. This is proposed as the experimental part of fault diagnosis in electrical machines course for master’s degree students in electrical engineering at University of Picardie “Jules Verne”. The aim is to demonstrate the main steps of real-time condition monitoring development for wound rotor induction machines. In this regard, the related parameters of classical model of wound rotor induction machine under study are initially estimated. Then, the latter model is validated through experiments in both healthy and faulty conditions at different levels of the load. Finally, an algorithm is implemented in a real-time data acquisition system for online detection of stator and rotor asymmetries faults. An experimental test bench based on a three-phase 90 W wound rotor induction machine and a real-time platform for hardware-in-the-loop test are utilized for validation of the proposed condition monitoring techniques.",signatures:"Shahin Hedayati Kia",downloadPdfUrl:"/chapter/pdf-download/74666",previewPdfUrl:"/chapter/pdf-preview/74666",authors:[{id:"330992",title:"Dr.",name:"Shahin",surname:"HEDAYATI KIA",slug:"shahin-hedayati-kia",fullName:"Shahin HEDAYATI KIA"}],corrections:null},{id:"75686",title:"Prospects for Increasing the Dynamic Efficiency of Asynchronous Double-Feed Machines and Wind Power Generators Using Structural Methods and Solutions",doi:"10.5772/intechopen.96523",slug:"prospects-for-increasing-the-dynamic-efficiency-of-asynchronous-double-feed-machines-and-wind-power-",totalDownloads:276,totalCrossrefCites:1,totalDimensionsCites:1,hasAltmetrics:0,abstract:"The chapter proposes to consider the problems of control of asynchronous machines with dual power supply, as a nonlinear structure, the transfer functions of which depend on the frequency of the stator voltage and the relative slip. The authors cite the results of research confirming the high efficiency of control of asynchronous electric motors, using cross-dynamic connections on the developed torque or a signal close to it (active component of the motor stator current). The proposed correction operates in a wide range of changes in the rotation and sliding speeds of the asynchronous electric generator. This is especially important for wind turbines that need to remain efficient at different speeds. As a justification, the results of experiments, modeling and industrial application of control algorithms with positive torque coupling are presented. Research results suggest that such algorithms will improve the efficiency of wind power by 5–10%.",signatures:"Vladimir L. Kodkin, Alexandr S. Anikin and Alexandr A. Baldenkov",downloadPdfUrl:"/chapter/pdf-download/75686",previewPdfUrl:"/chapter/pdf-preview/75686",authors:[{id:"250820",title:"Dr.",name:"Vladimir L.",surname:"Kodkin",slug:"vladimir-l.-kodkin",fullName:"Vladimir L. Kodkin"},{id:"260324",title:"Dr.",name:"Aleksandr",surname:"Anikin",slug:"aleksandr-anikin",fullName:"Aleksandr Anikin"},{id:"260325",title:"Mr.",name:"Aleksandr",surname:"Baldenkov",slug:"aleksandr-baldenkov",fullName:"Aleksandr Baldenkov"}],corrections:null},{id:"75067",title:"Very Low Voltage and High Efficiency Motorisation for Electric Vehicles",doi:"10.5772/intechopen.95832",slug:"very-low-voltage-and-high-efficiency-motorisation-for-electric-vehicles",totalDownloads:318,totalCrossrefCites:1,totalDimensionsCites:1,hasAltmetrics:0,abstract:"This chapter details the design of a new innovative solid bar winding for electrical machines (either motors or generators) dedicated to the electric propulsion. The goal of this new winding technique is to enhance the performance by better utilizing the stator slot and increasing the copper fill factor to higher than 75%, and also to reduce the inactive copper at the end-windings. Accordingly, many advantages arise from the application of this solid bar winding: higher torque-to-weight ratio, better thermal behavior, lower rotor losses, higher efficiency, higher reliability and lower cogging torque. However, the solid bar has its inherent constraints, which should be considered with care when designing an electric motor: the AC copper losses and the manufacturing process. The suggested winding technique aims at addressing these challenges.",signatures:"Daniel Matt and Nadhem Boubaker",downloadPdfUrl:"/chapter/pdf-download/75067",previewPdfUrl:"/chapter/pdf-preview/75067",authors:[{id:"28315",title:"Prof.",name:"Daniel",surname:"Matt",slug:"daniel-matt",fullName:"Daniel Matt"},{id:"334068",title:"Dr.",name:"Nadhem",surname:"Boubaker",slug:"nadhem-boubaker",fullName:"Nadhem Boubaker"}],corrections:null},{id:"75519",title:"MNLR and ANFIS Based Inductance Profile Estimation for Switched Reluctance Motor",doi:"10.5772/intechopen.96555",slug:"mnlr-and-anfis-based-inductance-profile-estimation-for-switched-reluctance-motor",totalDownloads:350,totalCrossrefCites:0,totalDimensionsCites:0,hasAltmetrics:0,abstract:"This chapter aims in presenting the methods for the accurate estimation of highly non linear phase inductance profile of a switched reluctance motor (SRM). The magnetization characteristics of a test SRM is derived from the SRDaS (Switched Reluctance Design and Simulation) simulation software. Statistical interpolation based regression analysis and Artificial Intelligence (AI) techniques are used for developing the computationally efficient inductance model. Multi Variate Non linear Regression (MVNLR) from the class of regression analysis and Adaptive Neuro Fuzzy Inference System (ANFIS) under the class of AI are implemented and tested on the simulated data. Non linear Inductance profile L(I,θ) of SRM is successfully estimated for the complete working range of phase currents (Iph). At each Iph, L(I,θ) values are estimated and presented for one cycle of rotor position (θ). Estimated inductance profile based on the two proposed methods is observed to be in excellent correlation with the true value of data.",signatures:"Susitra Dhanarajalu",downloadPdfUrl:"/chapter/pdf-download/75519",previewPdfUrl:"/chapter/pdf-preview/75519",authors:[{id:"231496",title:"Dr.",name:"Susitra",surname:"D",slug:"susitra-d",fullName:"Susitra D"}],corrections:null}],productType:{id:"1",title:"Edited Volume",chapterContentType:"chapter",authoredCaption:"Edited by"},subseries:null,tags:null},relatedBooks:[{type:"book",id:"2154",title:"Energy Storage",subtitle:"Technologies and Applications",isOpenForSubmission:!1,hash:"98b5e296523724495675754b80db6245",slug:"energy-storage-technologies-and-applications",bookSignature:"Ahmed Faheem Zobaa",coverURL:"https://cdn.intechopen.com/books/images_new/2154.jpg",editedByType:"Edited by",editors:[{id:"39249",title:"Dr.",name:"Ahmed F.",surname:"Zobaa",slug:"ahmed-f.-zobaa",fullName:"Ahmed F. 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\n
1. Introduction
\n
People are capable of great things, but they are also imperfect. The Nobel Prize-winning author John Steinbeck [1] wrote in his novel, The Log from the Sea of Cortez, that ‘there is a strange duality in the human which makes for an ethical paradox’. Steinbeck goes on to say that human societies tend to share more or less universal descriptions of good and bad human qualities; that is, the good qualities are often associated with ‘wisdom, tolerance, kindliness, generosity and humility; and the qualities of cruelty, greed, self-interest, graspingness and rapacity are universally considered undesirable’. However, in some contexts in modern society, the people who possess those so-called ‘bad’ qualities are successful, while those who possess the ‘good’ qualities fail, he argues. Steinbeck continues that ‘perhaps no other animal is so torn between alternatives. Man might be described fairly adequately, if simply, as a two-legged paradox’. Following Steinbeck’s argument, we might also refer to the Latin expression: Errare humanum est which translates into English as to err is human. But in the leadership literature; however, the focus is not on ‘to err’ and not always even on ‘human’, but on people’s strengths, their good qualities and their potential, and it tells us what will result in effective leadership. Leaders should achieve goals with efficient use of resources, while at the same time conserving and developing resources. Yet in reality, this is not always the case. This book looks at dysfunctional leadership. Dysfunctional leadership often consists of behaviour that is controlling, autocratic, arrogant, reckless, critical, and that uses threats, lies and distortion, as well as appealing to people’s bad consciences [2]. Dysfunctional leadership has therefore been examined by researchers from both psychoanalytic [3, 4, 5, 6, 7, 8, 9, 10], as well as from critical, perspectives [10, 11, 12, 13, 14, 15, 16, 17, 18, 19].
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Leadership is sometimes effective, sometimes dysfunctional and sometimes ineffective; however, it is the latter that is most common in everyday organisational life. Even though the literature in the field of leadership includes normative prescriptions for what leaders should do, leaders often do not act as they should; consequently, there is a disparity between rhetoric and reality [20, 21, 22, 23, 24, 25, 26, 27, 28, 29, 30, 31]. The simple explanation is that there are barriers to effective leadership, such as environmental, organisational and personal ones. I will therefore argue in this chapter that leadership is not always, and more often than we like to believe, effective. It is thus important to understand what the barriers to effective leadership are and what can be done to minimise these, at both individual and organisational levels. This issue deserves more attention and will provide an important contribution to further research and understanding of the leadership phenomenon. It is also important for leaders to have something other than unattainable ideals and normative models to relate to. Consequently, the premise in this chapter is that we are asking the wrong question about leadership. The more pertinent question is if we know so much about what constitutes effective leadership, why do not leaders exercise more effective leadership in organisations?
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2. Human beings are imperfect
\n
Human beings are imperfect, this we know. People may certainly be described as unique and special, yet they are nevertheless imperfect. There seem to be no limit to what the human brain can solve regarding practical and theoretical problems; however, regarding its limitations, the brain is poorly equipped to understand itself. Simply put, it is not so difficult to trick the brain, and the brain is also capable of tricking itself. Consider, for instance, the effects of mental shortcuts that the brain uses to produce decisions or judgements. Such cognitive biases take on a variety of forms and affect beliefs, decision making and behaviour in general. Such biases are studied in psychology and behavioural economics, and the cause is commonly attributed to theoretical explanations such as bounded rationality, attribution theory, cognitive dissonance and heuristics [32, 33, 34, 35, 36, 37, 38, 39]. In general, biases arise from too much information, not enough understanding, the need to act quickly, the limits of memory and information processing capacity, emotional and moral motivations, as well as social influence. Some examples are people who rely too much on a single piece of information when making decisions; or they self-reinforce collective beliefs; or they opt for risk-seeking choices in order to avoid negative outcomes. Other biases are more of a social nature such as the tendency to be influenced by authority figures and to give preferential treatment to those perceived to be members of own group. People’s memories are also biased, for example, people often retroactively ascribe choices as being better informed than they were when they were made.
\n
Individuals create their reality from their perception of the input. The construction of reality governs people’s behaviour. Thus, such biases may lead to perceptual distortion, inaccurate judgement, illogical interpretation or what is broadly called irrationality. It needs to be said that such biases may lead to more effective actions in a given context, as well as faster decisions when timeliness is more valuable than accuracy. However, the fact that humans are not only rational, utility-maximising individuals, but also have [often contradictory] wishes, internal conflicts, defensive mechanisms, as well as feelings such as anxiety, insecurity, fear, anger and pain—sometimes consciously, sometimes unconsciously—is only to a small extent discussed in leadership literature [40]. Good intentions do not amount to anything, because of forces affecting people’s behaviour preventing them from being effective. If we are to understand why people do not always do what they should, then we must understand the conflicts, protection mechanisms, tensions and feelings that affect behaviour. Most people are equipped with a defensive structure that controls impulses, thoughts and ideas. Common defensive reactions include projection, denial, displacement, repression, rationalisation and extended use of humour. Defensive structures operate outside of consciousness, and people may not be aware that something which they do create reactions in other people, since they are blind to such disorders. Human behaviour is also driven by unconscious motivations and needs which determine people’s operational codes. These systems are shaped by innate and learned response patterns, the role of significant caretakers and how the individual recreates positive emotional states in infancy and childhood. During childhood, mental schemas that regulate behaviour emerge as a result of these [41, 42, 43, 44]. When needs are not taken care of, negative and eventually overwhelming emotions may develop, which can give rise to a wide range of ailments and symptoms. Such internal forces are rational in isolation, but may lie behind behaviour that may be considered irrational.
\n
Emotions correspond to a distinct and dedicated neurological circuit, and contain processing of the body’s signals and are not just hormonal impulses, but are based on assumptions of what will happen [45, 46]. When people feel pain, fear and other difficult feelings, these emotions thus have a purpose—they help them deal with social or physical dangers. During the course of maturation processes, people develop particular schemes in their inner world that reflect important wishes and contribute to their personalities. These schemes translate into the patterns by which they relate to others [47] and people bring such schemes into the context of workplace relationships. They project their wishes on others, and anticipate how others will react. This may result in ineffective behaviour such as conflict avoidance, micro-management, manic behaviour, inaccessibility and internal politicking. People also create psychosocial immune systems to protect and preserve their belonging and standing in the groups upon which they depend [48]. This system keeps those emotions outside their awareness that they may find too threatening, embarrassing or shameful to expose to others. Even though people may desire a more effective and open interaction with others, they may avoid experiences that might expose them to vulnerability. The risks of losing value in others’ eyes, losing power, losing status and losing membership of a social group thus govern interaction between people, and result in ineffective action and counter-action. The implication of this somewhat darker side of human behaviour is that people often misperceive situations and conversations and act in inappropriate ways. Disciplines such as psychodynamics, but also psychoanalysis, psychotherapy, developmental psychology and neuropsychology, contribute to an understanding of the above [41, 49, 50, 51, 52]. The premises in such fields are that a considerable portion of the regulation of people’s behaviour takes place outside the domain of conscious awareness. This gives rise to defensive reactions, innate response patterns and scripts that in many cases have outlived their effectiveness. The result may be that people withdraw from difficult discussions, they close themselves off or they use different types of destructive behaviour in their interaction with others. This is related to Freud’s [53] most enduring idea about the ‘battle’ between the conscious and unconscious mind.
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3. Imperfect organisations
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Imperfect people work in organisations, which means that work organisations on a system level also experience short-circuits, processing errors, conflicts, protection mechanisms and tensions, and are affected by people’s emotions and needs. Imperfections at the individual level adds up to the system level, but is also held in check by institutional practices, collective processes, values and norms. An organisation is a social system that is deliberately designed to realise certain goals, and behaviour and processes in organisations are the result of constructed realities [54, 55, 56]. One might think that people in organisations act rationally and that organisations collectively process activities cognitively. However, this is not necessarily the case. Alvesson and Spicer [57] point to the limits of rationality and knowledge in organisations, which they claim is due to power and internal politics. The symbolic aspects of organisational life are emphasised, instead of the substantive. Manipulation of symbols and exercise of power block effective communication and action.
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3.1. Organisations are not always rational
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To describe some of people’s behaviour in organisations, Morgan [58] uses archetypal metaphors such as machines, organisms, brains, cultures, political systems and psychic prisons. In the metaphors political systems and psychic prisons, there are relationships other than the rational that affect interaction—a consequence of people being imperfect, as discussed above. This fallibility also emerges in organisational life. Morgan also compares organisations to living organisms; the latter are concerned with survival. Similarly, employees in organisations have needs that must be satisfied, in order for them to function well. Organisations are also political systems where people have different interests. Conflict is inherent and fostered by beliefs, mental programming, stereotyping or arising from competition for scarce resources. Finally, organisations may be regarded as psychic prisons, where people are trapped by their incomplete understanding of reality, by their successes or failures or by groupthink. According to Morgan, unconscious processes trap people and lead to ineffective interaction. Processes are not rational and barriers hinder efficiency. Organisational processes is, therefore, not only a result of rational actions, but include complications and unforeseen events characterised by the results achieved, but also by mistakes, resistance, ambivalence, cynism, lack of trust, conflict and political games [59, 60, 61]. Organisational reality is thus characterised by a high degree of complexity that makes it difficult to order, organise, influence and thereby lead. The idyllic picture painted by leadership literature is often at odds with the messy and imperfect organisational reality. Also, an organisation’s environment influences its processes and the order that emerges through interaction and negotiation. Organisations are affected by the environment, just as organisations affect the environment. This mutually dependent relationship is characterised by resource transactions, exchange, impact, legitimacy and uncertainty. Organisations are thus targeted by a number of forces making claims and demands on operations and development. Such external pressures and internal conditions are often much more significant than any specific actions carried out by powerful individuals [62, 63]. These forces may range from broader economic, legal and social constraints impacting business cycles, regulations or ethical standards, to concrete market demands that organisations need to acknowledge. Much has been written about how globalisation, technology development, ecology and demographic changes affect; how society develops, markets work, businesses are organised and leadership is exercised. Transparency, information speed and technology development create discontinuity, restlessness and short-termism. These are fundamentally different conditions from the continuity and long-term perspective which in some cases are needed in order to lead organisations effectively.
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3.2. Why do we follow leaders?
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One may argue that leadership and followership is a basic human behaviour [64, 65]. Human beings are social animals, and certain features of the human condition make leadership and followership necessary. The processes whereby people lead and follow have emerged over the course of human evolution to deal with the need to coordinate issues within small groups [66]. Van Vugt and colleagues [67] note the fact that people lived for a period of 2.5 million years in small equitable communities has had an effect on how people relate to leadership. The human mind still employs the mechanisms used by early man in order to solve problems geared towards improving the survival and reproduction of the species. These mechanisms include skills, which were needed as groups consolidated and coordinated their actions, as well as resolving conflicts, punishing outliers, waging war and teaching and promoting social cohesion [68]. The patterns of leadership and followership support the contention that both these have evolved psychological mechanisms to deal effectively with coordination problems associated with group life, and conflict and competition both within, and between, groups [69, 70, 71]. Selection theory suggests that most people are flexible enough to be either a leader or follower, and they make their choices according to context and situational variables. Others, more controversially, propose that evolution produces an optimal and stable ratio of leaders and followers in a population [72, 73]. Evolutionary psychologists thus argue that people are conditioned for leadership and followership. Is this the case? Why is someone inclined to follow someone else—willing to subject themselves to direction from others? One explanation is that leadership may be a product of the followers’ need for leadership. They need someone to take on the responsibility for the group. One of several ways whereby people manage their fears and anxieties is by following people that somehow confirm their worldview, making them feel part of something larger than themselves [74, 75]. Also, several studies have shown that people follow authority figures, whether it is formal or informal authority, and people’s amenability to organisational imperatives that make them inclined to obedience [76, 77, 78]. In addition, people follow others because they have preconceptions regarding the characteristics and behaviors that are preferable for them to follow—they think it pays off [79, 80]. People categorise other people as being a person they will follow or not to the extent that their traits and behaviours match prototypical characteristics they see as being favourable [81]. Once categorised as someone to follow, people’s internal schemas lead them to perceive and encode information about the other person’s effectiveness that fits with their schemas. Another explanation is that people expect leadership when they feel vulnearable [82]. When someone is needed to take charge of a challenging situation, people are more likely to follow the person who can influence the specific situation [83]. Interaction between people tends to be governed by practical situations, rather than by prior considerations. People follow those who can react in any given situation that emerges, and who are able to identify what needs to be done next [84]. Finally, social identity theory suggests that people’s self-concepts and self-esteem are strongly influenced by the group to which they belong [85, 86] meaning that their social identity is a function of the group to which they belong. These social identities include prototypes that characterize the group that belongs to and which distinguishes it from other groups. When someone strongly matches such prototypical properties, people in the group identify more strongly with that person [87, 88]. Highly prototypical group members are thus more influential than less prototypical members, and more likely to lead others, as they are more liked, their status is higher, they are more trusted and they are perceived to behave in a more group-serving manner.
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4. What does research teach us about effective leadership?
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Psychology has been influential in the field of leadership research. The literature includes theories and findings regarding effective leadership. There are, however, no clear definitions of what is meant by effectiveness, although reference is made to the extent to which the performance of a group or organisation is improved and objectives reached [89, 90, 91]. Many claim that effective leadership depends on a combination of, and the interaction between personal and situational attributes [91]. The field of psychology thus provides us with normative answers to the question of what constitutes effective leadership important for the development of society, organisations and groups. We want the foremost and the best suited to lead us. However, if we accept the premise that people are imperfect, then so are leaders. What is leadership research’s response as how to minimise imperfect leaders leading organisations, so that we can minimise ineffective leadership?
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4.1. Leaders have the characteristics needed for the job
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Individual leaders are commonly selected and chosen based on characteristics such as personality traits, characteristics, behaviour, values, skills, competencies, ambitions, capacity, experience and past results. Individual-oriented research within leadership has listed many attributes that are deemed relevant to leadership. This includes personality traits such as self-confidence, extroversion, emotional maturity, conscientiousness and agreeableness [92, 93, 94], as well as effective behaviour relevant to leadership [95], including, for example, task/relationship-orientation [96], change-orientation [96] and transformational leadership [97]. Values are another category when selecting leaders; leaders should have the ‘right’ or politically correct values. Values are internalised attributes of what is considered right or wrong, ethical or unethical and moral and immoral. Examples include fairness, honesty, freedom, equality, loyalty and excellence. Various configurations of self-concepts are also a common parameter for selecting leaders and typically include self-identity, self-esteem, self-confidence, self-mastery and self-worth. Skills are yet another category often discussed when somebody is singled out for leadership positions, and refers to the ability to do something in an effective manner. Leadership skills commonly include: (i) technical skills such as knowledge about methods, processes, procedures and techniques, (ii) interpersonal skills such as having knowledge of human behaviour, inter- and intrapersonal processes, and also what may be called [iii] conceptual skills such as analytical ability, logical thinking, critical thinking and problem solving [98, 99, 100, 101]. However, selecting and choosing leaders based on individual capabilities is problematic for several reasons. Firstly, it is difficult to find causal links between a leader’s individual attributes and effective leadership. Moreover, characteristics that may be useful in one situation may not be useful in a different situation. Furthermore, two leaders with different attributes can be successful in the same situation. A particular type of leadership behaviour may therefore be characterised as being good or bad, depending on the different outcomes. Thus, context also plays a role; other factors such as the specific industry, as well as cyclical differences, can determine which characteristics can result in effective leadership.
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4.2. Leaders influence interaction
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Given that most definitions of leadership concern influence, then it should be assumed that influencing is one of the most important things that leaders do. Yet, there are many sources of influence in organisations. Employees in organisations are influenced by their leaders, clearly, but also by colleagues, customers, the working environment, organisational structure, organisational culture, subcontractors, markets, systems, procedures and rules, as well as by external events and unforeseen circumstances. Thus, it is difficult to specify what is due to effective leadership when results are achieved. Blom and Alvesson [102] emphasise the dynamics between leaders and followers. They propose using the expression ‘leadership on request’ to emphasise situation dependency and the importance of context. Leadership is therefore a more collective phenomenon than individual-led leadership researchers propose, and is a function of actions and interactions within dyadic and network interlinkages [103, 104, 105]. It is the importance of leadership, not the leader, which is crucial, representing a refocus from presumed extraordinary individuals to what ordinary people accomplish as they interact. Leadership are thus not solely dependent on one person—a leader—to mobilise action on behalf of others, but rather on a process that emerges in situ, in the situation, and in social interactions, deploying itself via different activities. When relationships between leaders and employees are established, it may also be unclear whether it is the leader or employee[s] who exercise leadership. That is, whether a co-worker/employee can act as a leader and the leader act as a co-worker will often depend on the tasks being performed, where leadership will be divided between members of a team or other organisational units [106].
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4.3. Leaders are selected
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There are sources of error in the methods used to internally or externally select or recruit leaders. A recent study by Rogstad and Sterri [107] shows some of these. There are parameters other than formal competence and documented experience which play a role when appointing leaders. It constitutes a source of error when recruiters, who are also prone to errors of judgment, believe that they are a good judge of character. They commonly have preconceptions regarding characteristics and behaviors that they deem to be leadership qualities, as well as attributing characteristics to others according to their own schemas, beliefs and values. Assessment of potential leaders is often based to a great extent on arbitrary discretion, and the indeterminate ability of those appointing leaders. There are usually few objective criteria for discretionary decisions and, decisions are often not transparent. It is also the case that leaders are selected and recruited on the basis of internal promotion, that is, candidates considered to be suitable are appointed to a more senior position. However, what is regarded as ‘suitable’ is often vague and unclear. It may be the case that candidates who are good at positioning themselves, and projecting that they have ‘what it takes’ are those who are promoted. Pfeffer [20] emphasises this aspect when he claims that it seems that good performance is not always enough. He therefore ironically recommends that people with ambitions should project their power and success, as they then are likely to be singled out as ‘leadership material’ and rise up through the ranks.
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4.4. Leaders and moral values
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An examination of the language used in descriptions of leadership yields insights which may be found in attribution and implicit theories of leadership. Many scholars seem to write as if they are describing actual leaders, but on closer examination they are prescribing leadership ideals [108], which often implicitly or explicitly include high moral values. Philosophers throughout history have emphasised moral values in their ideas about leaders. Leaders must be morally brave and able to stand up for their principles as a common argument, but this seems to be ideal that many leaders have difficulty living up to [109]. Nearly all men can stand adversity, but if you want to test a man’s character, give him power, said the 16th American president, Abraham Lincoln. Power may corrupt leaders, and studies have shown that leaders seem to believe that if they have power, they can cross moral boundaries, grant themselves benefits, adopt double standards or set higher demands for others than they do for themselves [110]. Power can also go to leaders’ heads: they may feel that they control more than they actually do, and they can overestimate themselves and their actions [111]. Philosophy literature chronicles the history of human ideals and aspirations. These ideals and aspirations are embedded in the language we use when making sense of leadership; in many cases, the word ‘leader’ has a built-in normative aspect to it, meaning that a leader only leads if he or she possesses high moral values or meets certain ethical standards. Organisational dilemmas, market conditions and strategic choices are, however, rarely black and white—exercising leadership often concerns navigating through shades of gray. Human behaviour has the capacity for great variation, and although we may have inherent moral values, human behaviour often adjust itself according to the current perception of what is normal and acceptable [112]. Subsequently, people are able to show good and bad sides of themselves depending on the situation, their ability to understand the situation and the culture they are part of; and that ability is not always optimal, given human limitations and barriers.
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4.5. What ever the problem, leadership is the solution
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Common explanatory models of effective leadership include the trait approach, the style approach, the situational approach, neo-charismatic theories, such as charismatic leadership, transformational leadership, authentic leadership and contemporary relationship-oriented leadership styles. Some of these have been subject to criticism, but they still have support within the academic community. They prescriptively define qualities of leaders, or explain that leaders should be able to choose the right style or type of action depending on the situation and the people involved, and, based on this, exercise effective leadership so that organisational objectives are reached. Alternative approaches are becoming more current, for example, within critical and practice-oriented approaches to leadership. But, such studies are still relatively few; the great volume of leadership theory focuses on a presumed causality between individual qualities and actions, and organisational results. Also, the amount of theory produced has grown significantly in the past four decades. It is a ‘leadership theory industry’. The major players are reputable business schools and large international consulting companies. They live off developing and selling new theories and tools for a growing market. This leadership industry is hence a self-reinforcing one. Leaders, head hunters, consultants, media, leadership developers and researchers have a mutual interest in creating interest in the phenomenon of leadership, as well as inflating the importance of leadership. In her book The End of Leadership, Kellerman [113] thus confronts leadership as a phenomenon—and the leadership industry’s inflated understanding of the profession. Kellerman claims that we must stop believing that everyone can lead; that better leadership is the solution to every problem; and that everyone can become leaders by completing expensive leadership development programs offered by consulting companies or business schools. There are several ways to organise organisational work, leadership is just one of them. And, leadership is not always the solution, but sometimes the problem if one rely too much on this.
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5. The case for ‘good-enough’ leadership
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Can we teach and train leaders so they lead more effectively in order to remedy ineffective leadership? Many think so, but this premise needs to be further qualified. Firstly, there is a difference between learning and teaching, and learning to be a leader is about learning how to become a leader in situated experiential contexts. Leaders are commonly educated and trained to cope with leadership tasks through formal education or development programmes. However, in many organisations, opportunities are not always provided to facilitate learning, experience-sharing and optimal learning arenas. There may be too little time for reflection, too few opportunities for risk-free testing of new knowledge and behaviour, as well as a lack of creating room for new insights that challenge current practices. Moreover, most popular MBA programmes offered at business schools have a strong focus on operational and functional competencies, although they are often framed in terms of leadership [114]. In 2005, Bennis and O’Toole wrote in an influential article in the Harvard Business Review that the methods that are used for teaching leadership at many schools are ‘useful, necessary, even enlightening. But because they are at arms’ lengths from actual practice, they often fail to reflect the way business works in real life’ ([115], p. 99). In the literature about the subject, and in training programmes, leadership is commonly presented as an ordered and controllable activity, but many of these models are of limited use in real life situations, where leaders have to cope with divergent demands, complexity and uncertainty. Leadership takes place in environments where there are a multitude of conflicting expectations, and a leader’s work is more likely to be characterised by uncertainty, fragmentation and a hectic pace, than by order and control [29]. Consequently, there may be too much emphasis on teaching leadership in functionalistic ways predicated on essentialist, rationalist and individualist assumptions [116]. The rhetoric of leadership tends to be universal, but leadership programmes and educations are commonly designed around technical and functional expertise, a reflection of the dominance of positivist research which privileges rationality, quantification and techniques in order to identify universal models. Such models, however, ignore the complex lived experience of those supposedly learning to become leaders. Learning to lead is also about learning how to learn. This involves some form of disruption to ways of thinking and acting, where taken-for-granted assumptions, practices and competing discourses must be acknowledged and supported—a process that may begin in the classroom, but that must be extended outside to leaders’ own lived experiences. Learning leadership—in contrast to teaching leadership—is thus framed as a more experiential process that often involves forms of vulnerability and disruptions [117, 118].
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Effective leadership seem to be an ideal that is difficult to realise. Work environment surveys show that 60–70% of employees experience stress in relation to communication with their managers [25]. Meanwhile, around 60% of managers in the US fail in their roles [27]. Ineffective leadership may explain why only 30% of employees are committed to their work, while 50% are uncommitted and 20% may be characterised as ‘unproductive’ [27]. A poll of workers in the UK found that only 43% of employees were fully engaged in their work [28]. Another recent UK survey showed that 70% of employees had left a job because of an incompetent manager and that 54% of those surveyed had at some point had a problem with their manager’s leadership style [28]. In Norway, a large survey revealed that 34% of employees were not satisfied with the performance of their managers [30]. There seems to be a mismatch between the idealised leadership realities referred to in theories of leadership and real life leaders’ everyday work situations [21, 29, 119, 120, 121, 122]. Moreover, everyday life in most organisations is characterised by ineffective leadership. Leadership is not ineffective because leaders intentionally abuse their power, behave destructively or otherwise sabotage good interaction between people, but ineffective because humans are imperfect—even though they may have the best intentions of making their contribution towards achieving the organisation’s objectives.
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Researchers who have addressed the above have various suggestions. Birkinshaw [22] states that leaders should make the best of an imperfect world. He argues that leaders should develop awareness: of what employees need, of their own biases and limitations and of how their organisations function. He notes that this will require a considerable amount of self-discipline and personal development. Alvesson and colleagues [23] argue the case for more reflexive leadership. They say that part of the problem is caused by leaders relying on simple recipes and concepts that are more likely to create problems. The researchers say that what is needed are leaders who can think independently and use their own judgment, and who are sensitive to and open-minded about local processes—and then act accordingly. Tengblad and his co-researchers [29] think that leaders must be better at dealing with complexity and avoiding paralysis. They suggest that leaders develop an experimental and learning attitude of how to deal with messiness, and that they learn to work with risk management issues. They also propose that leaders should be more aware of the hidden aspect of leadership. By this they mean the confusion, emotions, politicking, dubious ethics and selfish behaviour often found in organisations. Kellerman [113] refrains from giving any specific advice, but says that leadership is in danger of becoming obsolete. Her suggestion is to end the leader-centrism that the leadership industry seems to love. This is in line with the ideas of researchers such as Raelin [104] who argue that leadership is not dependent on any single person to mobilise action on behalf of everybody else, it is rather a collective accomplishment. It is not cognition as an isolated condition located within the mind of the leader that mobilises leadership, but the interaction with the environment through both individual and collective sensorimotor processing. Pfeffer [20] has a similar line of argumentation and points to some of the disconnections between what leaders say and what they do; between prescriptions and reality; between the multidimensional nature of leadership performance and the simple answers many people seek, and between what would make organisations more effective and the rate at which such prescriptions are implemented. Pfeffer thus argues that such disconnections serve powerful interests and that they tend to make leaders unaccountable for messed up workplaces, poor performance and bad behaviour. To restore some of these connections, leaders should keep themselves grounded in the realities of what they are doing and why they are doing it. Following the above, Storch and Shotter [123] hence claim that there are no ideal forms of leadership. They suggest instead the notion of ‘good-enough leadership’, that describes the process whereby individuals respond to other people’s needs and the ‘tryings’ and ‘failings’ of people’s interactions in doing this.
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What if we disregard the ideal of effective leadership, and agree with Storch and Shotter that ‘good-enough leadership’ is what is needed? This implies accepting the premise that most people are imperfect and that the reality most leaders face is demanding, leading to a gap between realities and ideals. This means that researchers and practitioners need to lower expectations of what leaders can accomplish. The concept of leadership is inflated—many romanticise about leadership and they want heroes who can sort things out for them [124]. This does not happen in everyday organisational life, except perhaps in the world of airport leadership literature. If we set aside such ideals, leadership research can, to a greater extent, be based on the reality faced by most leaders, and an examination of the barriers to effective leadership. For leadership research, this will entail more use of methodologies such as shadowing, action-based research, ethnographies, time-bound observations, informal interviews, as well as use of multi-methods and triangulation, and data collection including video-taping, blogs, diaries and critical incidents. Leadership research then also has to include the doings of leadership, and should investigate questions such as what is leadership work, how is leadership work done, what constitutes common barriers to leadership, and what can be done to remove these? This will open up the possibility of fresh understandings of the barriers to effective human interaction.
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For leaders, this is liberating, in so much as they would not need to focus on unattainable ideals. Developing oneself based on one’s strengths, but also on one’s weaknesses, and doing one’s best to improve, as well as accepting some of one’s own faults, is a more effective strategy for most leaders. Becoming aware of their barriers and doing what they can to minimise them is a better way forward that triggers personal and professional development. Developing oneself requires self-insight, honesty about oneself and the will to work with one’s own patterns over time. This may lead to leaders developing an awareness of their own practices, and the organisational practices they are part of. This is the best advice that can be given, along with lowering expectations as to how much they can achieve as leaders within a limited timeframe. And what about employees, what is good enough for them? Certainly, as Gabriel [125] argues, employees may want a leader who cares for his/her followers, who is accessible, who is omnipotent and omniscient or who has a legitimate claim to lead others, perhaps because they themselves as employees have high expectations of their own performance. However, such wishes are problematic as there is a gap between the words and actions of leaders and how employees experience leadership in practice [22]. It breeds an underlying cynicism: a sense that leaders are out of touch with reality and therefore not to be fully trusted. Such cynicism creates a dangerous disconnection between leaders and employees—a disconnection between ideals and reality. A recent study of 3500 employees in Norway investigated how leadership influenced job satisfaction over time [126]. The researchers surprisingly found that a good leader did not necessarily increase job satisfaction. Employees took leadership for granted as long as the leader avoided laissez-faire behaviour. This type of leadership behaviour was stress-inducing as well as demotivating. The researchers also found that passive and active destructive forms of leadership seem to have a stronger influence over time than constructive forms. The picture is obviously mixed, but in many cases, avoiding laissez-faire behaviour is perhaps the best answer to what is good enough. Leaders should clear away obstacles so employees can do their job. Accepting that there are not always clear answers. Accepting that one as a leader can say that he or she does not know what to do. Binney and colleagues [127] claim that vulnerability is a key element in leading, but this is not easy. Too much vulnerability and a leader is of no use to others, no vulnerability and employees will not engage with them. Holmberg and Tyrstrup [84] have argued that the most typical everyday leadership situation experienced by leaders is one the researchers label ‘well then—what now?’ This is a problem-oriented situation where leaders are not certain how they got there, where they stand and what the situation means. It is hard for them to assess how the situation fits with previous intentions, to tell what has been completed, to understand what is going on or to figure out what is still to be accomplished. Nevertheless, leaders still need to act, and, at least, to identify the next step in the process. Moreover, this is good enough. Can a leader accept their own shortcomings while at the same time be good enough in the eyes of the employees? Yes, it is imperative that a leader accepts their own imperfections, as well as being aware of their strengths; this is the only way a leader can minimalize some of their own barriers for effective leadership. People want to be led by human beings, not flawless superheroes. Obviously, there is a risk associated with such a strategy, but it is a greater risk that the concept of leadership is further and further detached from the realities most people in organisations experience, if we do not deflate the concept. Then it will be ‘the end of leadership’ as Kellerman postulates [113]. Leadership is certainly demanding, and developing oneself as a leader is challenging, and a process that requires trial and error, where there is no universal blueprint. It is not always possible to facilitate optimal learning arenas in the workplace; especially not for leaders who have a hectic workday. There may be little time for reflection, few opportunities for risk-free testing of new knowledge and practices, and little opportunity to gain new insights that can challenge current practices. Educational institutions and leadership developers can help in this respect, not as a competing alternative to practice-based learning at the workplace, but as a supplement. They can do this best by offering learning arenas where leaders can reflect and raise their awareness about their own practices, share experiences with each other, discuss, receive feedback and create new insights which challenge assumptions, mental maps and attitudes.
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6. Conclusion
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When we know so much about leadership, why do not leaders exercise more effective leadership? The simple answer is that leadership is ineffective because people are imperfect, including leaders themselves. There is certainly something to gain from creating better education and training programmes for leaders, as well as more robust and transparent methods of recruitment and selection of leaders. Moreover, in the future, technological developments will be able to minimise biases and ineffective behaviour by providing leaders with better decision support, more real-time data about organisations and environments, better and more precise methods for selecting upcoming leaders and talents, and more information about leaders themselves and others. However, until this becomes a reality, we must accept the fact that leadership is often ineffective and that in many cases we should settle for ‘good enough’. We need to humanise leadership. And this is, perhaps, a better way forward than the present dominating focus on unobtainable ideals involving flawless acts carried out by perfect human beings operating in rational organisational environments. This type of thinking only supports a self-reinforcing leadership industry consisting of actors who have self-interest in inflating the phenomenon of leadership—so they can increase their profits, acquire new consultancy assignments, create better careers for themselves, acquire more citations in academic journals and expand their network. Because many of us strive for the perfect, we love to believe that we are led by the best. To think otherwise is worrying. Therefore, many are clinging to the feel-good understanding of leadership—one that is influenced by normative leadership theories, inspired by exciting Ted talks and by lectures given by leadership gurus; and by the airport literature that provides them with the ‘holy grail’ of what effective leadership is all about—may be because this is the more comfortable option.
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Conflict of interest
There is no conflict of interest in preparing this chapter.
\n',keywords:"ineffective leadership, imperfect, biases, irrationality, ‘good enough’",chapterPDFUrl:"https://cdn.intechopen.com/pdfs/59662.pdf",chapterXML:"https://mts.intechopen.com/source/xml/59662.xml",downloadPdfUrl:"/chapter/pdf-download/59662",previewPdfUrl:"/chapter/pdf-preview/59662",totalDownloads:1536,totalViews:770,totalCrossrefCites:0,totalDimensionsCites:1,totalAltmetricsMentions:1,impactScore:1,impactScorePercentile:67,impactScoreQuartile:3,hasAltmetrics:1,dateSubmitted:"November 5th 2017",dateReviewed:"February 4th 2018",datePrePublished:"November 5th 2018",datePublished:"January 3rd 2019",dateFinished:"March 1st 2018",readingETA:"0",abstract:"This chapter presents the argument that leadership is not always effective, even though we know a great deal about what makes leadership effective. Consequently, we are asking the wrong question when we inquire into what makes leadership effective. A more interesting question is that when we know so much about effective leadership, why are leaders sometimes unable to exercise effective leadership? Why do not they do as they should? The answer discussed here is that leadership is often ineffective because people are imperfect, including leaders. Therefore, there are individual and organisational barriers to effective leadership, as well as constraints in the environment. Better education and training programmes for leaders, as well as more robust and transparent methods of recruitment and selection of leaders, may remedy this to some extent. But it is perhaps more important to accept the fact that leadership is often ineffective and that we should settle for ‘good enough’. This perspective offers us the opportunity to investigate the barriers to effective leadership and what may be done to reduce them. This is a better way forward for researchers and practitioners than the present dominating focus within leadership literature on unobtainable ideals involving flawless acts carried out by perfect human beings operating in rational organisational environments.",reviewType:"peer-reviewed",bibtexUrl:"/chapter/bibtex/59662",risUrl:"/chapter/ris/59662",book:{id:"6673",slug:"dark-sides-of-organizational-behavior-and-leadership"},signatures:"Tom Karp",authors:null,sections:[{id:"sec_1",title:"1. Introduction",level:"1"},{id:"sec_2",title:"2. Human beings are imperfect",level:"1"},{id:"sec_3",title:"3. Imperfect organisations",level:"1"},{id:"sec_3_2",title:"3.1. Organisations are not always rational",level:"2"},{id:"sec_4_2",title:"3.2. Why do we follow leaders?",level:"2"},{id:"sec_6",title:"4. What does research teach us about effective leadership?",level:"1"},{id:"sec_6_2",title:"4.1. Leaders have the characteristics needed for the job",level:"2"},{id:"sec_7_2",title:"4.2. Leaders influence interaction",level:"2"},{id:"sec_8_2",title:"4.3. Leaders are selected",level:"2"},{id:"sec_9_2",title:"4.4. Leaders and moral values",level:"2"},{id:"sec_10_2",title:"4.5. What ever the problem, leadership is the solution",level:"2"},{id:"sec_12",title:"5. The case for ‘good-enough’ leadership",level:"1"},{id:"sec_13",title:"6. Conclusion",level:"1"},{id:"sec_17",title:"Conflict of interest",level:"1"}],chapterReferences:[{id:"B1",body:'Steinbeck J. The Log from the Sea of Cortez. London: Penguin Books; 1951\n'},{id:"B2",body:'Einarsen S, Skogstad A, editors. Ledelse på godt og vondt. 2nd ed. Bergen: Fagbokforlaget; 2015\n'},{id:"B3",body:'Gabriel Y. Organizations in depth: The psychoanalysis of organizations. London: Sage; 1999\n'},{id:"B4",body:'Hirschhorn L. Reworking Authority: Leading and Following in Post-modern Organization. Cambridge, MA: MIT Press; 1997\n'},{id:"B5",body:'Kets de Vries MFR. Prisoners of leadership. 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Cheltenham: Edward Elgar; 2011. pp. 54-65\n'},{id:"B109",body:'Kidder. Leaders of Character: Conflicts, Dilemmas, and Outcomes. Speech from Kidder RM at The U.S. Naval Academy Leadership conference, February 2006. Available from: http://leadership.wharton.upenn.edu/digest/03-06.shtml [Accessed: April 11, 2009]\n'},{id:"B110",body:'Lammers J, Galinsky AD, Gordijn EH, Otte S. Illegitimacy moderates the effects of power on approach. Psychological Science. 2008;19(6):558-564\n'},{id:"B111",body:'Fast NJ, Gruenfeld DH, Sivanathan N, Galinsky AD. Illusory control: A generative force behind Power’s far-reaching effects. Psychological Science. 2009;20(4):502-508\n'},{id:"B112",body:'Hessen DV. Samarbeid – Fra celle Til Samfunn. Cappelen Damm: Oslo; 2017\n'},{id:"B113",body:'Kellerman B. The End of Leadership. New York: Harper Collins Publishers; 2012\n'},{id:"B114",body:'Cunliffe A, Wilson J. Can leadership be taught? In: Storey J, Hartley J, Denis J-L, ‘tHart P, Ulrich D, editors. The Routledge Companion to Leadership. New York: Routledge; 2017. pp. 505-544\n'},{id:"B115",body:'Bennis W, O’Toole J. How business schools lost their way. Harvard Business Review. 2005;83(5):96-104\n'},{id:"B116",body:'Mackay D, Zundel M, Alkiriwi M. Exploring the practical wisdom of metis for management learning. Management Learning. 2014;45:418-436\n'},{id:"B117",body:'Segal S. A Heideggerian approach to practice-based reflexivity. Management Learning. 2010;41:379-389\n'},{id:"B118",body:'Sinclair A. Teaching leadership critically to MBAs: Experiences from heaven to hell. Management Learning. 2007;38:458-471\n'},{id:"B119",body:'Carlson S. Executive Behaviour. Strömbergs: Stockholm; 1951\n'},{id:"B120",body:'Luthans F, Hodgetts RM, Rosenkrantz SA. Real Managers. Cambridge, MA: Ballinger; 1988\n'},{id:"B121",body:'Mintzberg H. The Nature of Executive Work. New York: Harper & Row Publishers; 1973\n'},{id:"B122",body:'Steward R. Managers and their Jobs: A Study of Similarities and Differences in the Ways Managers Spend their Time. 2nd ed. Basingstoke: The Macmillan Press; 1967/88\n'},{id:"B123",body:'Storch J, Shotter J. ‘Good enough’, ‘imperfect’, or situated leadership: Developing and sustaining poised resourcefulness within an organization of practitioner-consultants. International Journal of Collaborative Practice. 2013;4(1):1-19\n'},{id:"B124",body:'Meindl JR, Ehrlich SB, Dukerich JM. The romance of leadership. Adminsitrative Science Quarterly. 1985;30(1):78-108\n'},{id:"B125",body:'Gabriel Y. Meeting god: When organizational members come face to face with the supreme leader. Human Relations. 1997;50(4):315-342\n'},{id:"B126",body:'Skogstad A, Aasland MS, Nielsen MB, Hetland J, Matthiesen SB, Einarsen S. The relative effects of constructive, laissez-faire, and tyrannical leadership on subordinate job satisfaction. Results from two prospective and representative studies. Zeitschrift für Psychologie. 2014;222(4):221-232\n'},{id:"B127",body:'Binney G, Williams C, Wilke G. Living Leadership. A Practical Guide for Ordniary Heroes. 3rd ed. Harlow: Pearson Education\n'}],footnotes:[],contributors:[{corresp:"yes",contributorFullName:"Tom Karp",address:"tom.karp@kristiania.no",affiliation:'
Kristiania University College, Oslo, Norway
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1. Introduction
Through constant development within the metalworking industry, current processes consist of designing and producing new structures at a higher speed, cheaper with more efficient processes that present a low rate of wear on the equipment and devices used during said processes. Therefore, hard wear-resistant coatings have been incorporated as protective coatings on cutting tools in recent decades with the purpose of giving a longer useful life to this type of device, which suffers from high wear during the machining processes [1, 2, 3]. This type of coatings currently has a wide range of investigations, which have been able to generate different configurations such as binary, ternary or quaternary systems, single or multilayer systems, as well as a great combination of different elements that have conferred characteristics. Special to this type of coatings, such as high hardness, high biocompatibility, high resistance to wear, high resistance to corrosion, among other specific characteristics required depending on their use and application. A specific type of coatings such as those based on nitrides, which have generated great interest within various and novel coating systems, these coatings were implemented approximately since 1970 [4], being one of the first anti-wear coatings used in the industry. This type of coatings have great hardness, high resistance to wear and high resistance to corrosion among other interesting properties, such as TiN [4], TiCrN [5], [Al2O3/Si3N4] [6], TiCN [7], BCN [8] among other configurations.
Nitride-based coatings are constituted by the incorporation of nitrogen atoms (N) within the crystalline structure of transition metals such as Ti, Al, Cr, V among others, which generates a distortion within their structure, causing internal stresses, with changing specific properties of the material. In addition, the inclusion of N atoms interstitially within the structures generates a physicochemical change in the material, giving it changes in its behavior based on a new metal-ceramic structure that it now presents. Therefore, properties such as hardness and corrosion resistance increase considerably in relation to simpler coatings based on transition metals. On the other hand, the distortion within their structures due to the inclusion of N atoms generating stresses within their structure as mentioned above, causes physical changes in the coating, such as an increase in the density of these coatings, which influences characteristics. Surface surfaces such as roughness and the presence of these residual stresses within the structure, causes an increase in the mechanical properties of the coating, among other changes in material properties.
2. Methodology and experimental details
The deposition of the coatings was performed using a multi-target sputtering magnetron. This specific type of system allows to perform the multilayer deposition process in situ. This equipment uses four (4) magnetrons (Torus - 4 “, 10 cm Kurt J. Lesker) with diameters of 10 cm, three (3) radio frequency sources (13.56 MHz, RFX 600A), and three (3) direct current sources (MDX 500, Advanced Energy). In addition, the pressure during the deposition process in monitored by a control and measurement system (Baraton, MKS), which has four (4) gas flow controllers, a radiation heating system (Athena 500), which has a maximum temperature of 400°C, and a planetary type rotary sampling system. For TiN, TiCrN, TiCN, BCN and CrAlN coatings, titanium (Ti), titanium carbide (TiC) and Chromium-Aluminum (Cr-Al) targets were used, respectively; each cathode with an approximate purity of 99.99%. Two (2) different type of substrate were used, silicon with preferential crystallographic orientation (100) and AISI 1045 and H13 steel substrates respectively. The silicon substrates were subjected to a surface cleaning process in an ultrasonic system and the steel substrates were prepared superficially using sandpaper (SiC) and finally polished in a metallographic polisher. Before starting the deposition process, a vacuum with a pressure of 1.4x10−4 mbar was applied. The TiCN coating was deposited using a working pressure of 1.4x10−2 mbar in a gas mixture of 50 sccm (Ar) and 16 sccm (N2) at 250°C, and a r.f power density of 5 W/cm2 was applied on the TiC target. For BCN coating, it was deposited by a pressure of 7.4x10−3 mbar in a gas mixture of 44 sccm (Ar) and 6 sccm (N2) at 250°C, and a r.f power density of 7 W/cm2 was applied on the BC target. For the CrAlN coating was deposited using a working pressure of 6.4x10−3 mbar was used a gas mixture of 50 sccm (Ar) and 5.5 sccm (N2) at 250°C, and the r.f power density applied to the Cr target and Al target was 2.5 W/cm2 and 4.5 W/cm2, respectively [8]. The deposition of the Si3N4 based coatings was performed by magnetron sputtering with an r.f source (13.56 MHz) on silicon (100) and AISI 316 stainless steel substrates. A cathode (Si3N4) with a purity of 99.9% approximately. During the deposition a power of 550 W was used and a bias voltage of −20 V was applied, the distance between substrates-targets was approximately 7 cm, and the deposition process was carried out at a temperature of 200°C inside the chamber. In addition, the substrate holder rotated at a speed of 60 RPM during the entire deposition process with a working pressure of 5.1x103 mbar. The coating obtained a thickness of approximately 2.5 μm.
The structural analysis of TiCN, BCN and CrAlN coatings was analyzed by X-ray diffraction (PANalytical X ‘pert proTM), using a Cu Kα radiation source with a wavelength of λ = 1.5405 Å. By X-ray photo-electron spectroscopy (XPS) using a SAGE HR100 (SPECSTM) equipment with a monochromatic source (Mg Kα 1253.6 eV), CasaXPS V2.3.15 software was used to determine the chemical composition of the obtained coatings. The morphological study of the coatings was carried out by atomic force microscopy (AFM) with an Asylum Research MFP-3D® device and with a scanning prove image processor (SPIP®), the grain size and roughness of the coatings obtained were calculated. The mechanical study was carried out by nanoindentation using an Ubi1-HysitronTM device, which uses a Berkovich diamond tip at variable loads. From this test, load–displacement curves were obtained as a function of penetration for the coatings. Based on these curves, hardness and elastic modulus were determined using the Oliver-Phar method.
2.1 Tribological experimental details
The tribological characterization of the coatings was performed under ASTM G99-17 standard, using a Microtest MT 4001-98 tribometer. This equipment consists of a rotating platform, with controlled speed on which the test sample is adjusted in an environment with or without lubricant. On this surface, a mechanical arm which contains a counterpart (100Cr6 or Steel 440) with a spherical shape of 6 mm in diameter in direct contact with the surface under study is adjusted. A load applied to the counterpart (5 N) is adjusted on this mechanical arm; with an angular velocity of 160 rpm and linear velocity of 0.1 m/s and other parameters of each tribological test are presented in Table 1. In addition, a JEOL model JSM-6490LVTM scanning electron microscopy (SEM) was used to observe the wear track. The adhesive characterization of the coatings was performed under ASTM G171-03 standard, using a Microtest MTR2 equipment, the parameter used in the test were; a sliding distance of 6 mm, variable load from 0 to 90 N and a sliding velocity of of 1.97 mm/min using a Rockwell C indenter. In addition, the identification of cohesive failure (Lc1) and adhesive failure (Lc2) was performed using the NANOVEA SCRATCH TESTER software, which analyzes the change of the friction coefficient versus load or distance, and the results were corroborated by optical micrographs and SEM micrographs of the scratch tracks. The coatings thickness and the wear scratch images were obtained by using a KLA Tencor D-120 profilometer; the thickness of all the coatings was 3 μm [6, 9].
TiN, TiCrN
TiCN, CrAlN, BCN
Si3N4
Load (N)
5
5
5
Counterpart
440
100Cr6
100Cr6
Environments
dry
Dry and lubricated
Dry and lubricated
Substrate
Steel H13
Steel 1045
Steel 316
Distance (m)
100
1000
300
Lubricant
20 W50
20 W50
Angular Velocity (rpm)
160
160
160
Linear Velocity (m/seg)
0.1
0.1
0.1
Table 1.
Tribological parameters.
3. Comparison between nitride coatings
3.1 Structural study for TiN and TiCrN nitride coatings
Figure 1 shows the diffraction patterns for the initial coating based on (TiN), where diffraction peaks located in the crystallographic planes (111) (200, 220), (311), (222) and (400) were obtained. In addition, the incorporation of Cr atoms within its structure for the formation of the coating (TiCrN), which still shows the same characteristics peaks. On the other hand, the displacement of the characteristics peaks of the multilayer system formed by [TiN/TiCrN] can be evidenced as a function of the increase in the bilayers number deposited on Si substrates (100). Determining that the increase in the number of interfaces causes a distortion of the crystalline structure due to residual stresses within this multilayers system, which will influence the mechanical and tribological properties of this type of coatings. From these results it was possible to infer that all coatings have a face-centered cubic crystal structure (FCC) [5, 10].
Figure 1.
X-ray diffraction patterns for monolayers [TiN and TiCrN] and multilayers [TiN/TiCrN]n as a function of the number of bilayers 1, 25, and 50.
3.1.1 Structural study for TiCN, BCN and CrAlN coatings nitride coatings
Figure 2 shows the X-ray diffraction patterns for more complex coatings such as TiCN, BCN and CrAlN coatings. From these results, 2θ diffraction sequences were evident for face-centered cubic (FCC), NaCl type structures with and Fm3m space group [11]. The conformation of this type of coatings (TiCN, BCN and CrAlN) is associated by the substitution mechanism, in which, the carbon atoms (C) substitute the nitrogen atoms (N), giving rise the ordered CN systems in Ti, B and unordered for TiCN and BCN coatings. On the other hand, the CrAlN coating is the result of the coupling the two FCC phases of AlN and CrN, which generated a conjugated complex, where Al and Cr atoms are located in reticular positions and aluminum atoms (Al) are substituted by atoms of (Cr) while nitrogen atoms are located in the interstitial position of the CrAlN crystal [12, 13, 14]. Through these results, a NaCl-type FCC structure was determined for the three coatings, in which Ti, B, Cr and Al atoms would be located at the Wyckoff 4a site and the Wyckoff 4b site is randomly occupied by C and N atoms. Thus, titanium carbon-nitride as well as boron carbo-nitride are agreement with the international indexing files JCPDF 00-042-1488 and JCPDF 00-035-1293, while for aluminum chromium nitride two indexing are performed, taking into account the structure of chromium nitride (CrN) JCPDF 00-003-1157 and aluminum nitride (AlN) JCPD 00-025-1495 [15]. In addition, it can be observed that the CrAlN coating is constituted by CrN and AlN, which present the same NaCl-type FCC crystal structure and a 225-Fm3m space group. These results established that the higher intensity peak (111) located at the for angles 2θ = 36.342° and 43.228° for TiCN and BCN coatings respectively. Otherwise, for the CrAlN coating, where the peak of higher intensity (200) was located at angle 2θ = 41.646°. Finally, shifts towards smaller 2θ angles relative to the positions where the material is stress-free (dotted line). These shifts of the diffraction peaks suggest a variation of the lattice parameter of the crystal structures of the coatings. Considering that TiCN, CrAlN and BCN coatings present cubic structures, it can be observed that when the value of the theta angle (θ) decreases, the lattice parameter increases, evidencing an increase of the internal stresses (compression type) within the crystalline structure of the coatings.
Figure 2.
Diffraction patterns for all coatings: (a) TiCN, (b) BCN and (c) CrAlN. Dotted lines indicate the peaks position obtained from the international indexing files (JCPDF) of TiCN, BCN and CrN–AlN respectively.
3.1.2 Structural study for Si3N4 nitride coatings
Figure 3 shows the XRD diffraction patterns for Si3N4 coating deposited on silicon (100), where diffraction peaks located in the (111), (220), (311), (400), (511), (440) and (533) crystallographic planes characteristics of a face-centered cubic structure FCC were obtained. In addition, a preferential texturization is observed in the (311) plane, it was also observed that the peaks presented horizontal displacements at 2θ with respect to those reported in the JCPDC 00-051-1334 file (dotted line), were caused by internal stresses generated during the deposition process, which caused a deformation in the crystallographic planes of the structure of the coatings.
Figure 3.
Diffraction patterns of the Si3N4 single layers coating deposited on silicon.
3.2 Chemical comparison between nitride coatings
3.2.1 Chemical study for TiCN, BCN and CrAlN coatings nitride coatings
Figure 4 shows the survey spectra for the TiCN, BCN and CrAlN coatings. These spectra presented high intensity peaks where their location with their respective binding energies were determined. For the TiCN coating, Ti (2p3), C (1 s) and Si (2p) peaks located at the binding energy 458.4 eV; 396.8 eV; 284.8 eV and 61.6 eV respectively were obtained; for the BCN coating, N (1 s), C (1 s) and B (1 s) peaks located at the binding energy 400 eV; 285.6 eV and 192.8 eV respectively were obtained; and for the CrAlN coating Cr (2p), N(1 s), Al (2 s) and Al (2p) peaks located at the binding energy 475.99 eV; 396.97 eV; 119 eV and 74 eV respectively were obtained. Previous studies indicated that the signals of C (1 s) and N (1 s) are associated with C-N and Ti-N bonds, these results are agreement with the literature [16]. Analysis of the XPS spectra for the BCN coating showed the binding energies corresponding to the N (1 s), C (1 s) and B (1 s) signals were consistent to the formation of the BCN ternary compound as corroborated in the literature [17]. For the ternary CrAlN coating, Cr (2p3/2), Al (2p) and N (1 s) signals associated with Cr-Al bonds were presented, binding energies for Cr-N and Al-N were also evidenced, confirming the formation of the ternary CrAlN compound [18]. Finally, the stoichiometry was determined for all the coatings (Ti32.45-C35.83-N31.72, B48.63-C31.22-N20.15 and Cr40.27-Al38.01-N21.72).
Figure 4.
XPS survey results for the three coatings used: (a) TiCN, (b) BCN and (c) CrAlN.
3.2.2 Chemical study for Si3N4 nitride coatings
Figure 5a show the depth spectra for the Si3N4 coating, showing the spectral lines of the elements present in the coating by X-ray photoelectron spectroscopy (XPS) technique. From this result, elements such as Si and N, and elements in low quantity such as Oxygen were found. In order to know the detailed surface stoichiometry of the coating, the high resolution XPS spectra of Si-2p and N-1 s species are also presented in the Figure 5b and c respectively. The Si3N4 coating has an atomic N/Si ratio of 1.32 (stoichiometry Si57N43). The Si3N4 has an ideal stoichiometry ratio of 1.33 which is in agreement with what is found in the literature. In addition, the high-resolution Si-2p spectrum (Figure 5b) presented two peaks located at a binding energy of 101.77 eV and 104.88 eV, respectively. These two peaks are attributed the Si-O and Si-N bonds of the Si3N4 [19]. On the other hand, Figure 5c shows the high-resolution spectrum for the N-1 s peak, which id fitted by three peaks. The first peak, corresponding to (N-O) bond, located at a binding energy 400.51 eV [20]; the second peak, corresponding to the (N-Si) bond, located at a binding energy of 396.96 eV, and the third peak, can be attributed to a different chemical state of N due to its different bonding configurations with neighboring atoms such as H and C located at a binding energy of 394.4 eV [21].
Figure 5.
Depth spectra obtained by the XPS technique for the Si3N4 nitride coatings and high resolution XPS spectra for the Si3N4 coating: (a) Si-2p signal; (b) N-1s signal.
3.3 Morphological comparison between nitride coatings
3.3.1 Morphological study for TiN and TiCrN nitride coatings
To quantitatively study the surface morphology of the samples, the atomic force microscopy (AFM) technique was used. Figure 6a and b present the images corresponding to titanium nitride (TiN) and titanium chromium nitride (TiCrN) respectively. From these results, it was evident that the TiCrN surface has a more regular surface compared to TiN. This surface change is attributed to the incorporation of chromium (Cr) into its crystalline structure, which causes a compressive deformation, making a much denser and compact structure with a more orderly growth.
Figure 6.
Atomic force microscopy for single layer coatings: (a) TiCrN and (b) TiN.
Figure 4c and d show the roughness and grain size for the TiN and TiCrN layers and the [TiN/TiCrN] based multilayer system as a function of the bilayers number n = 1, 25 and 50 respectively. These results indicated that the TiCrN layer presented better surface properties (roughness and grain size) compared to the TiN layer. In addition, by means of the multilayer system, it was evidenced that by increasing the bilayers number or interfaces, the surfaces presented a lower number of imperfections due to the fact that the system becomes much denser generating a more regular surface, because an increase in the density of the system is promoted due to a higher number of interfaces. Authors such as J.C. Caicedo et al. [22] also showed this behavior in multilayer systems. In addition, the roughness is a factor that influenced the tribological properties, influencing the formation of asperities, the type of contact and the wear generated at the beginning of the tribological test [23, 24].
3.3.2 Morphological study for TiCN, BCN and CrAlN coatings nitride coatings
Using SPIP® statical analysis software, AFM images were obtained in contact mode (Figure 7a–c). From these images, the surface roughness and grain size values of each coating were obtained (Figure 8a and b). From these images it can be clearly observed the change in surface morphology as the nature of the coating changes, taking into account that the three materials have a similar thickness.
Figure 7.
AFM images for all coatings: (a) TiCN, (b) CrAlN and (c) BCN.
Figure 8.
Influence of TiCN, BCN and CrAlN coatings’ nature on morphological surface: (a) roughness as a function of coating materials, (b) grain size as a function of coating materials.
Figure 8 shows the relationship between surface roughness and grain size. These results indicated that the TiCN coating presented the higher values for roughness = 7.01 μm and grain size = 62.6 μm; followed by the CrAlN coating, which presented roughness = 6.47 μm and grain size = 58.8 μm. Finally, the BCN coating presented the best characteristics (lowest values) of roughness = 4.12 μm and grain size = 51.6 μm. Thus, there was a decrease of 41.23% and 17.57% for roughness and grain size respectively. From the results obtained by AFM, it was observed that the BCN coating presented the best results, which is due to the susceptibility of BCN to grow with low roughness on the substrate with respect to the other coatings, also producing the reduction of the grain size (which is directly proportional to the reduction of the roughness), causing a more compact coating to be generated.
3.3.3 Morphological study for Si3N4 coatings nitride coatings
Figure 9 presents the AFM images of the Si3N4 coating, where it was determined that the coating presented a grain morphology with circular geometry with a low grain size and a homogeneous surface. This surface characteristic is attributed to a high ionic bombardment of Ar+ atoms generated during the deposition process, which modifies the surface morphology of the coating. Thus, ion bombardment causes an increase in the energy of the atoms adsorbed on the substrate surface, generating an increase in the nucleation sites. This results in a reduction of grain size, roughness and columnar growth, as well as an increase in the density of the coatings [5, 25]. Figure 9b shows the values of the roughness and grain size for the coating, where it was determined that the Si3N4 surface presented optimal results, so these morphological characteristics will greatly affect the mechanical and tribological properties of this coating.
Figure 9.
Atomic force microscopy (AFM) images for the single layer Si3N4 coatings, showing the morphological analysis of the Si3N4 coatings: roughness and grain size.
3.4 Mechanical properties comparison between nitride coatings
3.4.1 Mechanical properties for TiN and TiCrN nitride coatings
Figure 10 shows the load-depth curves obtained during the nanoindentation test fir the TiN and TiCrN single layer coating and the TiN/TiCrN multilayer system as a function of the bilayers number. These results showed a higher penetration fir the substrate (steel H13). In addition, the TiCrN layer showed a lower penetration compared to the TiN layer and for the multilayer system, there was a decrease in penetration as the bilayers number increased. This behavior is due to the surface properties of each coating as corroborated in the Figure 10b and c. Thus, Figure 10b and c shows the values of hardness (H) and elastic modulus (E) for the individual coating and multilayers system (TiN, TiCrN and [TiN/TiCrN]) where it was determined that both presented hardness higher than 10 Gpa, which serves as a parameter to qualify them as hard coatings, which allows to have a longer life time and lower wear rates in cutting tools that implement this type of coatings [26]. Finally, these results show a hardness of 18.5 Gpa and an elastic modulus 284.17 Mpa, as well as a hardness of 20.35 Gpa and elastic modulus 314.2 Mpa for the TiN and TiCrN single layers, respectively. The TiCrN single layer showed better properties due to the higher compressive stresses generated in the coating during the sputtering of the deposition process [22].
Figure 10.
Nanoindentation results (a) Load-displacement curves for the TiN and TiCrN single layers; (b) Hardness and (c) Elastic modulus values.
3.4.2 Mechanical properties for TiCN, BCN and CrAlN coatings nitride coatings
After the structural and morphological studies presented above, the mechanical properties of TiCN, CrAlN and BCN coatings deposited on AISI 1045 steel substrates presented in the Figure 11a were analyzed by means of load-displacement curves. Figure 11b and c show the hardness and elastic modulus of the coatings, where values were obtained for TiCN (H = 28 Gpa, E=224 Mpa), followed by CrAlN (H=30 Gpa, E=251 Gpa= and then BCN (H=33 Gpa, E=335 Gpa). These results obtained are attributed to surface factors such as those presented by AFM (Figure 7), where a direct relationship between the roughness and grain size is show. Thus, having a smaller grain size results in a higher grain edge density and these grain edges act as impediments to the movement of dislocations. Thus, higher shear stresses are required for the dislocations to pass through these obstacles, so these coatings will have better mechanical properties [27, 28, 29, 30]. On the other hand, the elastic modulus (E) of coatings is related to the type of material, but not to its microstructure; in this sense the elastic modulus (E) depends on its crystalline structure and microstructural factors such as the lattice parameter.
Figure 11.
Nanoindentation results: (a) Load-displacement curves for the TiCN, CrAlN and BCN single layers, (b) Hardness and (c) Elastic modulus values.
3.4.3 Mechanical properties for Si3N4 coatings nitride coatings
Figure 12 shows the results of hardness (H) and reduced elastic modulus (Er) of the Si3N4 coating deposited on an AISI 316 steel. Through these results it was possible to determine that this coating presented a higher resistance to being indented in comparison to the Al2O3 coating. This behavior is attributed to surface factors such as a smaller grain size, which means an increase in the amount of grain boundaries, which act as impediments to the displacement of dislocations. On the other hand, the presence of compressive stresses generated during the deposition process contributed to the increase in the hardness of this coating. Thus, the Si3N4 coating obtained the best mechanical properties such as hardness (H) and reduction elastic modulus (Er).
Figure 12.
Load-depth curves for the Si3N4 coatings and mechanical properties as a function of the material: hardness and reduced modulus of elasticity Si3N4 coatings.
3.5 Tribological properties comparison between nitride coatings
3.5.1 Tribological properties for TiN and TiCrN nitride coatings
Figure 13 shows the tribological behavior of individual TiN and TiCrN coatings as well as the [TiN/TiCrN] multilayer system as a function of the bilayers number. Through this behavior, two characteristics stages were identified. Stage I, known as the starting period, where there is a rapid increase in the friction coefficient due to the direct contact between the asperities and the counterpart (Steel 440), in this way, these asperities are eliminated and deformed. Stage II, known as running-in, in which the deformation of the asperities is maintained together with the appearance of defects of the coating, leading to the formation of wear particles or debris [24]. Figure 13b show the value of the friction coefficient in the stabilization stage. From this result, it is evident that the TiCrN coating showed a decrease compared to the TiN coating, this decrease in the coefficient is attributed to the deformation of the crystalline structure by the incorporation of chromium atoms, which modifies its surface and mechanical properties, as show above (Figures 6 and 10). Furthermore, this tribological behavior can be related to the mechanical friction model proposed by Archad, where the friction coefficient of each coating depends on surface factors such as roughness R(s,a), and elastic–plastic properties (hardness H, or elastic modulus Er). By means of this model, it is established that when the surface of the coating has a low roughness (Figure 6) and a high hardness (Figure 10) the friction coefficient will be lower since there will be less wear on the surface [31].
Figure 13.
Tribological study of single layer coatings [TiN and TiCrN] and multilayer system [TiN/TiCrN]n as a function of the bilayers number (a) Friction coefficient versus distance and (b) Friction coefficient values for single layer [TiN and TiCrN] and multilayer system [TiN/TiCrN]n.
The study of the adhesion of coatings was carried out by means of the scratch teste. For this, Figure 14a and b show the behavior of TiN and TiCrN coatings respectively, where two characteristics stages known as (Lc1 and Lc2) could be characterized. Lc1, is known as the cohesive failure where the first cracks or first failure in the coating start to occur and Lc2 known as the adhesive type failure where delamination occurs at the edge of the scratch track presented in Figure 14c. In addition, Figure 14a and b show the adhesion strength for the single layer coatings as a function of Lc1 and Lc2 failures, where the change in slope corresponding to the adhesive and cohesive failure are observed. Thus, there results were corroborated with the micrographs of the wear tracks of each test where the morphological changes suffered by the surface due to the cohesive and adhesive failure can be appreciated [32].
Figure 14.
Friction coefficient and normal strength versus distance and critical load Lc2 for single layers (TiN and TiCrN) and optical micrographs of the wear track of the dynamic scratch test at a resolution of x10.
Finally, Figure 14d show the value of the critical load (Lc2) for the TiN and TiCrN single layer coatings as well as the multilayer system [TiN/TiCrN] as a function of the bilayers number. From these results it was possible to show that the TiCrN coating presented a higher resistance to be delaminated, this increase of the Lc2 load in comparison to the TiN coating is attributed to physical factors, such as the change produced within its crystalline structure by the incorporation of chromium atoms in its structure as corroborated in Figure 1. This change in the crystalline structure due to the increase of compressive stresses generated that a higher amount of external energy is required to cause a delamination of the coating. In addition, for the multilayer system, it was determined that the increase in the number of interfaces directly affects the delamination resistance of the coatings, because the interfaces restrict movement of the cracks through the coating.
3.5.2 Tribological properties for TiCN, BCN and CrAlN coatings nitride coatings
Figure 15 show the tribological behavior of TiCN, BCN and CrAlN coatings deposited on AISI 1045 steel substrate when in direct contact with a 100Cr6 steel counterpart in lubricated and non-lubricated environments. These results showed two characteristic stages, stage I, known as the starting period, which is related to the interference of the friction mechanism due to the initial surface contact associated with the surface and counterpart; therefore; this contact generated a rapid increase in the friction coefficient and stage II is characterized by the friction coefficient presents a settlement period, where a deformation and elimination of the asperities takes place, causing a stabilization of the friction coefficient. Thus, at the settling distance there is an equilibrium of the friction coefficient in relation to the adhesive and interferential friction mechanisms. Therefore, the value of the friction coefficient will depend on the predominant effect related to the adhesive and interferential mechanisms. Finally, Figure 13b shows the value of the friction coefficient for all coatings and substrate (AISI 1045) in the non-lubricated environment, where they were obtained for Substrate = 0.82; TiCN = 0.74; CrAlN = 0.66 and BCN = 0.6. On the other hand, the values of the friction coefficient obtained in a lubricated environment were Substrate = 0.26; TiCN = 0.24; CrAlN = 0.23 and BCN = 0.21. Taking into account the last result, it was established that the BCN coating presented the best tribological behavior for both environments (dry and lubricated), this good behavior is attributed to its surface and mechanical properties presented above.
Figure 15.
Tribological results of the AISI 1045 steel substrates with TiCN, BCN and CrAlN single layer coatings with and without lubrication: friction coefficient as a function of the sliding distance and friction coefficient for different coatings (TiCN, CrAlN and BCN): without lubrication and with lubrication.
Through the results obtained by the scratch test presented in Figure 16, it was possible to evidence an increase of the critical load (Lc2) as a function of the nature of the coating (TiCN, CrAlN and BCN). Moreover, the change of the critical load is related to the increase of the mechanical properties of the coatings (Figure 11), the reduction of the surface roughness (Figures 7 and 8) and the reduction of the friction coefficient (Figure 15). In addition, factor such as resistance to plastic deformation and elastic recovery prevent the propagation and displacement of cracks through the coating, thus requiring a higher applied external load to cause failure between the coating and the substrate (adhesive failure). Therefore, an increase in the critical adhesive load (Lc2) of 46.03% was found for the boron carbide nitride (BCN) coating relative to the coating with lower mechanical properties (TiCN).
Figure 16.
Friction coefficient as a function of the applied load for all TiCN, BCN and CrAlN coatings showing the cohesive failure (LC1) and adhesive failure (LC2) and critical load as a function of the coating’s nature (TiCN, BCN and CrAlN).
3.5.3 Tribological properties for Si3N4 coatings nitride coatings
Figure 17a shows the friction coefficient of Si3N4 based coating deposited on AISI 316 steel substrates in a lubricated and dry environment. The results of the tribological study in dry environment evidenced two characteristic stages during the test. Stage I, known as the starting period, is associated with the interferential friction mechanism due to the direct contact between the surface roughness of the coating and the counterpart (100Cr6 steel), whereby, which, the roughness decreases and generates wear particles on the surface [5]. These particles cause a rapid increase in the friction coefficient followed by a slight decrease until it stabilizes. Subsequently, in stage II, the reduction of these roughness is maintained along with the appearance of new defects in the coating, leading to a stabilization of the friction coefficient [33].
Figure 17.
Friction coefficient for Si3N4 coatings in lubricated and non-lubricated environment: (a) friction coefficient versus sliding distance (b) friction coefficient as a function of the material evaluated.
In the lubricated environment, the curves show a different behavior in relation to the tribological study in dry environment (not lubricated), since the incorporate of the lubricant inside the tribological contact generated a large decrease in the friction coefficient. Therefore, the decrease in the friction coefficient is attributed to the fact that the lubricant supports the applied external load, decreasing the roughness reduction and caused a lower amount of wear particles (debris) on the tribo-system surface. Figure 17b shows the value of the friction coefficient as a function of the material, in dry and lubricated environment. This behavior is related to the friction model proposed by Archad [31]. This model correlates the mechanical (H, Er) and morphological (roughness) properties of the coating, where surface with better mechanical properties and lower roughness will present a lower friction coefficient, as was the case for the Si3N4 coating. This is due to the fact that the Si3N4 coating is able to withstand the continuous passage of the counterpart in relation to the uncoated steel substrate, thus producing a lower wear rate on its surface.
Figure 18 shows the friction coefficient as a function of critical load for Si3N4 coating, in addition to the SEM micrograph of the scratch track where the types of failures, cohesive failure (Lc1) and adhesive failure (Lc2), were determined. In the cohesive failure (Lc1) the first cracks are produced by the applied external load, and in the adhesive failure (Lc2) a delamination is generated at the edge of the scratch track. These tribological characteristics are due to the mechanical and surface properties of the coating.
Figure 18.
SEM micrographs of the wear tracks generated in the scratch test for Si3N4 coatings deposited on 316 stainless steel substrates.
4. Conclusions
From the study of the mechanical and tribological behavior of TiN and TiCrN coating. It was determined that the TiCrN coating presented the best set of properties, these better properties were attributed to the incorporation of chromium (Cr) atoms within the crystalline structure of TiN. Therefore, structural, morphological and mechanical changes were produced, which influenced its behavior under applied load states.
The above results determined that the boron nitride (BCN) coating had the lowest friction coefficient (0.208) in a lubricated environment and had a friction coefficient of 0.6 in a non-lubricated environment. This tribological behavior is associated with its low roughness and high mechanical properties with respect to the coatings (TiCN and CrAlN). In this research, a decrease in the friction coefficient was obtained comparing non-lubricated and lubricated environments by 68.2%, 65% and 65.3% for TiCN, CrAlN and BCN coatings, respectively. On the other hand, cohesive failure (Lc1) and adhesive failure (Lc2) were obtained for BCN coating with 38.41 N and 49.32 N, respectively.
The tribological properties analyzed by Pin On Disk in dry and lubricated environment for the Si3N4 coating presented the lowest friction coefficient in relation to uncoated steel. This behavior is attributed to its structural, mechanical and morphological properties, so the Si3N4 coating proved to be a suitable candidate to be implemented in the food and pharmaceutical industry.
Acknowledgments
This research was supported by Universidad Militar Nueva Granada, Bogotá, Colombia; CIC biomaGUNE, San Sebastian, Spain; Centro de Desarrollo Tecnológico y Asistencia Técnica a la Industria del Servicio Nacional de Aprendizaje (CDT-ASTIN-SENA), Cali, Colombia; Universidad Autónoma de Occidente, Cali, Colombia.
\n',keywords:"tribology behavior, wear mechanisms, multilayer coatings, adhesive properties, surfaces analysis",chapterPDFUrl:"https://cdn.intechopen.com/pdfs/79311.pdf",chapterXML:"https://mts.intechopen.com/source/xml/79311.xml",downloadPdfUrl:"/chapter/pdf-download/79311",previewPdfUrl:"/chapter/pdf-preview/79311",totalDownloads:122,totalViews:0,totalCrossrefCites:1,dateSubmitted:"July 29th 2021",dateReviewed:"September 24th 2021",datePrePublished:"November 13th 2021",datePublished:"June 28th 2022",dateFinished:"November 13th 2021",readingETA:"0",abstract:"This chapter describes the fundamental and technological role of nitride-based hard coatings as protective coatings in some applications within the metalworking industry. For this, this chapter will present a critical review of previous research and recent developments on nitride-based coatings in different systems such as (multilayers, quaternaries, among others), where it will be possible to demonstrate their main properties and advantages that they can grant when they are implemented on conventional steels, such as greater hardness, surface control, electrochemical resistance, resistance against wear, among others. These results will determine that this type of coatings are suitable candidates to be implemented as protective coatings on cutting tools, which suffer from high wear in machining processes in the metalworking industry.",reviewType:"peer-reviewed",bibtexUrl:"/chapter/bibtex/79311",risUrl:"/chapter/ris/79311",signatures:"Christian Ortiz Ortiz, Erick Hernandez-Rengifo and Julio Cesar Caicedo",book:{id:"10848",type:"book",title:"Tribology of Machine Elements",subtitle:"Fundamentals and Applications",fullTitle:"Tribology of Machine Elements - Fundamentals and Applications",slug:"tribology-of-machine-elements-fundamentals-and-applications",publishedDate:"June 28th 2022",bookSignature:"Giuseppe Pintaude, Tiago Cousseau and Anna Rudawska",coverURL:"https://cdn.intechopen.com/books/images_new/10848.jpg",licenceType:"CC BY 3.0",editedByType:"Edited by",isbn:"978-1-83969-894-1",printIsbn:"978-1-83969-893-4",pdfIsbn:"978-1-83969-895-8",isAvailableForWebshopOrdering:!0,editors:[{id:"18347",title:"Prof.",name:"Giuseppe",middleName:null,surname:"Pintaude",slug:"giuseppe-pintaude",fullName:"Giuseppe Pintaude"}],productType:{id:"1",title:"Edited Volume",chapterContentType:"chapter",authoredCaption:"Edited by"}},authors:[{id:"181727",title:"Dr.",name:"Julio",middleName:null,surname:"Caicedo",fullName:"Julio Caicedo",slug:"julio-caicedo",email:"julio.cesar.caicedo@correounivalle.edu.co",position:null,profilePictureURL:"//cdnintech.com/web/frontend/www/assets/author.svg",institution:{name:"University of Valle",institutionURL:null,country:{name:"Colombia"}}},{id:"420540",title:"Ph.D. Student",name:"Christian",middleName:null,surname:"Ortiz",fullName:"Christian Ortiz",slug:"christian-ortiz",email:"christian.ortiz.ortiz@correounivalle.edu.co",position:null,profilePictureURL:"//cdnintech.com/web/frontend/www/assets/author.svg",institution:null},{id:"421259",title:"MSc.",name:"Erick",middleName:null,surname:"Hernández",fullName:"Erick Hernández",slug:"erick-hernandez",email:"erick.hernandez@correounivalle.edu.co",position:null,profilePictureURL:"//cdnintech.com/web/frontend/www/assets/author.svg",institution:{name:"University of Valle",institutionURL:null,country:{name:"Colombia"}}}],sections:[{id:"sec_1",title:"1. Introduction",level:"1"},{id:"sec_2",title:"2. Methodology and experimental details",level:"1"},{id:"sec_2_2",title:"2.1 Tribological experimental details",level:"2"},{id:"sec_4",title:"3. Comparison between nitride coatings",level:"1"},{id:"sec_4_2",title:"3.1 Structural study for TiN and TiCrN nitride coatings",level:"2"},{id:"sec_4_3",title:"3.1.1 Structural study for TiCN, BCN and CrAlN coatings nitride coatings",level:"3"},{id:"sec_5_3",title:"3.1.2 Structural study for Si3N4 nitride coatings",level:"3"},{id:"sec_7_2",title:"3.2 Chemical comparison between nitride coatings",level:"2"},{id:"sec_7_3",title:"3.2.1 Chemical study for TiCN, BCN and CrAlN coatings nitride coatings",level:"3"},{id:"sec_8_3",title:"3.2.2 Chemical study for Si3N4 nitride coatings",level:"3"},{id:"sec_10_2",title:"3.3 Morphological comparison between nitride coatings",level:"2"},{id:"sec_10_3",title:"3.3.1 Morphological study for TiN and TiCrN nitride coatings",level:"3"},{id:"sec_11_3",title:"3.3.2 Morphological study for TiCN, BCN and CrAlN coatings nitride coatings",level:"3"},{id:"sec_12_3",title:"3.3.3 Morphological study for Si3N4 coatings nitride coatings",level:"3"},{id:"sec_14_2",title:"3.4 Mechanical properties comparison between nitride coatings",level:"2"},{id:"sec_14_3",title:"3.4.1 Mechanical properties for TiN and TiCrN nitride coatings",level:"3"},{id:"sec_15_3",title:"3.4.2 Mechanical properties for TiCN, BCN and CrAlN coatings nitride coatings",level:"3"},{id:"sec_16_3",title:"3.4.3 Mechanical properties for Si3N4 coatings nitride coatings",level:"3"},{id:"sec_18_2",title:"3.5 Tribological properties comparison between nitride coatings",level:"2"},{id:"sec_18_3",title:"3.5.1 Tribological properties for TiN and TiCrN nitride coatings",level:"3"},{id:"sec_19_3",title:"3.5.2 Tribological properties for TiCN, BCN and CrAlN coatings nitride coatings",level:"3"},{id:"sec_20_3",title:"3.5.3 Tribological properties for Si3N4 coatings nitride coatings",level:"3"},{id:"sec_23",title:"4. Conclusions",level:"1"},{id:"sec_24",title:"Acknowledgments",level:"1"}],chapterReferences:[{id:"B1",body:'Grigoriev S, Vereschaka A, Milovich F, Tabakov V, Sitnikov N, Andreev N, et al. Investigation of multicomponent nanolayer coatings based on nitrides of Cr, Mo, Zr, Nb, and Al. Surf. Coatings Technol. 2020;401:126258 https://doi.org/10.1016/j.surfcoat.2020.126258'},{id:"B2",body:'Hacisalihoglu I, Yildiz F, Alsaran A. Wear performance of different nitride-based coatings on plasma nitrided AISI M2 tool steel in dry and lubricated conditions. Wear. 2017;384-385:159-168 https://doi.org/10.1016/j.wear.2017.01.117'},{id:"B3",body:'Chauhan KV, Rawal SK. A Review Paper on Tribological and Mechanical Properties of Ternary Nitride based Coatings. Procedia Technol. 2014;14:430-437 https://doi.org/10.1016/j.protcy.2014.08.055'},{id:"B4",body:'Kumar S, Maity SR, Patnaik L. Effect of heat treatment and TiN coating on AISI O1 cold work tool steel. Mater. 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Performance evaluation of HSS cutting tool coated with hafnium and vanadium nitride multilayers, by temperature measurement and surface inspection, on machining AISI 1020 steel. Surf. Coatings Technol. 2017;332:484-493 https://doi.org/10.1016/j.surfcoat.2017.08.074'},{id:"B24",body:'Piedrahita WF, Aperador W, Caicedo JC, Prieto P. Evolution of physical properties in hafnium carbonitride thin films. J. Alloys Compd. 2017;690:485-496'},{id:"B25",body:'Ipaz L, Caicedo JC, Esteve J, Espinoza-Beltran FJ, Zambrano G. Improvement of mechanical and tribological properties in steel surfaces by using titanium-aluminum/titanium-aluminum nitride multilayered system. Appl. Surf. Sci. 2012;258:3805-3814 https://doi.org/10.1016/j.apsusc.2011.12.033'},{id:"B26",body:'Donnet C, Erdemir A. Historical developments and new trends in tribological and solid lubricant coatings. Surf. 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Deposition and characterization of CrN/Si3N4 and CrAlN/Si3N4 nanocomposite coatings prepared using reactive DC unbalanced magnetron sputtering. Surf. Coatings Technol. 2007;201:9468-9475 https://doi.org/10.1016/j.surfcoat.2007.04.002'},{id:"B31",body:'Archard JF. Contact and Rubbing of Flat Surfaces. J. Appl. Phys. 1953;24:981-988. https://doi.org/10.1063/1.1721448.'},{id:"B32",body:'Caicedo JC, Aperador W, Amaya C. Determination of physical characteristic in vanadium carbon nitride coatings on machining tools. Int. J. Adv. Manuf. Technol. 2017;91:1227-1241 https://doi.org/10.1007/s00170-016-9835-2'},{id:"B33",body:'Piedrahita WF, Aperador W, Caicedo JC, Prieto P. Evolution of physical properties in hafnium carbonitride thin films. J. Alloys Compd. 2017;690:485-496 https://doi.org/10.1016/j.jallcom.2016.08.109'}],footnotes:[],contributors:[{corresp:"yes",contributorFullName:"Christian Ortiz Ortiz",address:"christian.ortiz.ortiz@correounivalle.edu.co",affiliation:'
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Thus proteomics, an area of research that detects all protein forms expressed in an organism, including splice isoforms and post-translational modifications, is more suitable than genomics for a comprehensive understanding of the biochemical processes that govern life. The most common proteomics applications are currently in the clinical field for the identification, in a variety of biological matrices, of biomarkers for diagnosis and therapeutic intervention of disorders. From the comparison of proteomic profiles of control and disease or different physiological states, which may emerge, changes in protein expression can provide new insights into the roles played by some proteins in human pathologies. Understanding how proteins function and interact with each other is another goal of proteomics that makes this approach even more intriguing. Specialized technology and expertise are required to assess the proteome of any biological sample. Currently, proteomics relies mainly on mass spectrometry (MS) combined with electrophoretic (1 or 2-DE-MS) and/or chromatographic techniques (LC-MS/MS). MS is an excellent tool that has gained popularity in proteomics because of its ability to gather a complex body of information such as cataloging protein expression, identifying protein modification sites, and defining protein interactions. 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