MECHANICAL FAULT

DIAGNOSIS PART 2

Dr. Essam bahgat

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CHAPTER 7
MACHINERY FAULT DIAGNOSIS USING VIBRATION ANALYSIS
7.1 INTRODUCTION
Present day requirements for enhanced reliability of rotating equipment are more critical than
ever before, and the demands continue to grow constantly. Advances are constantly made in this
area, largely due to the consistent demand from the hydrocarbon, power generation, processes
and transportation industries. Using vibration analysis, the condition of a machine can be
constantly monitored. In this chapter, further attention is given to the method of correlating
rotating machine defects to vibrations collected and displayed by the various types of analyzers.

7.2 Vibration Condition Monitoring Devices

Measurement method
There are two types of vibration measurement methods "Permanent online vibration monitoring
system" and "Portable off-line monitoring system".Either one is selected generally depending
on importance rank of equipment.
The vibration monitoring system mainly depend on two types:
 Continuous or On-line Monitoring involves permanently installed sensors.
Portable or hand held data collector.
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 A：High value machinery

（Private power generator, High pressure compressor etc.）
Mechanical failure is directly linked to stop of operation
 B：Important machinery
（Boiler, Pump,Compressor etc.）
Mechanical failure may cause a decrease of production
 C：Ordinary machinery
（Intake or exhaust fan etc.）
Mechanical failure may cause inconvenient for operation
 D：Low value machinery
(Small general purpose motor etc.）
Mechanical failure is not linked to operation and repair/replacement is much cheaper
7.2.1 Permanent condition monitoring
Online or permanent vibration condition monitoring designed on the basis of monitoring the
machines at any times. So that the sensors and transducers are permanent mounted on the
machine parts. For permanently installed systems, the transducers, cabling, and associated
signal processing and analyzing equipment are permanently installed with data collected
continuously or periodically. Typical installations are on complex machinery, critical machinery
or both such as for dynamic positioning or main propulsion. In portable measuring equipment,
machinery data are collected manually on a periodic basis on pre-selected permanently marked
or affixed locations.
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Online monitoring allows to customers with shortcomings in skills or available personnel to

properly monitor your equipment efficiently and accurately without require fully trained skill
personnel to use.

7.2.2 Portable vibration data collector

The portable approach is commonly used for equipment with longer PF intervals" The time, or
cycles, from when a "Potential Failure" ("P") is first detected on an asset, or component, until the
asset or component has reached "Functional Failure" ("F")." and permanently installed systems
used for equipment with shorter PF intervals.
Portable. There are many types of handheld vibrometrs or data collector as shown in figure
(7.1).
With portable measuring systems, some of types the collected data are transferred to other
hardware (i.e., PC) for analysis and data storage, and in some cases distribution to a shore side
database.
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Fig.7:1 Different types of vibrometrs and datacollectors used in vibration monitoring

1. Need for facility diagnosis

When machinery deteriorates

When machinery breaks down …

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2. Merits of vibration measurement

Predictive maintenance is widely applied using various instruments. Vibration measurement is
by far the most popular method.
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Where can we use vibrometers?

Vibrometers are used in various fields. Vibration may influence the durability and reliability of
the machinery systems of structures. Taking accurate vibration measurements before machinery
breaks down, infrastructure is brought to a halt and disaster occur is vital in order to prevent
secondary accidents.
Applications

7.3 MACHINERY VIBRATION PROBLEMS

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Some of the machinery defects detected using vibration analysis are listed below:
 Unbalance
 Bent shaft
 Eccentricity
 Misalignment
 Looseness
 Belt drive problems
 Gear defects
 Bearing defects
 Oil whip/whirl
 Electrical faults
 Cavitation
 Shaft cracks
 Rotor rubs
 Resonance
 Hydraulic and aerodynamic forces.
We will now look at each one of the above cases in detail and see how they manifest in
vibration analysis.
7.3.1 Unbalance
Vibration due to unbalance of a rotor is probably the most common machinery defect. It is
luckily also very easy to detect and rectify. The International Standards Organization (ISO)
define unbalance as:
That condition, which exists in a rotor when vibratory, force or motion is imparted to its
bearings as a result of centrifugal forces. It may also be defined as: The uneven distribution of
mass about a rotor’s rotating centerline. There are two new
terminologies used: one is rotating centerline and the other is
geometric centerline. The rotating centerline is defined as the axis
about which the rotor would rotate if not constrained by its bearings
(also called the principle inertia axis or PIA).The geometric centerline
(GCL) is the physical centerline of the rotor. When the two
centerlines are coincident, then the rotor will be in a state of
balance. When they are apart, the rotor will be unbalanced. There are three types of unbalance
that can be encountered on machines, and these are:
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1. Static unbalance (PIA and GCL are parallel)

2. Couple unbalance (PIA and GCL intersect in the center)
3. Dynamic unbalance (PIA and GCL do not touch or coincide).
Static unbalance
For all types of unbalance, the FFT spectrum will show a predominant 1. rpm frequency of
vibration. Vibration amplitude at the 1. rpm frequency will vary proportional to the square of
the rotational speed. It is always present and normally dominates the vibration spectrum (Figure
7.2).

Fig.7: 2 FFT analysis – unbalance defect in radial position

Correction method
 Balance weight in one plane at rotor center of gravity (CG).
Couple unbalance
In a couple unbalance (Figure 7.3) the FFT spectrum again displays a single 1rpm frequency
peak. The amplitude at the 1varies proportional to the square of speed. This defect may cause
high axial and radial vibrations. Couple unbalance tends to be 180° out of phase on the same
shaft. Note that almost a 180° phase difference exists between two bearings in the horizontal
plane. The same is observed in the vertical plane.

Fig.7:3 Phase relationship – couple unbalance

Correction methods
Balance requires correction in two planes at 180°.
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Dynamic unbalance
Is the most common type of unbalance and is essentially a combination of static and couple
unbalances. It occurs when the principal axis of inertia and the axis of rotation are skew lines.
This unbalance can be understood as two different masses mn1 and mn2, placed arbitrary on the
rotor .Two centrifugal forces D1 and D2 arise due to these masses during rotation see figure
(7.4).

Fig.7: 4 Dynamic balance illustration

Correction method
Their effect can be compensated by two weights that are added or removed in two trim planes.
Unbalance – Overhung Rotors
The axial phase on the two bearings will seem to be in phase whereas the radial phase tends to be
unsteady. A special case of dynamic unbalance can be found in overhung rotors see figure (7.5).
Dynamic unbalance in overhung rotors causes high 1X levels in radial and axial direction due to
bending of the shaft. The axial bearing signals in phase may confirm this unbalance.

Fig.7:5 Overhung rotor unbalance

Unbalance location
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At the radial or vertical position on bearings. For pumps, disks and fans check the bearing
which just before the unbalance position as shown in figure (7.6)

Fig.7: 6 Unbalance measurment position

In industry, unbalance can be due to poor manufacturing; for example, in large discs, the
presence of casting defects can lead to an uneven distribution of the rotating mass and lead to
unbalance. Many times, in chemical processing plants, the chemical slurry gets stuck to the
rotating agitator, stirrer, or fan, and if neglected, leads to unbalance and to shearing of the fan
blades or damage of the bearings.

Fundamentals of Balancing
Data Collection and Processing
 The vibration sensor is installed on the engine
as near the front bearing as possible. The
Phototach is mounted on the cowling, behind
the propeller. The reflective tape is applied to
the back side of the target propeller blade in
line with the Phototach beam.
 The mass is located by the relative occurrence
of tach trigger and mass passage at the radial
sensor location.
 As the heavy spot on the propeller passes the
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location of the vibration sensor, the sensor generates and sends an electrical pulse to the
analyzer.
 The Reflective tape triggers a response as it passes the Phototach, which then sends an
electrical signal to the analyzer.
 In this illustration, the vibration sensor and Phototach beam are co-located at the 12:00
or 0 degree position. Rotation is clock-wise from the viewers position. This is our
starting point, elapsed time = 0, #[1]
 The speed is 1 RPM. Fifteen seconds (90 degrees) of travel has occurred. In this
sequence, the reflective tape has just entered the Phototach beam to trigger the tach
event. Elapsed time = 15 seconds, # [2]
 In this sequence, the mass (heavy spot) is passing the accelerometer position, 15 seconds
(90 degrees) after the tape passed the Phototach beam. Elapsed time = 15 seconds (90
degrees of travel, # [3].
 The tape and mass have both passed the 0 degree location. The unit now waits for the
exact sequence to repeat for averaging, #[4].
 Solution would be to add weight at 270 degrees.

1 2 3 4
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A safe speed can be chosen below the actual running speed, all the way down to about 500
RPM. Unbalance forces are not linear with speed; they are proportional to the square of the
running speed. Hence, an unbalanced rotor at one speed will have four times the unbalance
force when the speed is doubled! Keep this factor in mind for safety.

After making the initial run and deciding to perform a balancing correction, the next step is
to place a known trial (calibration) weight on the rotor at a known location and make
another set of amplitude and phase readings. This step is used to determine the rotor
characteristics, locate the heavy spot and calculate the corrective weight to minimize the
original unbalance force. This weight location will always be 180 degrees opposite of the
heavy spot on the rotor. It is important to note here that we are typically dealing with
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displacement as our measurement of vibration. We are not measuring the heavy spot, but we
are seeing the high spot. However, for a rigid rotor running at 70% below critical, the high
spot and the heavy spot are one and the same.
It is also important to note that we will see linearity in our placement of weight with a rigid
rotor. As we place a weight at a known angle location, we will see a linear corresponding
change in phase reading in the opposite direction. For example, if displacement phase is
reading 165 degrees with a weight placement at 135 degrees, then moving that same weight
to 180 degrees will result in a new phase reading at 120.
The trial weight (or calibration) step is where we determine the so-called "influence
coefficients" of the rotor. The next step is to make some correction callouts. There are five
critical parameters here that must be adhered to for effective field balancing:
The exact same speed must be used on each run.
The same radius must be used each time.
Direction of placement must be consistent (against rotation-AR or with rotation-WR).
Magnitude of readings must be stable within 5%.
Phase readings must be stable within three to five degrees.
If any of these conditions show variation, then the system is not linear or there are outside
influences, and any attempts to balance will be futile. Sometimes, this will appear to be a
"chasing your tail" exercise, where things just don't seem to make any sense!
Once a correction is made, then the resulting vibration reading must be compared to an
acceptable standard for the class of machine. It could be that the exact weight or position
could not be met, so a trim run might be necessary. Each subsequent run should get to a
convergence, i.e., where weight callouts are getting smaller and smaller and vibration levels
are decreasing as well. If excessive weights are being called out and unbalance is getting
worse with each run - the so-called "chasing your tail" scenario - it is time to stop and look
for other machine conditions that are not associated with unbalance. Oftentimes, major
outside influences like looseness, resonance and misalignment can impede the process.
So far, we have been dealing with a simple single-plane balance. Performing a procedure
like this in two planes becomes an iterative process in determining the influence
coefficients. It involves a couple of extra steps. First, we perform an initial run with two
simultaneous unbalance readings - one in each plane. Next, we place a known trial weight at
a known location in one plane and read its influence on the two planes. We remove that
weight and place it (or a similar weight) at a known position in the second plane and read its
influence on the two planes. At this point, we are done with calibrating and determining
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influence coefficients. The next steps follow recommended correction and trim weights in
the two planes with weight callouts and locations. The same five rules stated earlier apply to
step-by-step consistency and the stability of readings.
There are truly some elements of art and science involved in performing successful field
balancing work. While microprocessor-based instruments with built-in software perform the
required vector mathematics and geometry calculations, it really helps with the process to
have a basic understanding of the tools and techniques involved. It also helps to benefit
from others' field experiences in performing some tricks in arriving at an acceptable solution
in a reasonable amount of time and number of trials.

Fundamental requirements for field balancing include three key elements: linear response in
the system, accurate/repeatable test measurements and consistent weight placement. These
might sound like simple assumptions, but any variations on these can produce significant
problems in getting to an acceptable residual unbalance level on a machine component.
7.3.2 Bent shaft
A bent shaft and bowed rotor are actually the same phenomena. The bent shaft is measurable
outside the machine housing while the bowed rotor is the same condition inside. These defects
sometimes develop on a motor that has been allowed to sit stationary for a long time. When
sitting stationary, the weight of the rotor causes the shaft to deflect. After a period of time
(about 6 months), the deflection takes a permanent set. When running, the vibration spectrum
appears identical to imbalance, and in fact it is an imbalance condition. If a perfectly balanced
rotor (such as a fan impeller) is attached to a bent shaft, it will run out of balance. It can be
balanced back to a smooth-running condition. But then this rotor and this shaft are matched.
Any other rotor on this shaft (even a new, well-balanced one) will run out of balance.
When a bent shaft is encountered, the vibrations in the radial as well as in the axial direction
will be high. Axial vibrations may be higher than the radial vibrations. The FFT will normally
have 1and 2components. If the:
 Amplitude of 1rpm is dominant then the bend is near the shaft center Figure(7.7).
 Amplitude of 2rpm is dominant then the bend is near the shaft end.

Axial vibration
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7.3.3 Eccentric rotor

Eccentricity occurs when the center of rotation is at an offset from the geometric centerline of a
sheave, gear, bearing, motor armature or any other rotor. The maximum amplitude occurs at
1rpm of the eccentric component in a direction through the centers of the two rotors. The
amplitude varies with the load even at constant speeds Figure (7.8).

Fig.7: 7 Bent shaft schematic diagram with an FFT of a bent shaft with bend near the shaft center

Fig.7: 8 FFT spectrum for Eccentricity effect

7.3.4 Misalignment
Misalignment, just like unbalance, is a major cause of machinery vibration. Some machines
have been incorporated with self-aligning bearings and flexible couplings that can take quite a
bit of misalignment. However, despite these, it is not uncommon to come across high vibrations
due to misalignment. There are basically two types of misalignment (see figure (7.9)):
1. Angular misalignment: the shaft centerline of the two shafts meets at angle with each other.
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2. Parallel misalignment: the shaft centerline of the two machines is parallel to each other and
have an offset.
3. Combination of parallel and angular misalignments: the shaft center line of the two machines
have the two previous type's parallel and angular misalignment.

Fig.7:9 Shaft misalignment: (a) parallel, (b) angular and (c) combined.

Parallel misalignment
Parallel misalignment results in 2 hits per cycle and therefore a 2rpm vibration in the radial
direction. Parallel misalignment has similar vibration symptoms compared to angular
misalignment, but shows high radial vibration that approaches a 180° phase difference across
the coupling. Thus, we will see both the 1and 2peaks. When the parallel misalignment is
predominant, 2is often larger than 1, but its amplitude relative to 1may often be dictated by
the coupling type and its construction. Coupling construction will often significantly influence
the shape of the spectrum if misalignment is severe (see Figure (7.10)).
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Fig.7: 10 FFT of parallel misalignment

Angular misalignment
As shown in Figure (7.11), angular misalignment primarily subjects the driver and driven
machine shafts to axial vibrations at the 1rpm frequency. The figure is an exaggerated and
simplistic single-pin representation, but a pure angular misalignment on a machine is rare. Thus,
misalignment is rarely seen just as 1rpm peak. Typically, there will be high axial vibration
with both 1and 2rpm. However, it is not unusual for 1, 2or 3to dominate.

Axial

Fig.7:11 FFT of angular misalignment

What is shaft alignment?
For the vast majority of close coupled rotating machines this catenary bow is negligible, and
therefore for practical purposes can be ignored. On long drive machine trains, e.g. turbine
generators in power generation plants or machines with long spacer shafts e.g. cooling tower
fans or gas turbines, the catenary curve must be taken into consideration.
Operation above critical speed
When a very long, flexible shaft begins to rotate, the bow of the shaft tries to straighten out, but
will never become a perfectly straight line. It is important to understand that the axis of rotation
of a shaft could very possibly run on a curved axis of rotation. In situations where two or more
pieces of machinery are coupled together with one or more shaft rotating around a catenary
shaped axis of rotation, it is important to align the shafts so that they maintain the curved
center-line of rotation.
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Alignment Techniques
There are many methods to align a machine. The appropriate method is selected based on the
type of machine, rotational speed, the machine’s importance in production, and the maintenance
policy and alignment tolerances. Figure (7.12) show the most common techniques used in
machines alignment, laser beam and dial indicator gage methods.

Fig.7:12 Shaft alignment techniques

Alignment parameters
Since shaft alignment needs to be measured and
subsequently corrected, a method of quantifying and
describing alignment condition is necessary.

Dial indicator gage

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Traditionally alignment has been described in terms of dial indicator readings at the coupling
face or position values at the machine feet. The measured values from both of these methods are
dependent upon the dimensions of the machines. Since there are many different methods for
mounting dial indicators (reverse indicator, rim and face, double rim for example) the
comparison of measurements and the application of tolerances can be problematic.

Alignment methods – Dial indicators

The use of dial indicators for the vast majority
of shaft alignment tasks where a flexible
coupling element is used represents a
substantial step forward in accurate shaft
alignment methods. There are a number of
dial set ups that can be used to effect the
alignment of machines.

Indicator bracket sag: This should always be measured before actual

alignment readings are taken – no matter how solid the bracket
appears. See section on measuring sag.

Internal friction / hysteresis: Sometimes the gauge has to be tapped in

order for the indicator needle to settle on its final value.

Reading errors: Simple errors occur when dials are read under difficult
conditions and sever time constraints.

Play in mechanical linkage: slight amounts of play may go unnoticed

but will produce large reading errors.

Tilted dial indicators: The gauge may not be mounted perpendicular to

the measurement surface so that part of the displacement reading is
lost.
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Rim and Face Method – By trial and error.

The interpretation of shaft alignment readings using dial indicators, taking factors such as
bracket sag into consideration requires an elementary understanding of math's and geometry. In
some cases these skills are limited and a rough trial and error procedure is used where bracket
sag and shaft float are ignored. Additionally only one shaft is rotated during the measurement
adding errors to the alignment caused by coupling runout and shaft bending.

Reverse indicator method – By calculation

The reverse indicator method of alignment is the most advanced dial indicator alignment
method, as such it is recommended by the American Petroleum Institute (API 686) as the
preferred dial indicator alignment Method Reverse indicator alignment takes its name from the
positions of the indicators opposing one another on the opposite coupling halves. A traditional
indicator set up is shown above. Once mounted, the two shafts are rotated together and the dials
are read at 12:00, 3:00, 6:00 and 9:00.
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Laser shaft alignment

Essentially there are two types of laser system one that uses a single beam projected onto either
a detector or on to a reflector that returns the beam to the laser detector, the other type of system
uses two lasers each with inbuilt detectors. Measurement extend capability – only one laser
datum means that it is possible to dynamically extend the detector range of the system to
incorporate gross misalignment – see later explanation. Split alignment capability – one laser
allows alignment of machines that have no spacer or coupling in place, each machine can be
rotated independently. This is particularly useful when large spacer couplings or fluid couplings
are used, when aligning large machines such as turbines or when one or both machines cannot
easily be rotated.

Laser shaft alignment improves pump reliability.

 The program, now well established, has returned substantial dividends. Plant reliability
has improved to more than 46 months MTBF and routine pump repairs have been
drastically reduced.
 Calculated savings are now in excess of £80,000 per annum, and since the beginning of
the program in 1996 is in the order of £450,000!
 Laser shaft alignment improves bearing and seal life.
 Laser shaft alignment reduces vibration alarms.
Misalignment vs bent shaft
Often, a bent shaft and dominant angular misalignment give similar FFT spectrums. The
vibrations are visible in both the axial and radial vibration measurements. It is only with phase
analysis that these problems can be resolved further. In a machine with a bent shaft, a phase
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difference will be noticed on the two bearings of the same shaft. In the case of misalignment,
the phase difference is visible on bearings across the coupling.
7.3.5 Looseness
Mechanical looseness or the improper clearance between component parts, is generally
characterized by a long string of harmonics of running frequency with abnormally high
amplitudes. In some machines vibration levels may be excessive as a consequence of
components being assembled too loosely, for example in the case of a bearing, which is not
properly secured. Mechanical looseness can be classified for three categories:
1) Internal assembly looseness.
2) Looseness at machine to base plate interface.
3) Structure looseness.
Internal assembly looseness
This category of looseness could be between a bearing liner in its cap, a sleeve or rolling
element bearing, or an impeller on a shaft. It is normally caused by an improper fit between
component parts, which will produce many harmonics in the FFT due to the nonlinear response
of the loose parts to the exciting forces from the rotor. A truncation of the time waveform
occurs, causing harmonics. The phase is often unstable and can vary broadly from one
measurement to the next, particularly if the rotor alters its position on the shaft from one start-
up to the next.
Mechanical looseness is often highly directional and may cause noticeably different readings
when they are taken at 30° increments in the radial direction all around the bearing housing.
Also note that looseness will often cause sub-harmonic multiples at exactly ½. or ⅓. rpm (e.g.
½., 1½., 2½. and further) as shown Figures (7.13 ).

Fig.7:13 FFT spectrum for loose internal assembly graph

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Looseness between machine to base plate

This problem is associated with loose pillow-block bolts, cracks in the frame structure or the
bearing pedestal. Figures (7.14) make it evident how higher harmonics are generated due to the
rocking motion of the pillow block with loose bolts.

Fig.7:14 Mechanical looseness ilutration with FFT spectrum

Structure looseness
This type of looseness is caused by structural looseness or weaknesses in the machine’s feet,
baseplate or foundation. It can also be caused by deteriorated grouting, loose hold down bolts at
the base and distortion of the frame or base (known as ‘soft foot’) as it will be discuss in the
next session. Phase analysis may reveal approximately 180° phase shift between vertical
measurements on the machine’s foot, baseplate and base itself (Figure 7.15). When the soft foot
condition is suspected, an easy test to confirm for it is to loosen each bolt, one at a time, and see
if this brings about significant changes in the vibration. In this case, it might be necessary to re-
machine the base or install shims to eliminate the distortion when the mounting bolts are
tightened again.

Fig.7: 15 Structure looseness graph with FFT spectrum

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7.3.6 Soft Foot

Soft foot is one of the most prevalent conditions found in rotating machinery. This condition, if
not corrected, makes an alignment job much more difficult and sometimes impossible. Soft foot
can cause high levels of vibration. Soft foot can be seen as looseness and exhibit a high 1 times
vibration signature. In later stages, if left uncorrected, it may show as mechanical looseness as
damage is done internally to the machine. Vibration can cause loosening of feet bolts and shims
can work their way out from under the feet.
Types of Soft Foot:
Parallel Soft Foot – Parallel soft foot or ( short foot) exists when the foot simply does not
reach the base and creates a gap between the foot and base. The bottom of the foot is parallel to
the base plate. Tightening the hold-down bolts will result in a distortion of the machine’s frame
as the soft foot is drawn down to the base. This condition is easiest to detect using either a feeler
gauge or dial indicator.
Angular Soft Foot – Angular soft foot can occur when the foot is touching the base on either
the outside or inside portion of the foot, but the other side of the foot is bent away creating an
angle between the base and the bottom of the foot. In both cases, tightening the hold-down bolts
will result in a distortion of the machine’s frame as the foot is drawn down to the base.
Squishy Foot – Squishy foot, sometimes called spring foot, exists when the gap between the
foot and base has already been filled with shims. The machine will appear to be fixed of soft
foot problems until the hold-down bolts are tightened. Tightening the hold-down bolts can
compress shims that are creased, bent, or otherwise damaged. This condition can distort the
machine’s frame as the foot is drawn down to the base.
Stress-Induced Soft Foot – Perhaps the most difficult soft foot condition to detect is caused by
forces that are external to the machine. This is referred to as stress-induced soft foot. It can be
the result of pipe strain or stresses induced by the electrical connections as well as drastic
misalignment. Stress-induced forces can be created during any stage of the alignment process;
therefore, eliminating this kind of soft foot may require more than one check. Figure (7.16)
illustrates the shape of each type.
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Fig.7: 16 Soft Foot types

Correction for soft foot fault

Tightening Hold Down Bolts:
You will loosen and re-tighten the bolts several times during the alignment process.
Bolts should always be tightened in a known sequence so that vertical positions are repeated as
you re-tighten the bolts as shown in figure (7.17).

Fig.7: 17 Tightening arrangement during alignment process.

Detect soft foot with vibration analysis

Vibration data can reveal signs of many machinery health problems, among them soft foot.
How do you determine if soft foot is the culprit? A machine is determined to have a soft foot if
the calculated value of movement of a machine foot when tightened or loosened is at least 0.002
to 0.003 inches while the remaining feet are bolted tight. This condition often (but not always)
causes an increase in overall machine vibration. Figure (7.18-A), before the loosening sequence,
All four feet are tightened; the 1X amplitude is 0.127 inches/second. Radial measurements were
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taken in the vertical direction. Figure (7.18-B). After the loosening sequence, one of the four
feet was loose; the 1X amplitude is now 0.048 inches/second.

Fig.7: 18 Soft foot FFT spectrum analysis

7.3.7 Belt drive defects

Worn, loose and mismatched belts are considered the main problem in the rotating machines.
Belt defect frequencies are of the sub-harmonic type. Belt-drive problems, which include shaft
misalignment, pulley misalignment, belt wear, belt resonance, belts too tight, belts too loose,
pulley eccentricity and bent shafts, can be relatively straight forward to detect but can be far
more difficult to specifically diagnose and correct. That is mainly due to the wide variety of
problems that can occur in the installation and assembling of the belt drive, the difficulty of
doing field testing on belts and the possibility of other influences (i.e. the base) having some
effect. With timing belt drives, it is useful to know that high amplitudes at the timing belt
frequency indicate wear or pulley misalignment. The belt frequency (Figure 7.19) is given by
the formula:

Belt frequency

Belt transmission a common drive system in industry consisting of see figure (7.20):
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Fig.7: 19 Belt frequency with Sub-harmonic belt frequencies

1. Driver Pulley
2. Driven Pulley
3. Belt

Fig.7: 20 Schematic diagram for belt system with measuring points

The dynamic relation is: Ø1 ω1 = Ø2 ω2

Belt frequency:

fB =
where, L: belt length
Pulley Misalignment
The different types of misalignment possible with belt drives are shown in Figure (7.21 -
a).These conditions not only result in destructive vibration but also cause accelerated wear of
both the belt and the sheaves. Misalignment of sheaves produces high vibration at 1rpm,
predominantly in the axial direction (Figure 7.21-b). The ratio of amplitudes of driver to driven
rpm depends on the measurement position, relative mass and the frame stiffness. With sheave
misalignment in fans, the highest axial vibration will be at the fan rpm. When the belt drives an
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overhung rotor, which is in an unbalanced condition, it will have to be resolved with phase
analysis.

b a

Fig.7: 21 (a)Belt drive Misalignment types, (b) Vibration due to sheave misalignment.

Belt wear:
Worn sheaves or belts may also increase vibration at certain rotational frequencies; however,
belt wear is more often indicated by increased slippage and drive wear. Belt defects appear in
the vibration signature as subsynchronous peaks, often with harmonics. Figure (7.22) shows a
typical spectral plot (i.e., vibration profile) for a defective belt.

Fig.7: 22 Typical spectral plot (i.e., vibration profile) of a defective belt.

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Fig.7: 23 Belt wear rate with harmonics

Belts and/or pulleys will show excessive wear patterns, cracking, etc. if wear is the problem as
shown in figure (7.23). If a belt is worn or loose you will witness a peak at the belt rate, and
harmonics. The highest amplitude peak in the series will often be the twice the belt rate
frequency. The key forcing frequency is known as the "belt rate" or "fundamental belt pass
frequency". It is the rate at which a point on the belt passes a fixed reference point. It is always
less that the speed of either sheave.
Eccentric Pulleys
Eccentric or unbalanced sheaves cause maximum vibration at 1rpm of the sheave, causing
problems in line with the sheaves. To resolve this condition, it may sometimes be possible to
balance eccentric sheaves by attaching washers to taperlock bolts. However, even if balanced,
the eccentricity will still induce vibration and cause fatigue stresses in the belt (Figure 7.24).

Fig.7: 24 FFT spectrum Belt drives – eccentric sheaves

 Ch 7

Belt Resonance
Resonance in the belt can cause high amplitudes if the belt's natural frequency should happen to
coincide with either the driving or driven sheave RPM. The natural frequency can be altered by
either changing the length or tension of the belt.
Spectrum: If the belt’s natural frequency coincides with the RPM of either driven component
then you expect that the 1X peak to increase in amplitude as shown in figure (7.25). The base
of the peak may be more broad than normal.

Radial Vibration

Fig.7: 25 Belt drives – resonance

7.3.8 Gear defects

All gear sets create a frequency component referred to as gear mesh. The fundamental gear-
mesh frequency is equal to the number of gear teeth times the running speed of the shaft. In
addition, all gear sets create a series of sidebands or modulations that are visible on both sides
of the primary gear-mesh frequency.
Normal Profile
In a normal gear set, each of the sidebands is spaced by exactly the 1x running speed of the
input shaft, and the entire gear mesh is symmetrical as seen in Figure 7–26. In addition, the
sidebands always occur in pairs, one below and one above the gear mesh frequency and the
amplitude of each pair is identical. If we split the gear-mesh profile for a normal gear by
drawing a vertical line through the actual mesh (i.e., number of teeth times the input shaft
speed), the two halves would be identical. Therefore, any deviation from a symmetrical profile
indicates a gear problem; however, care must be exercised to ensure that the problem is internal
to the gears and not induced by outside influences. External misalignment, abnormal induced
loads, and a variety of other outside influences destroy the symmetry of a gear-mesh profile.
 Ch 7

For example, a single-reduction gearbox used to transmit power to a mold-oscillator system on

a continuous caster drives two eccentric cams. The eccentric rotation of these two cams is
transmitted directly into the gearbox, creating the appearance of eccentric meshing of the gears;
however, this abnormal induced load actually destroys the spacing and amplitude of the gear-
mesh profile.
A gearbox is a piece of rotating equipment that can cause the normal low-frequency harmonics
in the vibration spectrum, but also show a lot of activity in the high frequency region due to
gear teeth and bearing impacts. The spectrum of any gearbox shows the 1and 2rpm, along
with the gear mesh frequency (GMF). The GMF is calculated by the product of the number of
teeth of a pinion or a gear, and its respective running speed:
Gear mesh frequency (GMF) = Number of teeth x Shaft speed
Output speed = Input speed x Input teeth/Output teeth
The GMF will have running speed sidebands relative to the shaft speed to which the gear is
attached. Gearbox spectrums contain a range of frequencies due to the different GMFs and their
harmonics. All peaks have low amplitudes and no natural gear frequencies are excited if the
gearbox is still in a good condition. Sidebands around the GMF and its harmonics are quite
common.

Fig.7: 26 Sidebands are paired and equal.

 Ch 7

These contain information about gearbox faults (Figure 7.27). Cepstrum analysis is an excellent
tool for analyzing the power in each sideband family. The use of cepstrum analysis in conjunction
with order analysis and time domain averaging can eliminate the ‘smearing’ of the many
frequency components due to small speed variations (Figure 7.28).

Fig.7: 27 Graph of a gear-meshing and FFT spectrum

Fig.7: 28 FFT spectrum from a noisy gearbox with pinion having 28 teeth and rotating at 3300 rpm
 Ch 7

Defective Gear Profiles

If the gear set develops problems, the amplitude of the gear-mesh frequency increases and the
symmetry of the sidebands changes. The pattern illustrated in Figure 7–29 is typical of a
defective gear set, where overall energy is the broadband, or total, energy. Note the
asymmetrical relationship of the sidebands

Fig.7: 29 Typical defective gear-mesh signature.

Gear tooth wear

Excessive Wear. Figure 7–30 is the vibration profile of a worn gear set. Note that the spacing
between the sidebands is erratic and is no longer evenly spaced by the input shaft speed
frequency. The sidebands for a worn gear set tend to occur between the input and output speeds
and are not evenly spaced.

Fig.7: 30 Wear or excessive clearance changes the sideband spacing.

 Ch 7

An important characteristic of gear tooth wear is that gear natural frequencies are excited with
sidebands around them. These are spaced with the running speed of the bad gear. The GMF
may or may not change in amplitude, although high-amplitude sidebands surrounding the GMF
usually occur when wear is present. Sidebands are a better wear indicator than the GMF itself
(Figure 7.31).

Fig.7: 31 FFT spectrum analysis for gear tooth wear

Gear tooth load

As the load on a gearbox increases, the GMF amplitude may also increase. High GMF
amplitudes do not necessarily indicate a problem, particularly if sideband frequencies remain
low and no gear natural frequencies are excited as shown in (Figure 7.32). It is advised that
vibration analysis on a gearbox be conducted when the gearbox is transmitting maximum
power.

Fig.7: 32 FFT Spectrum for Gear tooth load

 Ch 7

Eccentric gears and backlash

If a gear is eccentric (or the shaft is bent), there will be an increase in the amplitude of the
sidebands around the gear mesh frequency. The key is that rather than witnessing a family of
sidebands, there may only be one dominant sideband on either side of the gear mesh peak. In
addition, it is not uncommon to see an increase in the 1xGM and 3xGM peaks see figure (7.33).
Eccentricity can result in backlash, therefore you may also witness a peak at the natural
frequency of the gear. This peaks (whose frequency is unknown) will also have 1X sidebands.

Fig.7: 33 FFT spectrum for Eccentric gears and backlash

Misaligned gears
Gear misalignment always excites second order or higher GMF harmonics, which will have
sidebands spaced with the running speed. It will often show only small amplitudes at 1GMF,
but much higher levels at 2or 3GMF. It is important to set the F-max of the FFT spectrum to
more than 3GMF (Figure 7.34).

Fig.7: 34 FFT spectrum for Gear misalignment

 Ch 7

Cracked or Broken Teeth

Cracked or Broken Teeth. Figure (7-35) illustrates the profile of a gear set with a broken tooth.
As the gear rotates, the space left by the chipped or broken tooth increases the mechanical
clearance between the pinion and bull gear. The result is a low-amplitude sideband to the left of
the actual gear-mesh frequency. When the next (i.e., undamaged) teeth mesh, the added
clearance results in a higher-energy impact.
The sideband to the right of the mesh frequency has much higher amplitude. As a result, the
paired sidebands have nonsymmetrical amplitude, which is caused by the disproportional
clearance and impact energy.

Fig.7: 35 A broken tooth will produce an asymmetrical sideband profile

A cracked or broken gear tooth will generate high amplitude at 1rpm of this gear, plus it will
excite the gear natural frequency with sidebands spaced with its running speed. It is best
detected in the time domain, which will show a pronounced spike every time the problematic
tooth tries to mesh with teeth on the mating gear. The time between impacts will correspond to
1/speed of the gear with the broken tooth. The amplitude the impact spike in the time waveform
will often be much higher than that of the 1gear rpm in the FFT spectrum (Figure 7.36).

Fig.7: 36 FFT spectrum for cracked or broken Gears

 Ch 7

Hunting tooth frequency

Is the rate at which a tooth in one gear mates with a particular tooth in the other gear, if the gear
ratio is an integer such a 1, 2 or 3, the hunting tooth frequency will be the RPM of the larger
gear, and the same teeth will be in contact once per revolution see figure (7.37). This will cause
uneven wear on the gears - a small defect in one tooth will repeatedly contact the same teeth in
the other gear causing localized wear on those teeth. In practice, the hunting tooth frequency is
used to detect faults on both the gear and pinion that may have occurred during manufacturing
or as a result of mishandling. It is
typically a low frequency, and
you can hear a "growling" sound
from the gearbox.

Load Changes Fig.7: 37 Hunting tooth frequncy

The energy and vibration profiles of gear set change with load. When the gear is fully loaded,
the profiles exhibit the amplitudes discussed previously. When the gear is unloaded, the same
profiles are present, but the amplitude increases dramatically. The reason for this change is
gear-tooth roughness. In normal practice, the backside of the gear tooth is not finished to the
same smoothness as the power, or drive, side. Therefore, more looseness is present on the non-
power, or back, side of the gear. Figure (7–38)
illustrates the relative change between a loaded and unloaded gear profile.

Fig.7: 38 Unloaded gear has much higher vibration levels.

 Ch 7

Modulations
Modulations are frequency components that appear in a vibration signature but cannot be
attributed to any specific physical cause or forcing function. Although these frequencies are
“ghosts” or artificial frequencies, they can result in significant damage to a machine-train. The
presence of ghosts in a vibration signature often leads to misinterpretation of the data. Ghosts
are caused when two or more frequency components couple, or merge, to form another discrete
frequency component in the vibration signature. This generally occurs with multiple-speed
machines or a group of single-speed machines. Note that the presence of modulation, or ghost
peaks, is not an absolute indication of a problem within the machine-train.
Couple effects may simply increase the amplitude of the fundamental running speed and do
little damage to the machine-train; however, this increased amplitude will amplify any defects
within the machine-train. Coupling can have an additive effect on the modulation frequencies,
as well as being reflected as a differential or multiplicative effect. These concepts are discussed
in the sections to follow. Take as an example the case of a 10-tooth pinion gear turning at 10
rpm while driving a 20-tooth bull gear with an output speed of 5 rpm. This gear set generates
real frequencies at 5, 10, and 100 rpm (i.e., 10 teeth x 10 rpm). This same set can also generate
a series of frequencies (i.e., sum and product modulations) at 15 rpm (i.e.,10 rpm + 5 rpm) and
150 rpm (i.e., 15 rpm x 10 teeth). In this example, the 10-rpm input speed coupled with the 5-
rpm output speed to create ghost frequencies driven by this artificial fundamental speed (15
rpm).
Sum
This type of modulation, which is described in the previous example, generates a series of
frequencies that include the fundamental shaft speeds, both input and output, and fundamental
gear-mesh profile. The only difference between the real frequencies and the ghost is their
location on the frequency scale. Instead of being at the actual shaft speed frequency, the ghost
appears at frequencies equal to the sum of the input and output shaft speeds. Figure (7-39)
illustrates this for a speed-increaser gearbox.
Difference
In this case, the resultant ghost, or modulation, frequencies are generated by the difference
between two or more speeds (see Figure 7–40). If we use the same example as before, the
resultant ghost frequencies appear at 5 rpm (i.e., 10 rpm –5 rpm) and50 rpm (i.e., 5 rpm x 10
teeth). Note that the 5-rpm couple frequency coincides with the real output speed of 5 rpm. This
 Ch 7

results in a dramatic increase in the amplitude of one real running-speed component and the
addition of a false gear-mesh peak.
Product
With product modulation, the two speeds couple in a multiplicative manner to create a set of
artificial frequency components (see Figure 7–41). In the previous example, product
modulations occur at 50 rpm (i.e., 10 rpm x 5 rpm) and 500 rpm (i.e., 50rpm x 10 teeth).
Beware that this type of coupling may often go undetected in a normal vibration analysis.
Because the ghost frequencies are relatively high compared to the expected real frequencies,
they are often outside the monitored frequency range used for data acquisition and analysis.

Fig.7: 39 Sum modulation for a speed-increaser gearbox.

Fig.7: 40 Difference modulation for a speed-increaser

gearbox.

Fig.7: 41 Product modulation for a speed-increaser gearbox.

 Ch 7

7.3.9 Bearing defects

Bearings are an important machine element that supports the rotor system. They are designed to
provide less friction at the supports and carry the loads. In machineries, the two most common
types of bearings are used—the antifriction bearing or the rolling element bearing, and the
journal bearing working on the principle of hydrodynamic lubrication. Here we will focus on
fault diagnosis in rolling element bearing see figure (7.42).
Bearing defects are one of the most common faults identified by vibration-monitoring programs
–less than 10% run for design lifetime -~40% fail due to improper lubrication and 30% due to
misalignment. Although bearings wear out and fail, defects are normally symptoms of other
problems within the machine-train or process system –make sure that real problem is identified,
not just symptom.
 Lubrication: Insufficient lubrication.
 Wear/cracks/spalls: Damage on the inner or outer race and damage on the rolling
elements. Damaged cages are harder to detect with vibration analysis.
 Cocked bearing: Inner race not true on shaft or outer race not true in housing.
 Excessive clearance: Due to excessive wear or poor bearing selection.
 Skidding: Rolling elements skidding over inner race when out of the load zone.
 Loose on shaft: Inner race sliding on shaft.
 Loose in housing: Outer race turning in housing.

Fig.7: 42 Geometry of a rolling element bearing (a) front view, (b) side view.
 Ch 7

Bearing wear defect

Bearing element wear caused by:
 Lifetime exceeded
 Bearing overload
 Incorrect assembly
 Manufacturing error
 Insufficient lubrication

Fig.7: 43 Wear location with FFT spectrum analysis

The vibration spectrum has a higher noise level and bearing characteristic frequencies can be
identified. Increased level of shock pulses.
Four rotational frequencies are associated with rolling element bearings
 Fundamental train frequency
 Ball/roller spin
 Ball-pass outer-race
 Ball-pass inner-race
Fundamental train frequency –bearing cage generates FTF as it rotates around races. Some
friction exists between rolling elements and races, even with perfect lubrication.
n ... rotational speed [Hz]
N ... number of rolling elements
Bd ... diameter of a rolling element [mm]
Pd ... pitch diameter
ϕ ... contact angle
 Ch 7

Journal bearings: Wear/Clearance

When there are clearance problems in sleeve (journal) bearings, you should observe a harmonic
series with a fundamental frequency of turning speed. The forces will generate noise which can
excite natural frequencies (resonance), therefore the noise floor may be raised. In more severe
cases, half-order and even one-third order harmonics will be present in the spectrum as shown
in figure (7.44).

Fig.7: 44 Journal bearing clearance

Outer race damage:

(Ball passing frequency, outer range BPFO) as well as harmonics clearly visible as shown in
figure (7.45)

Fig.7: 45 Ball passing frequency, outer range BPFO

 Ch 7

Inner race damage:

(Ball passing frequency, inner range BPFI) as well as numerous sidebands at intervals of 1X.

Fig.7: 46 Ball passing frequency, inner range BPFI

Rolling element damage:

(Ball spin frequency BSF) rolling elements rollover frequency BSF with harmonics as well as
sidebands in intervals of FTF see figure (7.47).

Fig.7: 47 Ball spin frequency BSF

 Ch 7

Cage damage
Fundamental train frequency FTF, Cage
rotation frequency FTF and harmonics
visible see figure (7.48).

Fig.7: 48 Fundamental train frequency FTF

Lubrication Problems:
Lubricant contamination
 Race damage
 Defective sealing
 Contaminated lubricant used
Insufficient lubrication
 Insufficient lubricant
 Underrating
Over-greasing
 Maintenance error
 Defective grease regulator
 Grease nipple blocked
 Ch 7

Incorrect mounting:
Bearing rings out of round, deformed.
 Incorrect installation
 Wrong bearing storage
 Shaft manufacturing error
 Bearing housing over torqued
Bearing forces on floating bearing.
 Incorrect installation
 Wrong housing calculation
 Manufacturing error in bearing
housing
Cocked bearing.
 Incorrect installation

Stages of Rolling Bearing Fault Development

There are a large number of fault conditions that can be associated with rolling element
bearings, including: stage one-four bearing wear, lubrication problems, cocked bearing,
fluting/EDM, skidding, and looseness, as shown in figure (7.49) there are four stages for
bearing damage.

Fig.7: 49 Bearing damage stages.

Stage one fault

 Ch 7

The earliest indications of bearing problems including poor lubrication occur in the ultrasonic
frequency range from about 250 kHz to 350 kHz. Later, when the damage begins, the frequency
drops to about 20 to 60 kHz as shown in figure (7.50). These are frequencies that require
ultrasonic measuring equipment. Traditional spectrum analysis and time waveform techniques
will not detect the fault. High frequency techniques such as ultrasound may detect the
lubrication problem, and techniques such as Enveloping, Demodulation, PeakVue, Shock Pulse
and Spike Energy may detect the fault in Stage One

Fig.7: 50 Stage –one very low amplitude, very high frequency vibration.

Stage two fault

As the bearing fault develops, techniques such as enveloping and demodulation will be more
successful than when the fault was in Stage One, however it is unlikely that a linear velocity
spectrum will indicate that the fault exists. Small defects in the bearing begin to "ring" – they
excite the natural frequencies of the bearing components, which are mainly in the range from
500 Hz to 2 kHz see figure (7.51). These may also be resonances of supporting parts of the
bearing. At the end of the 2nd stage sidebands around the resonance peaks appear. This stage
can be detected using demodulated high frequency envelope spectra.

Fig.7: 51 Stage –two Very low amplitude, high frequency vibration

Stage three fault

 Ch 7

Bearing defect frequencies and their harmonic multiples occur. As the wear increases, more and
more harmonic multiples of bearing defect frequencies occur and increase also the number of
sidebands that are both around these harmonics and around multiples of bearing defect
frequencies themselves. This stage can be determined from the vibration velocity spectra.
Stage three fault: outer race
When the bearing fault reaches stage three the damage is more severe and will be visible if the
bearing is removed. The velocity spectrum can be used to detect the fault in addition to the time
waveform (in velocity or acceleration) and high frequency techniques (demodulation,
enveloping, PeakVue™, Shock Pulse™, and Spike Energy™).If the damage is on the outer race
there (figure (7.52)), will be an impact each time the ball or roller comes into contact with the
damaged area. The amplitude should be constant, therefore no modulation (or sidebands). If the
outer race is rotating there will be 1X sidebands.

Fig.7: 52 outer race damage with FFT spectrum

Stage three fault: inner race

When the bearing fault reaches stage three the damage is more severe and will be visible if the
bearing is removed. The velocity spectrum can be used to detect the fault in addition to the time
waveform (in velocity or acceleration) and high frequency techniques (demodulation,
enveloping, PeakVue™, Shock Pulse™, and Spike Energy™).If the damage is on the inner race
there will be an impact each time the ball or roller comes into contact with the damaged area see
figure (7.53). The amplitude will be highest when the damaged area is in the load zone therefore
there will be 1X sidebands.
 Ch 7

Fig.7: 53 Inner race damage

Stage three fault: ball damage

When the bearing fault reaches stage three the damage is more severe and will be visible if the
bearing is removed. The velocity spectrum can be used to detect the fault in addition to the time
waveform (in velocity or acceleration) and high frequency techniques .If the damage is on the
balls or rollers there will be an impact each time the damaged area comes into contact with the
inner or outer race see figure (7.54). The amplitude will be highest when the damaged ball is in
the load zone therefore there will be FTF (cage) sidebands.

Fig.7: 54 Roller elemnt damage

Stage four fault
When the bearing fault reaches stage four the bearing has significant damage and should be
replaced. With time the tell-tale harmonics and sidebands may disappear. As the clearance in
the bearing increases due to wear, you will see signs of looseness (1X harmonics).High
frequency techniques become less effective as the condition worsens. Overall levels will
increase, and the velocity spectrum will show the fault clearly. Spectrum: Expect classic non-
synchronous harmonics and sidebands to disappear. Spectrum will become very noisy – the
noise floor will lift up ("haystacks” will appear in certain areas). As clearance increases, look
for 1X harmonics as shown in figure (7.55).

Fig.7: 55 Stage –four outer race fault

 Ch 7

Cocked bearing: on shaft

A cocked bearing, which is a form of misalignment, will generate considerable axial vibration.
Peaks will often be seen at 1X, 2X, as well as 3X.The bearing can be cocked on the shaft or in
the housing. If it is cocked on the shaft then it will "wobble” as it rotates generating a rotating
vibration – phase can detect this vibration. Given that there is such a strong axial vibration, it
can be confused with misalignment, and with unbalance in an overhung pump or fan. The
presence of peaks at 2X and 3X would indicate a cocked bearing condition over unbalance
however se figure (7.56). Spectrum: Look for a raised 1X and 2X peak. Phase is the key
indicator.

Fig.7: 56 Cocked bearing on shaft at inner race

Cocked bearing: in housing

A cocked bearing, which is a form of misalignment, will generate considerable axial vibration.
Peaks will often be seen at 1X, 2X, as well as 3X.The bearing can be cocked on the shaft or in
the housing. If it is cocked in the housing then the vibration will more closely mimic
misalignment. There will be two points on either side of the shaft on the face of the component
where the amplitude will be highest and the vibration will be 180° out-of-phase. Given that
there is such a strong axial vibration, it can be confused with misalignment, and with unbalance
in an overhung pump or fan see figure (7.57).

Fig.7: 57 cocked bearing at outer race with FFT spectrum

Inner race sliding on shaft

 Ch 7

If the bearing is not installed correctly, the inner race may slide on the shaft – i.e. not always
turn at the same speed as the shaft. Depending upon the nature of the sliding, the vibration
spectrum may have an elevated 3X peak and there may be harmonics of the 3X frequency. If
the sliding motion is intermittent, i.e. it slides a little then stops, slides a little then stops, then
you may not observe the change in the spectrum. However if it is constantly sliding then the
vibration pattern should change accordingly. Spectra: Look for the high 3X peak and
harmonics (6X, 9X, etc.) as shown in figure (7.589).

Radial

Fig.7: 58 Bearing loose on shaft for inner race.

Outer race loose in housing

If the bearing is not installed correctly within the housing, the outer race may move relative to
the housing; it may begin to spin and even "rattle” within the housing. The peaks at 4X running
speed may be elevated when this occurs as shown in figure (7.59).If it is possible to view the
bearing within the machine (by removing a cover if necessary), you will be able to see if the
outer race is moving relative to the bearing housing. Time waveform analysis will also indicate
if the outer race is loose in the housing.

Fig.7: 59 Bearing loose in housing with FFT spectrum.

 Ch 7

7.3.10 Oil whirl/whip

Oil whirl is an oil film-excited vibration. It is known to occur on machines equipped with
pressure-lubricated journal bearings operating at high speeds (beyond their critical speed).
Consider a shaft rotating in a bearing at speed N. The bearing speed is zero. The oil film is
wedged between the shaft and the bearing and should ideally rotate at a speed of 0.5rpm. It is
caused by excessive clearance and light radial loading, which results in the oil film building up
and forcing the journal to migrate around in the bearing at less than one-half RPM.
Spectrum: Strong peak at between 0.38X and 0.48X as shown in figure (7.60). The amplitude
can be quite high.

Fig.7: 60 Oil whirl

Oil whip
Oil whirl can be caused when the shaft has no oil support, and can become unstable when the
whirl frequency coincides with a critical speed. This special coincidence of shaft resonance
coupled with the oil whirl frequency results in a more severe form of oil whirl called oil whip.
Whirl speed will actually ‘lock’ onto the rotor critical speed and will not disappear even if the
machine is brought to higher and higher speeds (Figure 7.61).
 Ch 7

Fig.7: 61 Oil whip

7.3.11 Electrical problems

Vibrations of electrical machines such as motors, generators and alternators can be either
mechanical or electrical in nature. We have discussed most common mechanical problems.
Electrical problems also appear in the vibration spectrum and can provide information about the
nature of the defects. Electrical problems occur due to unequal magnetic forces acting on the
rotor or the stator. These unequal magnetic forces may be due to:
 Open or short windings of rotor or stator
 Broken rotor bar
 Unbalanced phases
 Unequal air gaps.
Generally, the vibration pattern emerging due to the above-mentioned electrical problems will
be at 1rpm and will thus appear similar to unbalance. Induction motors, which have electrical
problems, will cause the vibration amplitude to hunt or swing in a cyclic manner. The phase
readings will show similar cycles too.
Induction motors: Type rotor defect
Normally, four kinds of problems can occur within the rotor:
1. Broken rotor bars
2. Open or shorted rotor windings
3. Bowed rotor
4. Eccentric rotor.

Cracked or broken rotor bars

Cracked or broken rotor bars, shorted end rings or rotor laminations, or loose rotor bar joints,
can cause the spectrum to develop a series of harmonics of turning speed (typically 1X-4X)
with sidebands of the pole pass frequency. Being a very low frequency it is necessary to use a
high resolution spectrum. Given the low frequency sidebands you will need a high resolution
spectrum, and there will be beating which should be audible and visible in the waveform or in a
live spectrum. Spectrum: Look for the pole-pass sidebands around 1X, 2X, 3X, and 4X. A
high resolution spectrum will be required. Viewing with a log y-axis can help. Watching a live
 Ch 7

spectrum will reveal beating. Loose rotor bars are indicated by 2. Line frequency (2FL)
sidebands surrounding the rotor bar pass frequency (RBPF) and/or its harmonics (Figure 7.62).
RBPF = Number of rotor bars ×rpm

Fig.7: 62 Broken and cracked rotor bar with Rotor bar pass frequency

Eccentric rotor defect

Eccentric rotors produce a rotating variable air gap between the rotor and stator, which induces
pulsating vibrations (it is a beat phenomenon between two frequencies, one is 2FL and is the
closest running speed harmonic). The key indicator is the presence of the pole-pass sidebands
around 1xTS and 2xLF. You will need sufficient resolution to see those sidebands otherwise
you will either miss them altogether, or confuse them for resonance (a broadening of the base of
the peak), (Figure 7.63).

Fig.7: 63 Rotor eccentricity

Stator defects
Stator problems will generate high vibration at twice the line frequency (100 or 120 Hz). Stator
eccentricity produces an uneven stationary air gap between the rotor and stator that produces a
very directional source of vibration. A stator may become eccentric due to soft foot. See the
section on soft foot for
 Ch 7

more details. Spectrum: The peak at 2xLF will be high see figure (7.64).

Fig.7: 64 Stator defect FFT spectrum

DC motors: General fault comment

In a normal spectrum from a DC motor there should not be a strong line frequency (50 Hz or 60
Hz) peak and there should be no harmonics. Likewise it is expected that there will be a peak at
the SCR firing frequency, but there should be no sidebands, no harmonics and no sub-
harmonics (1/3xSCR or 2/3xSCR) see figure (7.65). The presence of these peaks indicates a
fault in the SCR circuit or in the armature (rotor) or commutator.
SCR = 3×LF if half-wave rectification or 6×LF if full-wave rectification
LF = 50 Hz or 60 Hz

Fig.7: 65 DC motor fault

Motor overload
Motor overload occurs when a motor is under
excessive load, because 30 % of motor failures
are caused by overloading. The primary
symptoms accompanying motor overload are
excessive current draw, insufficient torque and
 Ch 7

overheating. Indeed, excessive motor heat is a major cause of premature wear on electrical and
mechanical components that ultimately leads to motor failure. In the case of an overloaded
motor, individual motor components including bearings, motor windings, and other components
may be working fine, but the motor will continue to run hot. For that reason alone, it makes
sense to begin your troubleshooting, for an issue such as conveyor malfunction for example, by
checking for motor overload.,
7.3.12 Cavitation
Cavitation normally generates random, high-frequency broadband energy, which is sometimes
superimposed with the blade pass frequency harmonics. Gases under pressure can dissolve in a
liquid. When the pressure is reduced, they bubble out of the liquid. In a similar way, when
liquid is sucked into a pump, the liquid’s pressure drops. Under conditions when the reduced
pressure approaches the vapor pressure of the liquid (even at low temperatures), it causes the
liquid to vaporize. As these vapor bubbles travel further into the impeller, the pressure rises
again causing the bubbles to collapse or implode. This implosion has the potential to disturb the
pump performance and cause damage to the pump’s internal components. This phenomenon is
called cavitation. Each implosion of a bubble generates a kind of impact, which tends to
generate high-frequency random vibrations (Figure 7.66). Spectrum: It is often observed as a
"hump" in the high frequency range of the spectrum (exciting resonance) and as a hump around the
base of the pump vane rate peak.

Fig.7: 66 Pump cavitation

7.3.13 Shaft cracks

The basic principle during crack development is that the rotor
loses stiffness in the direction perpendicular to the crack
direction. Imagine a flat steel ruler. Tie a heavy weight to one
end of the ruler with the help of a string. As we turn the ruler,
we see a big deflection when the broad and flat surface is on
top. When it is turned through 90°, the thin section of the ruler
Fig.7: 67 Shaft crak
 Ch 7

is on top and this time we hardly notice any deflection. Thus, in one revolution of the ruler we
will see two big deflections, and in two instances there will be almost zero deflection. The two
big deflections per revolution would cause the 2rpm vibration frequency. This same principle
applies to a shaft under a heavy side load, such as a turbine rotor acting under gravity

7.3.14 Resonance
Resonance is defined as a large-amplitude vibration caused by a small periodic stimulus with
the same, or nearly the same, period as the system’s natural vibration. In other words, an energy
source with the same, or nearly the same, frequency as the natural frequency of a machine-train
or structure will excite that natural frequency. The result is a substantial increase in the
amplitude of the natural frequency component.
The key point to remember is that a very low amplitude energy source can cause massive
amplitudes when its frequency coincides with the natural frequency of a machine or structure.
Higher levels of input energy can cause catastrophic, near instantaneous failure of the machine
or structure. Every machine-train has one or more natural frequencies. If one of these
frequencies is excited by some component of the normal operation of the system, the machine
structure will amplify the energy, which can cause severe damage. An example of resonance is
a tuning fork. If you activate a tuning fork by striking it sharply, the fork vibrates rapidly. As
long as it is held suspended, the vibration decays with time; however, if you place it on a
desktop, the fork could potentially excite the natural frequency of the desk, which would
dramatically amplify the vibration energy. The same thing can occur if one or more of the
running speeds of a machine excite the natural frequency of the machine or its support structure.
Resonance is a destructive vibration and, in most cases, it will cause major damage to the
machine or support structure.
Two major classifications of resonance are found in most manufacturing and process plants:
static and dynamic. Both types exhibit a broad-based, high-amplitude frequency component
when viewed in an FFT vibration signature. Unlike meshing or passing frequencies, the
resonance frequency component does not have modulations or sidebands. Instead, resonance is
displayed as a single, clearly defined peak. A free vibration at a natural frequency is called
resonance. There is a simple method to find the natural frequency of any object or system called
the bump test.
Bump Test
 Ch 7

The Bump Test is a simple method for analyzing the structural modal response of a machine or
structure. When impacted, a machine or structure produces a broad frequency band of excitation
components. When these frequency components coincide with the structural natural
frequencies, then resonant conditions are present which result in a higher than normal vibration
level at those frequencies.
The bump test can be conducted in Equipment On or Off mode. Equipment Off, a preferred
method, means the rotor is not rotating and no other excitation sources exist in the system. A
bump impact can cause clear resonance, as shown below:

Equipment On is applied when rotor still rotates where the force excitation source exists in the
whole vibration system. A special algorithm called negative averaging is applied, as shown
below:
 Ch 7

With this method, a vibration sensor is fixed to the body whose natural frequency is required.
Using an impact hammer, a blow is struck on the body and the time waveform or FFT is
collected. The dominant frequency observed in the two graphs is the natural frequency of the
body. Figures (7.68) and (7.69) show the time waveform and the FFT spectrum of a bump test
conducted on a metal study table, respectively.
As seen in the time waveform, the impact occurs at approximately 100 ms after data collection
was initiated. Directly after the impact, the body exhibits free vibrations at its own natural
frequency. The amplitude of the vibration reduces logarithmically due to damping effects. The
period between 500 ms and 1 s is long enough to count the number of cycles. The calculation
indicates that the natural frequency is approximately 990 cpm. To obtain the FFT, the data
collector was reset and another impact was made on the table with a hammer. The collected
spectrum shows a dominant peak at 1046 cpm. This is close to the value calculated before with
the time waveform. The bump test is simple and used extensively in practice. It is a quick and
accurate way of finding the resonance frequencies of structures and casings. It is tempting to
use the bump test on a spare pump or other rotors not supported on bearings to obtain an
estimate of their critical speeds. Take note that this can be very inaccurate. For example, the
critical speed of rotors with impellers in a working fluid and supported by their bearings differs
vastly from the critical speed obtained using a bump test off-line on the rotor.

Fig.7: 68 Time waveform of a bump test

 Ch 7

Fig.7: 69 FFT spectrum of a bump test

Static
When the natural frequency of a stationary, or non-dynamic, structure is energized, it will
resonate. This type of resonance is classified as static resonance and is considered
a non-dynamic phenomenon. Non-dynamic structures in a machine-train include casings,
bearing-support pedestals, and structural members such as beams, piping, and the like.
Because static resonance is a non-dynamic phenomenon, it is generally not associated with the
primary running speed of any associated machinery. Rather, the source of static resonance can
be any energy source that coincides with the natural frequency of any stationary component. For
example, an I-beam support on a continuous annealing line may be energized by the running
speed of a roll; however, it can also be made to resonate by a bearing frequency, overhead
crane, or any of a multitude of other energy sources.
Figure 7–70 illustrates a typical structural-support system. The natural frequencies of all
support structures, piping, and other components are functions of mass, span, and stiffness.
Each of the arrows on Figure indicates a structural member or stationary machine component
with a unique natural frequency. Note that each time a structural span is broken or attached to
another structure, the stiffness changes. As a result, the natural frequency of that segment also
changes.
 Ch 7

Fig.7: 70 Typical discrete natural frequency locations in structural members.

Dynamic
When the natural frequency of a rotating, or dynamic, structure (e.g., rotor assembly in a fan) is
energized, the rotating element resonates. This phenomenon is classified as dynamic resonance,
and the rotor speed at which it occurs is referred to as the critical. In most cases, dynamic
resonance appears at the fundamental running speed or one of the harmonics of the excited
rotating element, but it can also occur at other frequencies. As in the case of static resonance,
the actual natural frequencies of dynamic members depend on the mass, bearing span, shaft and
bearing-support stiffness, as well as several other factors.
Confirmation Analysis. In most cases, the occurrence of dynamic resonance can be quickly
confirmed. When monitoring phase and amplitude, resonance is indicated by a 180-degree
phase shift as the rotor passes through the resonant zone. Figure 7–71 illustrates a dynamic
resonance at 500 rpm, which shows a dramatic amplitude increase in the frequency-domain
display. This is confirmed by the 180-degree phase

Fig.7: 71 Dynamic resonance phase shift.

 Ch 7

Dynamic resonance generates abnormal vibration profiles that tend to coincide with the
fundamental (1x) running speed, or one or more of the harmonics, of a machine train. This often
leads the analyst to incorrectly diagnose the problem as imbalance or misalignment. The major
difference is that dynamic resonance is the result of a relatively small energy source, such as the
fundamental running speed, that results in a massive amplification of the natural frequency of
the rotating element.
Bode Plot
A Bode plot displays order magnitudes and phases as a function of rotational speed or
frequency. You typically use Bode plots for transient analysis in both run-up and run-down
tests. Transient analysis is the analysis of nonstationary signals. A Bode plot can help you
identify the resonance speed of a rotor or examine the rotor dynamics on an order basis. The x-
axis in a Bode plot is speed or frequency, which enables you to see the changes in magnitude
and phase over speed or frequency. Figure (7.72) show the Bode plot for a rotor in a run-up test

Fig.7: 72 Resonance case shown in bode plot

 Ch 7

Polar Plot
A polar plot displays data in polar coordinates, which enables
you to see phase changes in the range of zero to 360 degrees.
The polar plot zero degree point always is located at the
angular position of a transducer. You can compare data from
orthogonally-mounted proximity probe pairs with a polar
plot.

Fig.7: 73 Polar plot

Detecting Resonance with Bode & Polar Plots

In a Bode plot balance resonance is indicated by peak amplitude and sharp, significant change
of phase at the frequency of the peak.
On Polar plot rotor modes will produce large, curving loops. Small system resonances are
more easily visible as distinctive small loops. See figure (7.74)

Fig.7: 74 Resonance illustration using bode and polar plot

 Ch 7

7.3.15 Blade pass and vane pass vibrations

Blade pass or vane pass frequencies (Figure 7.75) are characteristics of pumps and fans.
Usually it is not destructive in itself, but can generate a lot of noise and vibration that can be the
source of bearing failure and wear of machine components.
Blade pass frequency (BPF) = Number of blades (or vanes) × rpm
This frequency is generated mainly due to the gap problems between the rotor and the stator. A
large amplitude BPF (and its harmonics) can be generated in the pump if the gap between the
rotating vanes and the stationary diffusers is not kept equal all the way around.

Fig.7: 75 FFTspectrum fan pass frequency

7.3.16 Reciprocating machines

The vibration level on reciprocating
machinery is commonly very high. If you
have a four-stroke engine, then the engine
fires every other rotation, which will result in
a strong peak at 0.5X.In the case of a two-
stroke engine, such as many diesels, the
engine will fire for every stroke; therefore you
will see a strong 1X peak see figure (7.76).

Fig.7: 76 FFTspectrum for reciprocating machine

 Ch 7

7.4.1 VIBRATION SEVERITY LEVEL

The aim is to diagnose facilities and clearly show the degree of deterioration by measuring
vibration. Judgment value will be needed for precise evaluation. There are three main judgment
methods in simple diagnosis. Using these three methods will ensure more accurate
measurement. ISO (the International Organization for Standardization) is a worldwide
federation of national standards bodies (ISO member bodies). The work of preparing
International Standards is normally carried out through ISO technical committees.ISO 10816-
3 was prepared by Technical Committee ISO/TC 108, Mechanical vibration, shock and
condition monitoring, Subcommittee SC 2, Measurement and evaluation of mechanical
vibration and shock as applied to machines, vehicles and structures. This second edition cancels
and replaces the first edition (ISO 10816-3:1998). The main change is the deletion of pumps from
the scope, which now are dealt with in ISO 10816-7.
ISO 10816-1 is the basic document describing the general requirements for evaluating the
vibration of various machine types when the vibration measurements are made on non-rotating
parts. This part of ISO 10816 provides specific guidance for assessing the severity of vibration
measured on bearings, bearing pedestals, or housings of industrial machines when
measurements are made in situ.Two criteria are provided for assessing the machine vibration.
One criterion considers the magnitude of the observed vibration; the second considers the
changes in the magnitude. The table below shows the values suggested by ISO 10816

1. Absolute value judgment

-3
Facilities are classified into several types (small type, medium type, large type). It is a method
that if measured vibration exceed a certain level , it is diagnosed as abnormality.
 Advantage
Judgment is easy because diagnosis standard is already established.
 Disadvantage
Judgment may change depending on types or parts of facilities and makers.

Judgement example

ISO vibration evaluation standard

This standard is widely used for synthetic judgment
of rotational machinery.
The current ISO standard 10816-3：2009 describes the absolute value judgment by velocity
rms
Objective machinery is classified into 2 major groups
 Ch 7

Machinery Group1
Large machinery
Output: 300kW～50MW, Shaft height：> 315mm
Machinery Group 2
Medium machinery
Output: 15kW～300kW, Shaft height: 160mm～315mm

2. Relative value judgment

The method of setting up the standard velocity RMS value and comparing the normal value
with some absolute values for judgment. Normal value of velocity RMS which is originally set
up by someone is multiplied by x times to be regarded as "alert value" or "dangerous value".
For example, when the velocity RMS value of motor shows 5.00 most of times after more than
ten times measurement, "5.00" can be set up to be the normal value. 10.00 （two times as high
as normal value） is set up to be alert value, 25.00 （five times as high as normal value） is
"dangerous value." The normal value should be decided after more than ten times measurement.
 Advantage
More precise than absolute value judgment
 Disadvantage
Because the normal value is decided according to each personal experiences, so ambiguity remains
in the validity of the judgment values.

Judgement example
 Ch 7

This is a case which alert value is set to be two times as high as normal value.
Dangerous value is set to be five times as high as normal value.

3. Intercomparison value judgment

A method of judgement by comparing vibration amount at the same measuring point of the
same machine. If numerical value is more than twice as big as equivarent facilities, there is a
possibility of abnormality.
 Advantage
More precise than relative value judgment
 Disadvantage
Applicable machinery is limited

Judgement example

When there is over two times difference between the two same machinery, there may be an
abnormality.

What is precise diagnosis?

 Ch 7

The aim is to analyze waveform with FFT and identify machine part that have
deteriorated with frequency distribution, producing more reliable results than simple
diagnosis. When a normal machinery and an abnormal machinery are compared with
FFT, it may show a big change at a feature frequency value. The following chart is about
the feature frequency and the kinds of abnormal state.
Ch 7
 Ch 7

ISO
 Ch 7

7.5 A practical approach to learning vibration condition

monitoring
Condition monitoring is a valuable preventative maintenance tool to extend the operating life of
a machine. Of the techniques available, vibration monitoring is the most widely used technique
in industry today. In order to assist students’ understanding of the basic principles of vibration
condition monitoring, a test rig with common machine faults (i.e. rolling element bearing
damage, gear failure and shaft is alignment) was designed and constructed in order to collect the
main fault parts used in the previous sections. The methods used for extracting and identifying
the type of faults are described below. It is shown that this experimental set-up provides a good
illustration of the practical applications of basic theory included in a vibration analysis and
condition monitoring course.
TEST RIG DESIGN
The rig design incorporated an undamaged bearing, damaged bearing, a coupling disk system to
impose shaft misalignment, and a gear meshing set consisting of a damaged gear. The rig is
shown schematically in Figure (7.77) and a photograph of the set- up is shown in Figure (7.78).
The bench top model is about 0.5m in length.

Fig.7: 77 Schematic of the test rig.

Fig.7: 78 Rig assembly

 Ch 7

The unique feature of the rig is that two independent variable speed motors drive the system,
one at each end of the rig. This permits the damaged and undamaged bearing signals to be
observed simultaneously. With the gears in mesh, the rig lets the gear meshing frequency to be
introduced, resulting in an absence of the discrete frequency component of the damaged bearing
with AC motor 2 disconnected. With the gears disengaged, the coupling discs can be adjusted to
create an angular misalignment.
Advanced digital analysis techniques, such as adaptive noise cancelling, can be applied so as to
remove the corrupting noise and enable the recovery of the damaged signal. With both motors
running and the range of simulated defects, the test rig demonstrates a real life situation where
the damaged signals can be corrupted by other machine noise, making it impossible to observe
the damaged signal. This will be introduced in the next phase of the project.

GENERATION OF MACHINE FAULTS

Damaged Bearing
The test bearing was damaged using a 1mm wire cutting method. The wire cut removed a
section of the bearing outer ring through to the outer race track. The damage was intended to
create an outer race spall type of defect. This would generate an impulsive type of signal, as the
rolling elements rolled pass the damage. The bearings used were deep groove ball bearings,
with an inner diameter of 12mm, an outer diameter of 32mm and a width of 10mm. Since the
defect was located on the outer race of the damaged ball bearing, spikes were expected at those
frequencies that corresponded to the ball pass frequencies calculated via equation 1 [ViPAC
Engineers and Scientists Ltd, Introduction to Machine Vibration. Brisbane: ViPAC (1993).].

(1)

Where; Bd: ball diameter; Pd: pitch diameter of the bearing; n: number of rolling elements; 
ѳ: contact angle; and s: shaft speed (Hz).

Damaged Gear
The gear set was damaged by removing a portion of a tooth from the pinion gear. This damage
was achieved by filing down a section of the tooth, such that the driven gear would impact the
sharpened lip of the fault at the beginning and end of the gear meshing cycle. Gear sets generate
tones known as the gear mesh frequency. The gear mesh frequency is calculated via equation 2.
GMF No.ofTeeth RPM (2)
 Ch 7

The corresponding spike at this frequency generally amplifies as gear damage increases.
Localized tooth damage on a gear will result in elevated tooth mesh frequency components, and
the tooth mesh frequency will be modulated by the gear angular speed. This culminates in
sidebands at the first order (1x RPM) peaks around the tooth mesh and tooth mesh harmonics.
Shaft Misalignment
A coupling disc system (see Figure7.79) was designed to impose shaft misalignment onto the
undamaged bearing. The coupling system consisted of two discs: one attached to a short driven
shaft, the other attached to a longer shaft enabling considerable angular misalignment on the
support bearing by moving the discs apart. The disks are moved relative to each other by
tightening/loosening a grub screw, which pushes onto a key. This forces the disc on a 120mm
shaft to move and produce an angular misalignment at the good bearing. The discs have a
measurement scale etched in increments of 2mm. One increment on the scale corresponds to an
angular misalignment of 2.9. This is seven times greater than that allowable by deep groove
ball bearings.

Fig.7: 79 Coupling disc system

Angular misalignment produces a bending moment on each shaft and this generates a strong
vibration at 1 x RPM, but only some vibration at 2 x RPM in the axial direction at both
bearings. The first order spike is expected to be larger in amplitude compared to the second
order spike.
 Ch 7

EXPERIMENTAL PROCEDURE
Damaged and Undamaged Bearings
The damaged bearing was located in housing block 3 assembly via a flexible coupling system to
AC Motor 2. The undamaged bearing was located in housing block 1 assembly via a flexible
coupling system to DC Motor 1 and with the misaligned coupling system disconnected. Two
accelerometers, screw mounted to the top and side of each housing block, were used in order to
measure the bearing signals. Three rotation speeds were used in the experiment and the results
are shown in Table 1. A frequency spectrum of the damaged bearing operating at 500 rpm is
shown in Figure (7.80).

Fig.7: 80 Frequency spectrum of the damaged bearing at 500rpm.

 Ch 7

Damaged Gear
A damaged gear was incorporated in the gear assembly and driven by DC Motor 1 via the
aligned coupling disk system. Two accelerometers were screw mounted to the top and side of
housing block 2. With DC motor 1 running independently, signals were acquired and analyzed
over three operating speeds: 500, 1,000 and 1,500 rpm. Both experimental and theoretical
results are shown in Table 2 and a frequency spectrum operating at 500 rpm is shown in
Figure(7.81).

Fig.7: 81 Frequency spectrum of the damaged gear at 500rpm.

Shaft Misalignment
With the gear assembly disconnected, a shaft misalignment test can be performed.
Misalignment was introduced by rotating the coupling disc system. One increment of the scale
represented a misalignment of 2.9. Two accelerometers were screw mounted to the top and
side of housing block 1. Table 3 shows the frequency components obtained at operating speeds
of 500, 1,000 and 1,500rpm, respectively, and those calculated theoretically. A spectrum of a
misaligned shaft is shown in Figure (7.82).
 Ch 7

Fig.7: 82 Frequency spectrum shaft misalignment at 500rpm.

RESULTS AND DISCUSSION

Signal data was acquired for machine conditions, including: a damaged bearing, an undamaged
bearing, a damaged gear, shaft misalignment and a combination of these machine conditions at
operating speeds of 500, 1,000 and 1,500 rpm. Data analysis required comparing the plots
obtained for each test condition to those expected for the specific machine faults simulated.
Prominent frequency spikes determined from the time and frequency domain graphs were also
compared to the theoretical vibration fault signatures.
 Ch 7

Damaged Bearing
When simulating bearing damage only, the experimental rig successfully related the theoretical
calculations of ball pass frequencies at each rotating speed. Prominent peaks in Figure (7.82)
permitted students to easily identify and compare the corresponding frequencies. The spectrum
showed spikes corresponding to 1-4 times the BPFO. Table 1 shows the theoretical and
experimental frequencies of the damaged bearing at rotating speeds of 500 to 1,500 rpm. For a
rotating speed of 500 rpm, the first four ball passage frequencies related relatively well with the
theoretical calculations.
Damaged Gear
The gear damage tests successfully illustrated the theoretical predictions at a rotational speed of
500rpm. As can be seen in Figure 4, the prominent frequency peak occurred at 300.5 Hz, with
accuracy to within 10% of the predicted value, as shown inTable 2. Sidebands were also present
and therefore demonstrated to students the type of frequency spectrum that they may encounter
when testing for gear failure.
Shaft Misalignment
When testing for shaft misalignment faults, predicted frequencies were exemplified at the
various rotational speeds. The fundamental frequency components for shaft speeds of 500 to
1,500 rpm are shown in Table 3. Figure (7.82) shows the prominent frequency peak (shaft speed
of 500 rpm), which occurred at 1XSF, and a smaller spike at 2XSF, indicating angular
misalignment.
 CHAPTER 8
OIL ANALYSIS
8.1 INTRODUCTION
In the earlier topics, we covered the technique of vibration analysis in detail. It is undoubtedly
the most important predictive maintenance technique. Oil analysis is another predictive
maintenance technique that evolved through the years and is currently maturing into a reliable
source of predictive machinery information. Oil analysis is not merely a tool to analyze the
condition of a lubricant. With modern diagnostic tools, it is used to monitor the condition of
equipment as well. By utilizing these advanced techniques, equipment reliability can increase,
and unexpected failures and downtime are minimized. There are many wear mechanisms that
lead to the deterioration of machine components. Though there are different types of wear,
there are only a few primary sources of wear. The mechanisms that contribute to wear of a
component include misalignment, unbalance and improper use of the equipment (such as
overload or accelerated heating conditions). One of the sources for wear can be the lubricant
itself, e.g. in cases where the lubricant has degraded or has become contaminated. The different
types of wear that can occur are:
Abrasive wear
Adhesive wear
Cavitation
Corrosive wear
Cutting wear
Fatigue wear
Sliding wear.
 Ch 8

8.1 TRIBOLOGY

What is Tribology ?
Tribology comes from the Greek word, “tribos”, meaning “rubbing” or “to rub”• And from the
suffix, “ology” means “the study of” Therefore, Tribology is the study of rubbing,or… “the
study of things that rub”.This includes the fields of: Friction, Lubrication, and Wear. The First
Recorded Tribologist – 2400 B.C

The first recorded tribologist – pouring lubricant (water?) in front of the sledge in the transport
of the statue of Ti.
 Ch 8

A more famous Tribologist – 500 years ago

"Leonardo Da Vinci"
Two Observations:
1.The areas in contact have no effect
on friction.
2.If the load of an object is doubled,
its friction will also be doubled.

Tribology is the general term that refers to design and operating dynamics of the Bearing-
lubrication-rotor support structure of machinery. Several tribology techniques can be used for
predictive maintenance: lubricating oil analysis, spectrographic analysis, ferrography, and wear
particle analysis. Lubricating oil analysis, as the name implies, is an analysis technique that
determines the condition of lubricating oils used in mechanical and electrical equipment. It is
not a tool for determining the operating condition of machinery. Some forms of lubricating oil
analysis will provide an accurate quantitative breakdown of individual chemical elements, both
oil additive and contaminates, contained in the oil. A comparison of the amount of trace metals
in successive oil samples can indicate wear patterns of oil-wetted parts in plant equipment and
will provide an indication of impending machine failure.
Until recently, tribology analysis has been a relatively slow and expensive process. Analyses
were conducted using traditional laboratory techniques and required extensive, skilled labor.
Microprocessor-based systems are now available that can automate most of the lubricating oil
and spectrographic analysis, thus reducing the manual effort and cost of analysis.
8.1.2 Wear Particle Analysis
Wear particle analysis is related to oil analysis only in that the particles to be studied are
collected by drawing a sample of lubricating oil. Whereas lubricating oil analysis determines
the actual condition of the oil sample, wear particle analysis provides direct information about
the wearing condition of the machine-train. Particles in the lubricant of a machine can provide
significant information about the machine’s condition. This information is derived from the
study of particle shape, composition, size, and quantity. Wear particle analysis is normally
conducted in two stages.
The first method used for wear particle analysis is routine monitoring and trending of the solids
content of machine lubricant. In simple terms, the quantity, composition, and size of particulate
matter in the lubricating oil indicate the machine’s mechanical condition. A normal machine
 Ch 8

will contain low levels of solids with a size less than 10 microns. As the machine’s condition
degrades the number and size of particulate matter increases. The second wear particle method
involves analysis of the particulate matter in each lubricating oil sample.
Types of Wear
Five basic types of wear can be identified according to the classification of particles:
Rubbing wear, cutting wear, rolling fatigue wear, combined rolling and sliding wear, and severe
sliding wear. Only rubbing wear and early rolling fatigue mechanisms generate particles that are
predominantly less than 15 microns in size.
Abrasive wear
Abrasive wear occurs when a harder material is rubbing against a softer material. If there are
only two rubbing parts involved in the friction process the wear is called two body wear. In this
case the wear of the softer material is
caused by the asperities on the harder
surface. If the wear is caused by a hard
particle (grit) trapped between the rubbing
surfaces it is called three body wear. The
particle may be either free or partially
embedded into one of the mating materials.
In the micro-level abrasive action results in
one of the following wear modes:
Ploughing. The material is shifted to the
sides of the wear groove. The material is
not removed from the surface.
Cutting. A chip forms in front of the
cutting asperity/grit. The material is removed (lost) from the surface in the volume equal to the
volume of the wear track (groove).
Cracking (brittle fracture). The material cracks in the subsurface regions surrounding the wear
groove. The volume of the lost material is higher than the volume of the wear track.
Adhesive wear
Adhesion wear is a result of micro-junctions caused by welding between the opposing asperities
on the rubbing surfaces of the counter-bodies. The load applied to the contacting asperities is so
high that they deform and adhere to each other forming micro-joints. The motion of the rubbing
counter-bodies result in rupture of the micro-joints. The welded asperity ruptures in the non-
 Ch 8

deformed (non-cold worked) regions. Thus some of the material is transferred by its counter-
body. This effect is called scuffing or galling.When considerable areas of the rubbing surfaces
are joined during the friction a Seizure resistance (compatibility) seizure of one of the bodies by
the counter-body may occur. The factors decreasing adhesive wear:
 Lower load.
 Harder rubbing materials.
 Contaminated rubbing surfaces.
 Presence of solid lubricants.
 Presence of a lubrication oil.
 Anti-wear additives in oil.

Fatigue wear
Fatigue wear of a material is caused by a
cycling loading during friction. Fatigue occurs
if the applied load is higher than the fatigue
strength of the material. Fatigue cracks start at
the material surface and spread to the
subsurface regions. The cracks may connect to
each other resulting in separation and
delamination of the material pieces. One of the
types of fatigue wear is fretting wear caused
by cycling sliding of two surfaces across each
other with a small amplitude (oscillating). The
friction force produces alternating
compression-tension stresses, which result in surface fatigue. Fatigue of overlay of an engine
bearing may result in the propagation of the cracks up to the intermediate layer and total
removal of the overlay.
Corrosive wear
Wear may be accelerated by corrosion (oxidation) of the rubbing surfaces.
Increased temperature and removal of the protecting oxide films from the surface during the
friction promote the oxidation process. Friction provides continuous removal of the oxide film
followed by continuous formation of new oxide film.
Hard oxide particles removed from the surface and trapped between the sliding/rolling surfaces
additionally increase the wear rate by three body abrasive wear mechanism.
 Ch 8

Erosive wear
Erosive wear is caused by impingement of
particles (solid, liquid or gaseous), which
remove fragments of materials from the surface
due to momentum effect. Erosive wear of
Engine bearings may be caused by cavitation in
the lubrication oil. The cavitation voids
(bubbles) may form when the oil exits from the
convergent gap between the bearing and journal
surfaces. The oil pressure rapidly drops
providing conditions for voids formation (the
pressure is lower than the oil vapor pressure).
The bubbles (voids) then collapse producing a
shock wave, which removes particles of the bearing material from the bearing.

8.2 LUBRICATION FUNDAMENTALS

A lubricant usually has a base fluid. The base fluid is generally of petroleum origin, combined
with additive chemicals that enhance the various desirable properties for a base fluid. Base
fluids are essentially obtained from two main sources. One is the refining of petroleum crude oil,
and the second is the synthesis of relatively pure compounds with properties that are desirable for
lubricants.
 Ch 8

8.2.1 What Is a Lubricant?

Mechanical maintenance relies on lubricants. You may be familiar with some common
lubricants, such as motor oil or cooking grease. But what exactly does a lubricant do in
industry? A lubricant is a substance that reduces friction between two surfaces in relative
motion by making them slippery and easier to move. Lubricants have been around for
thousands of years. In fact, natural lubricants were used to grease chariot wheels. Today, we use
natural lubricants in addition to synthetic lubricants developed for specific purposes.
8.2.2 Friction and Wear
Lubricants are used primarily to reduce friction between components. Friction is the resistance
to any relative motion between two surfaces in contact. This occurs because every surface
contains asperities, even surfaces that appear smooth. An asperity is a microscopic peak on a
surface. When the asperities of two surfaces in motion come into contact with one another, the
result is friction. The greater the amount of friction between two objects, the harder they are to
move past one another. Figure (8.1) shows contact between surface asperities.

Fig. 8: 1 Contact between surface asperities causes friction.

When two unlubricated surfaces rub against one another, the stronger surface shears particles
from the weaker one, causing wear. Wear is the gradual removal of material from a surface due
to excess friction, and too much wear can damage manufacturing machinery. Wear cannot be
avoided, but lubrication greatly lessens the amount of wear that takes place during machine
operation.
Ways to Reduce Friction
Design moving parts to roll over each other (minimize slide/roll ratio)
 Ch 8

Coefficient of Friction Varies With Velocity

Five Rights of Lubrication

 Right Type of Lubricant
 Right Quality
 Right Amount
 Right Place
 Right Time
 Ch 8

8.2.3 How Lubricants Work

Lubricants are used primarily to reduce friction. When used correctly, the proper lubricant can
greatly reduce wear. It can also reduce the force and power required by the machine to perform
the desired job, which makes the machine less costly to run. A lubricant works by separating
two surfaces that are in relative motion and reducing the friction between them. This prevents
the stronger surface from removing particles from the weaker surface. An example of this is
using a lubricant such as oil. The oil creates a thin, slippery layer that prevents the surfaces from
actually touching one another and causes them to move smoothly past each other. Most
lubricants work by forming a thin film on the surfaces. The strength of this film is referred to as
lubricity, which describes a lubricant’s effectiveness. Lubricity can vary between lubricants and
is an important factor in selecting the proper lubricant for a particular application.
This sketch shows a greatly magnified view of two parts separated by a lubricant film. The
separation is important because the greater distance, less the parts contact each other and less
wear occurs. The Greek symbol lambda, λ, is usually used to denote the relative film thickness.
λ is a result of the viscosity, relative speed, and the shape (relative roughness) of the parts.

λ vs. Wear Rates in Normal Operation

This graph shows how important the
lubricant film thickness is in controlling the
wear rate.
Viscosity is most important on the right side
of the graph while the key to reducing
friction on the left side is the additive film.
 Ch 8

Lubricant Functions
The main tasks of a lubricant are to reduce friction and prevent wear of tooling and machinery.
However, lubricants perform several other important jobs such as:
 Cool the machine and other components.
 Absorb the shock from machine operation.
 Minimize corrosion of the machine.
 Prevent dirt and contaminants from entering the machine.

8.3 LUBRICATING WITH GREASE

Grease is another common lubricant. The American Society for Testing and Materials (ASTM)
defines lubricating grease as: "A solid to semifluid product of dispersion of a thickening agent
in liquid lubricant. Other ingredients imparting special properties may be included" (ASTM D
288, Standard Definitions of Terms Relating to Petroleum).
8.3.1 Grease Anatomy
As this definition indicates, there are three components that form lubricating grease. These
components are oil, thickener and additives. The base oil and additive package are the major
components in grease formulations, and as such, exert considerable influence on the behavior of
the grease. The thickener is often referred to as a sponge that holds the lubricant (base oil plus
additives).
8.3.2 Function
The function of grease is to remain in contact with and lubricate moving surfaces without
leaking out under the force of gravity, centrifugal action or being squeezed out under pressure.
Its major practical requirement is that it retains its properties under shear forces at all
temperatures it experiences during use.
8.3.3 Applications Suitable for Grease
Grease and oil are not interchangeable. Grease is used when it is not practical or convenient to
use oil. The lubricant choice for a specific application is determined by matching the machinery
design and operating conditions with desired lubricant characteristics. Grease is generally used
for:
1) Machinery that runs intermittently or is in storage for an extended period of time.
Because grease remains in place, a lubricating film can instantly form.
2) Machinery that is not easily accessible for frequent lubrication. High-quality greases can
lubricate isolated or relatively inaccessible components for extended periods of time
 Ch 8

without frequent replenishing. These greases are also used in sealed-for-life applications
such as some electrical motors and gearboxes.
3) Machinery operating under extreme conditions such as high temperatures and pressures,
shock loads or slow speed under heavy load. Worn components. Grease maintains
thicker films in clearances enlarged by wear and can extend the life of worn parts that
were previously lubricated by oil.

8.3.4 Grease Consistency

Grease consistency is given a quantitative basis through
measurement with the ASTM Cone Penetrometer. The
method consists of allowing a weighted metal cone to sink
into the surface of the grease, and measuring the depth to
which the point falls below the surface. This depth, in
tenths of millimeters, is recorded as the penetration, or
penetration number, of the grease. The softer the grease,
the higher its penetration. If a grease is too soft, it may not
stay in place, resulting in poor lubrication. If a grease is
too hard, it will Fig. 8: 2 A grease container labeled with the

not flow properly, and either fail to provide proper NLGI scale.

lubrication or cause difficulties in dispensing equipment. These statements sum up the reasons for
classifying greases by consistency. Penetration numbers are useful for classifying greases according
to the consistencies required for various types of service, and in controlling the consistency of a
given grade of grease from batch to batch. The National Lubricating Grease Institute has classified
greases according to their worked penetrations. These NLGI grades, shown in Table 8-2, are used
for selection of greases in various applications.
 Ch 8

Different levels of viscosity are appropriate for different machines and tasks. Generally, the heavier
the machine load, the higher the viscosity required. Since viscosity can fluctuate during machine
operation due to temperature and pressure changes, oil manufacturers use the Viscosity Index, or VI.
The VI measures the rate of change of a substance’s viscosity in relation to a change in temperature.
If a type of oil has a low number, its viscosity is more likely to change with temperature. A high
number indicates less change. Numbers below 60 are considered low, while numbers above 95 are
high. The viscosity of grease is measured by the National Lubricating Grease Institute (NLGI) scale.
The NLGI scale classifies grease in grades from 000 to 6, with 000 being the most fluid grease and 6
being the most solid. Figure (8.2) shows NLGI grade 2 grease.
Table 8-2. NLGI grease grading system.

8.4 LUBRICATING WITH OIL

The most common type of lubricant used in the manufacturing industry is oil, though many of
the oils used today are scientifically designed synthetics, civilization has been using natural oil
for centuries. Oil offers several benefits for lubrication. It is generally considered more stable
than other common lubricants. In addition, oil can be cleaned and filtered, and it can be applied
in various ways. Used oil also is easy to drain from the machine and refill when it is time to
change the lubricant. When applied properly, oil can be used at virtually any machine speed.
Most of the oil used in manufacturing is mineral oil, which comes from refined petroleum.
When the petroleum is refined, the result is called base stock oil. This type of oil can be treated
with additives.
8.4.1 Mineral oils
The general principles of lubricant base oil manufacture involve a series of steps to improve
certain desirable lubricant properties, such as:
 Viscosity index.
 Ch 8

 Oxidation resistance.
 Heat resistance.
 Low-temperature fluidity.
8.4.2 Synthetic oils
Another source of lubricant base fluids is synthetic of origin. A suitable definition for a
synthetic material is: ‘A product prepared by chemical reaction of lower molecular weight
materials to produce a fluid of higher molecular weight designed to provide certain predictable
properties. 'This is in contrast with refined petroleum oils, which are composed of many
compounds of varying chemical composition, depending on the refining method and the crude
stock source. The three most common types of synthetic base oils are:
 Polyalpholefins.
 Organic esters.
 Polyglycols.
8.4.3 Additives
Additives are defined as materials that impart new properties to the base mineral oil. Additives
enhance the existing properties of the lubricant into which they are incorporated. The amount
and type of additives that are blended with the lubricant depend on the performance features
desired from the lubricant. The following is a list of common elements that are found in additives and
the role their Properties impart on lubrication oil:
Barium (Ba) Detergent or dispersant additive
Boron (B) Extreme-pressure additive
Calcium (Ca) Detergent or dispersant additive
Copper (Cu) Anti-wear additive
Lead (Pb) Anti-wear additive
Magnesium (Mg) Detergent or dispersant additive
Molybdenum (Mo) Friction modifier
Phosphorus (P) Corrosion inhibitor anti-wear additive
Silicon (Si) Anti-foaming additive
Sodium (Na) Detergent or dispersant additive
Zinc (Zn) Anti-wear or anti-oxidant additive
 Ch 8

8.5 LUBRICATING OIL ANALYSIS

Oil analysis has become an important aid to preventive maintenance. Laboratories recommend
that samples of machine lubricant be taken at scheduled intervals to determine the condition of
the lubricating film that is critical to machine-train operation.
Which Oil Tests to Use?
Engine oils can be analyzed to obtain valuable information about their properties, contaminants
or wear debris. The instruments in an oil analysis laboratory may focus on one specific piece of
information or be designed to report multiple points of information. The following are some of
the most common engine oil tests.
8.5.1 Viscosity
This test measures a fluid’s resistance to flow and shear. Viscosity is an oil’s most important
property. It provides the basic function for creating a film thickness between mechanical
surfaces moving relative to one another. The engine oil in your vehicle is formulated to match a
particular viscosity. If the viscosity changes, the oil may not be sufficient to protect the engine’s
surfaces. It can also mean that the oil has chemically degraded or been affected by a
contaminant such as water, fuel or glycol. When this occurs, it will be necessary to further
investigate the potential root causes with other oil analysis tests.
Viscosity = Resistance to flow
The actual viscosity of oil samples is compared to an unused sample to determine the thinning
or thickening of the sample during use. Excessively low viscosity will reduce the oil film
strength, weakening its ability to prevent metal-to-metal contact. Excessively high viscosity
may impede the flow of oil to vital locations in the bearing support structure, reducing its ability
to lubricate.

The force required to slide one object over another when the two surfaces are fully separated by
a fluid is dependent on the fluid’s viscosity
 Ch 8

A lubricating oil’s viscosity is typically measured and defined in two ways, either based on its
kinematic viscosity or its absolute (dynamic) viscosity. Now let’s consider absolute viscosity.
Kinematic viscosity
Oil’s kinematic viscosity is defined as its resistance to flow and shear due to gravity. Imagine
filling a beaker with turbine oil and another with a thick gear oil. Which one will flow faster
from the beaker if it is tipped on its side? The turbine oil will flow faster because the relative
flow rates are governed by the oil’s kinematic viscosity.
Absolute viscosity
To measure absolute viscosity, insert a metal rod into the same two beakers. Use the rod to stir
the oil, and then measure the force required to stir each oil at the same rate. The force required
to stir the gear oil will be greater than the force required to stir the turbine oil.
Capillary Tube Viscometer Test Method
The most common method of determining kinematic viscosity in the lab
utilizes the capillary tube viscometer the Figure . In this method, the oil
sample is placed into a glass capillary U-tube and the sample is drawn through
the tube using suction until it reaches the start position indicated on the tube’s
side.he suction is then released, allowing the sample to flow back through the
tube under gravity. The narrow capillary section of the tube controls the oil’s
flow rate; more viscous grades of oil take longer to flow than thinner grades of
oil. This procedure is described in ASTM D445 and ISO 3104.
Rotary Viscometer Test Method
A less common method of determining an oil’s viscosity utilizes a rotary
viscometer. In this test method, the oil is placed in a glass tube, housed
in an insulated block at a fixed temperature (Figure).A metal spindle is
then rotated in the oil at a fixed rpm, and the torque required to rotate the
spindle is measured. Based on the internal resistance to rotation provided
by the shear stress of the oil, the oil’s absolute viscosity can be
determined. Absolute viscosity is reported in centipoise (cP), equivalent
to mPa·s in SI units.
This method is commonly referred to as the Brookfield method and is
described in ASTM D2983.
 Ch 8

8.5.2 Base Number and Total Base Number (TBN)

Base number testing is used to measure the reserve alkalinity within the oil. This characteristic
of engine oils is intended to neutralize the acidic compounds to which the oil may be exposed
through blow-by contaminants. The base number will trend downward as the oil ages, but a
rapid change could be an indicator of increased blow-by contaminants due to inefficiencies in
the combustion zone, severe running conditions or using the wrong oil.
Measuring the BN can help ensure that the oil is able to protect the component from corrosion
due to acid. Many oils (especially motor oils) are fortified with alkaline additives to neutralize
acids that are formed as a result of oil oxidation. In diesel engine applications, acid is formed in
the combustion chamber when moisture combines with sulfur under pressure.
The BN of an oil is highest when the oil is new and decreases with use. Condemning limits
(limit where the oil is condemned for use and should be replaced) are based on the application.
As a rule, the BN should not drop below 25 percent of its original value. Base Number values
for new engine oils run from 4 to 30 depending on the application.
TBN is a measure of (alkaline) additives in the oil. Higher TBN oils are able to neutralize a
greater amount of acidic materials, which results in improved protection against corrosive
reactions and longer oil life.TBN levels are targeted for the intended application. For example,
gasoline motor oils typically display lower TBN numbers, while diesel oils must manage the
high contaminant-loading from soot and sulfur and typically have a higher TBN.
TBN levels decrease as the oil remains in service. When the level reaches a point where it can
no longer protect against
corrosion, the oil must be
changed.
Oils that are formulated
specifically for extended drain
intervals typically display
elevated TBN to ensure proper
corrosion protection for the
duration of the extended
interval.
 Ch 8

8.5.3 Particle Count

A particle count test identifies the level of general contamination in the form of three numbers
representing the amount of contaminants greater than 4, 6 and 14 microns per milliliter of fluid.
Contamination exposure to the engine oil can be detrimental, but it is expected during operation
of the vehicle. The reason why we test particle count is because some particles in the oil can
cause damage to the machine, particularly hydraulic equipment. Particles can cause scratching
of the machined surfaces and, as a result, cause more wear. The damage compounds until you
have major failures.
How it works
When we conduct the particle count test, we pass oil through a light obscuration sensor with a
laser. As particles move over the sensor, the size of the shadow is measured and the number of
each size category of particles is counted. We can then gather a list of the number of particles at
each size category and determine the level of contamination in the oil.
The size categories we measure are:
4 µm
6 µm
10 µm
14 µm
21 µm
38 µm
70 µm
100 µm
We report our findings using a codifying system (ISO 4406) which converts the counts for 4
µm, 6 µm and 14 µm into a number series that is then used to report and compare, normally
referred to as the ISO code. For example, results of 18/15/11 mean that, there were 2,500 –
5,000 particles at 4 µm or greater, 320 – 640 particles at 6 µm or greater, and 20 – 40 particles
at 14 µm or greater. In general, lower ISO code numbers overall are more desirable, potentially
having less impact upon machinery, though size and filter rating may mitigate that.
All things being equal, larger particles have a greater chance of spanning the oil film diameter
between two metal surfaces and damage one or both of them. Before they are collected in the
fluid filter. In this case, the smaller numbers could be more important because they cause pitting
or sliding wear at other points in the system.
 Ch 8

Solids Content
The amount of solids in the oil sample is a general test. All solid materials in the oil are
measured as a percentage of the sample volume or weight. The presence of solids in a
lubricating system can significantly increase the wear on lubricated parts. Any unexpected rise
in reported solids is cause for concern.
 Ch 8

8.5.4 Contamination
Water
Contamination of oil by water or coolant can cause major problems in a lubricating system.
Many of the additives now used in formulating lubricants contain the same elements that are
used in coolant additives. Therefore, the laboratory must have an accurate analysis of new oil
for comparison.
Water content is generally determined using the Karl Fischer test, which reports the amount of
water present in oil in parts per million. An oil sample may also be screened first through a
crackle test. Water in oil is particularly concerning because it can lead to rapid oil degradation
and a corrosive reaction to iron and steel mechanical surfaces.
The source of water must be investigated if abnormal amounts are found. These sources could
include leaks from the oil cooler, high levels of moisture in the environment or inefficient
running conditions.
The Effects of Water on a Lubricant
Not only does water have a direct harmful
affect on machine components, but it also plays
a direct role in the aging rate of lubricating oils.
The presence of water in a lubricating oil can
cause the progress of oxidation to increase
tenfold, resulting in premature aging of the oil, particularly in the presence of catalytic metals
such as copper, lead and tin. In addition, certain types of synthetic oils such as phosphate esters
and dibasic esters are known to react with water, resulting in the destruction of the base stock
and the formation of acids. It is not just the base oil that can be affected by moisture
contamination. Certain additives such as sulfurous AW and EP type additives and phenolic
antioxidants are readily hydrolyzed by water, resulting in both additive mortality and the
formation of acidic by-products.
Measuring Water
In order to control moisture levels, one must be able to detect its presence. There are different
test methods used to determine the moisture content of a lubricating oil. These methods range
from a simple apparatus to a more complex chemical test or slightly more expensive percent
saturation probe test ideal for on-site screening purposes. It may also include more advanced
technology typically used in laboratories for precise determination of the water level in ppm.
Crackle Test
 Ch 8

In this test, a hot plate is held at 320°F (130°C) and a small drop of oil placed in the center. Any
moisture present in the oil is reflected in the number of bubbles observed as the water
vaporizes. Depending on the lubricant, relatively few small bubbles indicate approximately 500
to 1,000 ppm (0.05 to 0.1 percent) water.
Pressure cell
Another simple on-site test is the use of a pressure cell where the sample is prepared with a
chemical reagent (calcium hydride) and placed in a container and shaken vigorously. A change
of pressure within the cell is monitored to determine if free water is present.
Humidity sensor
A third type of on-site screening test for water is the use of a relative humidity sensor. The
sensor uses a thin film capacitance grid that can determine the amount of moisture permeating
through the film. Whether used in air or oil, the technology is the same and the output of data is
normally in a percent RH value.
Karl Fischer moisture test
Karl Fischer (KF) Titration is a technique for the determination of moisture content. It is a
process based on the reaction of iodine with water. The KF method is one of the few techniques
that will measure water content and not be affected by other volatiles. With our KF titration unit
both free and bound water can be determined, for example surface water on crystals or the water
contained inside them. The method works over a wide concentration range from 5 ppm up to
100% and supplies reproducible and accurate results. Sample size can vary and is typically
between 0.5-5 grams depending on the water content within the sample.
8.5.5 Ferrous Density
The Ferrous Wear Meter (FWM) detects metal particles in an oil samples taken from lubricated
machinery. This test focuses on increased levels of ferrous wear particles present in the oil
sample. Ferrous density should be considered a primary test for all machines where ferrous
wear material is expected. Correlating ferrous density data along with other oil analysis test
information can give you a wide picture and a solid understanding of the internal condition of
your machine. This may be a consequence of inaction to the contamination levels or poor
lubrication due to changes in oil properties. It could also be a result of changes in operating co
the test reports the concentration of ferrous debris in a sample. While no units are reported (the
numbers generated are indices), you may conceptualize the results as mass of ferrous debris per
mass of oil - something like grams of steel per kilogram of oil. The concentration index does
 Ch 8

not tell us anything about the size distribution of the particles; but practically, the test is biased
toward larger particles in additions or mechanical inefficiencies.
All ferrous density testers produce at least a single index of contamination proportional to
density of the ferrous particles in the oil. I will use this index in the following discussion. There
are also many ways of determining the elemental iron (Fe) content, but I will limit this
discussion to inductive-coupled plasma (ICP) atomic emission spectroscopy, because this is the
most commonly performed method of elemental analysis.

PQ Index can be used to measure ferrous wear metal particles in oil, grease and coolants. PQ
analysers have no units and can be thought of as mass ferrous particles per mass of oil. Mass /
Volume. PQ does not take into account particle size, we need to use the iron (Fe) readings of
the elemental analysis to figure out what the concentration level is above 10 µm. Elemental
Analysis cannot measure particles larger than 10 µm in size. This is where the PQ information
can be very useful, especially in components that are starting to fatigue or have large internal
wear starting to appear rapidly.
When should we be concerned?
Like all other analysis results reported by your laboratory, there are set limits or guidelines that
are used to flag a sample as normal, monitor or abnormal. However, everyone makes mistakes
and you should not reply on a smiley face or green arrow, tick or whatever your lab may use to
flag a sample as normal, it is your responsibility to check the data and ensure nothing has been
missed or overlooked.
PQ
 Ch 8

When the PQ results indicate Low readings and the Fe level indicates Low readings – then the
sample will contain minimal Fe particles most likely less than 10 µm and represent normal
rubbing wear.
When PQ results are Low and Fe is High, this most likely indicates particles are less than 10
µm and could be caused by acidic wear or larger amounts of rubbing wear.
When PQ results are High and Fe is High, this most likely indicates majority of the particles are
less than 10 µm and are from rubbing wear.
When PQ is High and Fe is Low, then this can become a concern because the majority of the
wear is larger than 10 µm and will cause accelerated damage. The High readings of the PQ can
be caused by many factors and will need further diagnoses or testing. Rapid High PQ readings
on a trend scale can indicate a failure or potential failure. Never ignore High PQ readings and if
unsure what it means, ask the laboratory to do a Ferrogram or Microscopic analysis on the
sample. This can provide you with information on particle sizes, type of wear and particle
identification all of which can be useful in helping diagnose the issue further.

8.5.6 Analytical Ferrography

If wear debris has been observed at abnormal levels, additional techniques can be used to
examine it more closely to obtain clues as to its severity and root cause. This microscopic
review of wear debris particles includes characterizing the general shape, size, color,
reflectivity, edge details, markings and concentrations. Analytical Ferrography is among the
most powerful diagnostic tools in oil analysis today. When implemented correctly it is an
excellent tool when attempting to diagnose an active wear problem. Analytical Ferrography
allows an oil analyst to visually examine wear particles present in a sample. This test separates
solid contamination and wear debris from a lubricant for microscopic evaluation. Analytical
Ferrography can identify wear particles, their composition, and their origin by visually
analyzing them microscopically.
Operating Principle
A portion of the sample is passed over a slide on top of a magnetic plate to attract ferrous
particles. The prepared slide is then placed under a microscope for examination. The particles
 Ch 8

are then classified into different size ranges and shapes. As a result of this classification,
determination of an abnormal wear mode can be made.

8.5.7 Fourier Transform Infrared (FTIR) Spectroscopy

This test provides information about not only the oil’s health but also contaminants like soot,
water, glycol and fuel, as well as oil degradation byproducts such as oxides, nitrates and
sulfates. It employs a unique technology that observes constituents within the sample at the
molecular level. While the test excels in its capability to review a broad spectrum for analysis,
its accuracy can be somewhat limited.
What is FTIR?
FTIR stands for Fourier transform infrared, the preferred method of infrared spectroscopy.
When IR radiation is passed through a sample, some radiation is absorbed by the sample and
some passes through (is transmitted). The resulting signal at the detector is a spectrum
representing a molecular ‘fingerprint’ of the sample. The usefulness of infrared spectroscopy
arises because different chemical structures (molecules) produce different spectral fingerprints.
 The Fourier Transform converts the detector output to an interpretable spectrum.
 The FTIR generates spectra with patterns that provide structural insights.
 Ch 8

How does FTIR work and why use it?

The FTIR uses interferometry to record
information about a material placed in the IR
beam. The Fourier Transform results in spectra
that analysts can use to identify or quantify the
material.
An FTIR spectrum arises from interferograms
being ‘decoded’ into recognizable spectra
Patterns in spectra help identify the sample, since molecules exhibit specific IR fingerprints
Sampling and applications of FTIR

 Most commonly, the identification of

an unknown
 Quantitative information, such as
additives or contaminants
 Kinetic information through the growth
or decay of infrared absorptions
 Or more complex information when coupled with other devices such as TGA, GC or
Rheometry
8.5.8 Elemental Spectroscopy
Elemental spectroscopy is similar to FTIR, but instead of observing constituents at the
molecular level, it is able to report details about the oil at the elemental level.
The Elemental Spectroscopy test uses a spectrometer to measure the levels of specific chemical
elements present in oil. Two types of spectrometers are commonly used. Arc emission
spectrometers apply energy in the form of an electric arc to the sample. This excites the atoms
into vapor form, creating a spectrum where light is generated. Individual light frequencies in the
spectrum are measured and quantified to determine the presence and quantities of specific
elements present. The other common type of spectrometer is the ICP (inductively coupled
plasma) spectrometer. This operates on a similar principle, except that the energy is applied to
the sample by a plasma flame rather than an electric arc. Spectroscopy is not able to measure
solid particles larger then roughly 7 μm, which leaves this test blind to larger solid particles.
Operating Principle
 Ch 8

An oil sample is mixed first with a solvent and then with argon gas to form a fine mist. This
mist is introduced into a plasma flame. Elemental metals present in the sample will emit energy
in the form of light when introduced to the plasma. Each element emits light at known
wavelengths. By measuring the intensity of the light emitted at these known wavelengths the
calibrated instrument can determine the concentration in ppm for the metallic elements present
in the sample. ASTM method - D5185

8.6 Viscosity Grades

To simplify the classification of lubricants according to their application, viscosity grades were
introduced which are now internationally accepted. ISO viscosity grades apply to industrial
lubricants while SAE classifications apply to automotive engine and gear oils.
8.6.1 ISO Viscosity Grades
18 viscosity grades are laid down in the ISO standard 3448. Over the range from 2 to 2,500
mm2 s–1, these are the international standard number series E6 rounded to whole numbers
when the 6 numerals correspond to one power of ten (the first and fourth power of 10 are
reduced). The viscosity grades were also adopted into or added to national standards such as
ASTM or DIN.Viscosity grades are not used for all industrial lubricants. Particularly oils for
chip- forming and chip-less metalworking processes are not classified in this way. Apart from
the viscosity grades, ISO 3448 defines tolerances as well as median viscosities.
8.6.2 Other viscosity grades
 Ch 8

Automotive Gear Oils

Specific SAE viscosity grades have been created for automotive gearbox, axle and differential
oils. Compared with engine oils, the low temperature behavior of these oils is more heavily
weighted in that a single maximum dynamic viscosity figure and the corresponding maximum
temperatures are determined for a number of viscosity grades.
Industrial Gear Oils
AGMA (American Gear Manufacturers Association) defines 9 viscosity ranges for industrial
gear oils.
Viscosity Grades for Base Oils
Mineral base oils are traditionally classified according to Saybolt Universal Seconds
(SUS). A 150 N base oil shows a viscosity of 150 SUS at 100 _F.
Engine Oils
To define the viscosity of engine oils, two or three viscosity thresholds were selected to define
flow properties at low temperatures and to define a minimum viscosity at high temperatures.
Maximum viscosity at low temperature should ensure the rapid oil circulation to all lubrication
points and permit a sufficiently higher cranking speed for starting and the minimum viscosity at
100 _C should ensure that adequate lubrication of the bearings occurs at high temperatures.
Although the classification system was introduced by the Society of Automotive Engineers
(SAE) together with the American Society for Testing and Materials (ASTM), it is used
throughout the world and has been adopted into all national standards. Low temperature
viscosity is measured as dynamic viscosity with a specially constructed rotational viscosimeter
(cold cranking simulator) Oils which only fit into one viscosity grade are known as monograde
oils. The V–
T behavior of such oils corresponds to that of conventional mineral oils without VI improvers.
Oils which cover two or more viscosity grades are multigrade oils and are
based on oils containing VI improvers or base oils with high natural VI.
8.6.3 Viscosity index
Viscosity index is a
dimensionless number
that represents how the
viscosity of a hydraulic
fluid changes with
 Ch 8

temperature. (It also applies to fluids like engine and automatic transmission oils, gear
lubricants, and power-steering fluids.) The greater the viscosity index (VI), the smaller the
change in fluid viscosity for a given change in temperature, and vice versa. Thus, a fluid with a
low VI will experience a relatively large swing in viscosity as temperatures change. High-VI
fluids, in contrast, are less affected by temperature changes. Typical mineral-oil fluids used in
hydraulics have a VI of around 100, although products range from below 100 to well beyond
200.The best oils with the highest VIs remain stable and don’t vary much in viscosity over a
wide temperature range. That, in turn, means consistent, high performance from a machine as
shown in figure ..Standard ASTM D2270 calculates VI in part by measuring a fluid’s kinematic
viscosity at 40° and 100° C. Highly refined mineral oils with few contaminants tend to have
higher VIs, all things being equal. Synthetic oils usually have a higher VI than do mineral oils.

8.7 Motor Oil Viscosity

The viscosity rating of a motor oil is determined in a laboratory by a Society of Automotive
Engineers (SAE) test procedure. The viscosity of the oil is measured and given a number, which
some people also refer to as the "weight" (thickness) of the oil. The lower the viscosity rating or
weight, the thinner the oil. The higher the viscosity rating, the thicker the oil. Viscosity ratings
for commonly used motor oils typically range from 0 up to 50. With multi-viscosity oils, a "W"
after the number stands for "Winter" grade oil. The numeric value of the first number
(example 5W-20) is a measure of the pour point of the oil expressed in degrees Celsius when
the oil is cold. The rating is determined in a lab using a cold crank simulator and mini-rotary
viscometer test. The oil weight is its viscosity index at 100 degrees C (the boiling point of
water).
Low viscosity motor oils that pour easily at low temperatures typically have a "0W", "5W" or
"10W" rating. There are also "15W" and "20W" grade multi-weight motor oils.
Higher viscosity motor oils that are thicker and better suited for high temperature operation.
These may be multi-grade oils or single weight oils such as SAE 30, 40 or 50. Single weight
oils are no longer used in late model automotive engines, but may be required for use in some
 Ch 8

vintage and antique engines. Straight SAE 30 oil is often specified for small air-cooled engines
in lawnmowers, garden tractors, portable generators and gas-powered chain saws.
8.7.1Multi-Viscosity Motor Oils
Most modern motor oils are formulated from various grades of oil so the oil will have the best
characteristics of both thick and thin viscosity oils. Multi-viscosity oils flow well at low
temperature for easier starting yet retain enough thickness and film strength at high temperature
to provide adequate film strength and lubrication.
A thin oil such as a straight SAE 10W oil designed for cold weather use would probably not
provide adequate lubrication for hot weather, high speed driving. Likewise, a thicker high
temperature oil such as SAE 30 or 40 would probably become so stiff at sub-zero temperatures
the engine might not crank fast enough to
start.
Multi-viscosity grade oils have a wide
viscosity range which is indicated by a
two-number rating. Popular multi-viscosity
grades today include 0W-20, 0W-40, 5W-
20, 5W-30, 10W-30, 10W-40 and 20W-50.
The first number with the "W" refers to the oil's cold temperature viscosity rating, while the
second number refers to the oil's high temperature viscosity rating.
Note: Motor oils that have a wider range viscosity rating such a 5W-30, 5W-40 and 0W-40 are
blended with more base stocks and additives. Because of this, it may be harder for a wider range
oil to remain in grade as the miles accumulate (which is why GM does NOT recommend using
10W-40 motor oil. They say it breaks down too quickly and does not say in grade as long as
10W-30 or 5W-30. Also, an oil with a lower winter rating like 0W-20 or 5W-20 will contain a
higher percentage of thinner base stock oil (which is typically a synthetic oil). This requires
more viscosity improver additive to achieve as the same high temperature rating as a 10W-30,
10W-40 or straight 30 or 40 weight oil.
 Ch 8

8.7.2 ENGINE OIL SPECIFICATIONS

Specifications are important as these indicate the performance of the oil and whether they have
met or passed the latest tests, or whether the formulation is effectively obsolete or out of date.
There are two specifications that you should look for on any oil bottle and these are API
(American Petroleum Institute) and ACEA (Association des Constructeurs Europeens
d'Automobiles) all good oils should contain both of these, and an understanding of what they
mean is important.

API
This is the more basic as it is split (for passenger cars) into two catagories. S = Petrol and C =
Diesel, most oils carry both petrol (S) and diesel (C) specifications.
The following table shows how up to date the specifications the oil are:
PETROL
SG - Introduced 1989 - has much more active dispersant to combat black sludge.
SH - Introduced 1993 - has same engine tests as SG, but includes phosphorus limit 0.12%,
together with control of foam, volatility and shear stability.
SJ - Introduced 1996 - has the same engine tests as SG/SH, but phosphorus limit 0.10%
together with variation on volatility limits
SL - Introduced 2001 - all new engine tests reflective of modern engine designs meeting
current emissions standards
 Ch 8

SM - Introduced November 2004 - improved oxidation resistance, deposit protection and wear
protection, also better low temperature performance over the life of the oil compared to
previous categories. Note:All specifications prior to SL are now obsolete and, although suitable
for some older vehicles, are more than 10 years old, and do not provide the same level of
performance or protection as the more up to date SL and SM specifications.
DIESEL
CD - Introduced 1955 - international standard for turbo diesel engine oils for many years, uses
single cylinder test engine only
CE - Introduced 1984 - improved control of oil consumption, oil thickening, piston deposits
and wear, uses additional multi cylinder test engines
CF4 - Introduced 1990 - further improvements in control of oil consumption and piston
deposits, uses low emission test engine
CF - Introduced 1994 - modernised version of CD, reverts to single cylinder low emission test
engine. Intended for certain indirect injection engines.
CF2 - Introduced 1994 - defines effective control of cylinder deposits and ring face scuffing,
intended for 2 stroke diesel engines
CG4 - Introduced 1994 - development of CF4 giving improved control of piston deposits,
wear, oxidation stability and soot entrainment. Uses low sulphur diesel fuel in engine tests
CH4 - Introduced 1998 - development of CG4, giving further improvements in control of soot
related wear and piston deposits, uses more comprehensive engine test program to include low
and high sulphur fuels
CI4 Introduced 2002 - developed to meet 2004 emission standards, may be used where EGR
( exhaust gas recirculation ) systems are fitted and with fuel containing up to 0.5 % sulphur.
May be used where API CD, CE, CF4, CG4 and CH4 oils are specified.
8.7.3 Automotive Brake Fluids and hydraulic oil
Automotive brake fluids are mainly used in the brake and clutch systems of road vehicles. They
transmit the pressure applied on the master brake cylinder via the brake pedal to the wheel
brake cylinders of road vehicles. Brake fluids used in hydraulically operated clutches transmit
the pressure applied on the master cylinder to the slave cylinder of the clutch system.
Viscosity is an essential parameter for the safety of a road vehicle as it directly influences the
operation and behavior of the brake system and/or the clutch. Therefore, these liquids must
fulfill specifications mainly at -40 °C and +100 °C, liquids used for military purposes at -55 °C
 Ch 8

and + 100 °C. Most producers also state values at + 40 °C and give the viscosity index. There
are three main types of brake fluids which are classified by their different chemical base:
1. Poly glycol ether / borate ester - DOT 3, DOT 4 types, DOT 5.1 types (the main
difference between these three types is - simply put - a different ratio of glycol and
borate ester and the amount of additives)
2. Silicone oil - DOT 5 types
3. Mineral oil – LHM
Brake fluid performances specifications
DOT 3 brake fluid
DOT 3 brake fluids are usually glycol ether based, but that is not because they are required to
be. It doesn’t precise the chemical composition of brake fluids. It simply dictates the fluid
physical properties. However, brake fluid industry has, by consensus, decreed that glycol ether
fluids are the most economical way to meet the requirements.
- DOT 4 brake fluids
DOT 4 brake fluids are also glycol ether based but they contain in addition borate esters in
order to improve some properties including increased dry and wet boiling points. DOT 4 brake
fluids have a more stable and higher boiling point during the early portion of their life, but
ironically once the fluid does actually begin to absorb water its boiling point will typically fall
off more rapidly than a typical DOT 3 brake fluid. By FMVSS116 standards, DOT 4 brake
fluids must have a minimum dry boiling point of 230°C and a minimum wet boiling point of
155°C.
- DOT 5.1 brake fluids
Historically, DOT 5-level performance (specifically boiling points and viscosity) could only be
achieved with silicone-based fluids. However, modern compositions have created glycol ether-
based fluids which now meet DOT 5 brake fluids requirements in these key areas.
Consequently, the DOT 5.1 brake fluids level was created to differentiate these two very
different chemistries which both meet DOT 5 brake fluids performance requirements.
- DOT 5 brake fluids
DOT 5 brake fluids have been developed for military applications, i.e. for vehicles that could
stand in storage for years, without maintenance and had to perform immediately when required.
They are superior in terms of boiling point retention and corrosion/conservation properties,
since they don’t absorb water. Up to now car manufacturers have not moved to use silicone
fluids for first fill regular cars for two main reasons:
 Ch 8

- Low air solubility, which leads to a spongy brake pedal feel.

- No water solubility, moisture which enters in the system can be corrosive and can freeze at
low temperatures or boil at high temperatures.
LHM
is recommended for service re-fill or top-up of hydraulic suspensions
systems, braking and power steering systems where the manufacturer calls for a
mineral based LHM fluid. LHM Plus is also suitable for other vehicle suspension systems and
in vehicles requiring mineral brake fluid such as Jaguar (HSMO), Rolls Royce and in some
tractors.LHM Plus can also be used as fork oil for motorcycles requiring a Fork oil between 5 &
10. It can also or light hydraulic oil

8.8 Machinery Oil

Machinery Oil have good inherent oxidation and thermal stability, noncorrosive, excellent
ability to separate from water and high viscosity index with light color.
8.8.1 Application / Composition of Machinery Oil :
Machinery Oil are generally suggested for non-critical all loss lubrication systems and other
oiling applications by hand for lubrication of bearings, open gears, light loaded slides and guide
ways of machine tools. They are widely used in textile mills for lubrication of looms and other
equipment's which do not require additive containing oils. Machinery oil are also recommended
for flushing of inaccessible internal surfaces of various automotive and industrial equipment's.
GRADES: VG 22, 32, 46, 68, 100, 150, 220, 320 & 460

Kinematic Viscosity Density

ISO Equivalent
Grade SAE Grade kg/m3
40 oC 100 oC

32 10W 32 5.4 857

46 20 46 6.8 861

68 20W 68 8.7 865 INDUSTRIAL GEAR

OIL
100 30 100 11.4 869
RANGE ISO 68, 100,
150 40 150 15 872
150, 220, 320, 460, 680
220 50 220 19.4 875
& 800
 Ch 8

Machine Tool Oils

Petroleum-Based Machine Oils
No. 0 is a light 5W type of oil for extremely high speed applications (up to 25,000 rpm) such as
spindle lubrication and grinder arbor bearings. It also makes an excellent lamination oil for
progressive stamping operations.
No. 1 is a light 10W type of oil for textile spindles, grinder arbors and other types of bearings
operating at high speeds. An excellent cold test makes this an ideal extreme low temperature
hydraulic fluid.
No. 2 is a 20 weight type oil for light general oil applications. Excellent for ring oiled bearings,
wick feeds, bottle and airline oilers, oil cups, light circulating systems, enclosed chains, etc.
No. 3 is a 30 weight oil for similar applications as No. 3-V, shown below, where a grade
heavier oil is required. Also excellent wherever a combination way lubricant and an 80 gear oil
are recommended.

No. 3-V is a 20 weight oil specially designed for combination machine tool way lubrication and
bearing lubrication. Excellent for ring oiled bearings, oil cups, circulating systems and Servo
Controlled Machine Tools. Meets the majority of machine tool manufacturers'
recommendations for general machine oil type lubrication. Contains a tackiness additive.

8.8.2 VISCOMETER
Viscometers are used to measure viscosity in most circumstances. They work for fluids whose
viscosity does not change under varying flow conditions; rheometers must be used when the
viscosity does change with flow conditions. The measure of the resistance is taken by
measuring the drag resistance during relative motion through the fluid. There are several types
of viscometers available, some for use in laboratories and others used
as portable viscosity testers
(see the figure).
 Ch 8

8.9 SAMPLE LOCATIONS

A representative oil sample should be taken at the same location using the same method each
time, as the following table indicates:
Equipment Sampling Point
 Through dipstick holder
Engine Crankcases  Sample valve on crankcase sump wall
 Return line before filter
 Sampling Valve on return line before filter
Hydraulic Systems
 Reservoir- about mid point, away from reservoir walls
 Crankcase: about mid point away from crankcase walls
Compressors
 Return line after oil separator
 Sump: mid point. Avoid sump floor sludge and sidewall
Gearboxes
deposits
 Reservoir- mid point-keep away from sidewalls and baffle
plates
Turbine Systems
 Main bearing return line
 Secondary points- After bypass filtration system

8.10 SOLID LUBRICANTS

Oil and grease are commonly used in industry, but some applications may require a solid
lubricant. Graphite is one of the most common solid lubricants. Molybdenum disulfide particles
are common Solid lubricants. Boron nitride, tungsten disulfide and polytetrafluorethylene
(PTFE) are other solid lubricants as shown in figure (8.4).
For example, you can use graphite powder to lubricate a key or padlock. Teflon, another solid
 Ch 8

lubricant, is used for industrial applications as well as coating pots and pans to create non-stick
cooking surfaces, as shown in Figure (8.5).

Generally, solid lubricants have a higher resistance to temperature than other types of
lubricants. Even at high temperatures, solid lubricants remain stable and their properties do not
change. Solid lubricants also bond well with the surface material, forming a strong film that
prevents surface-to-surface contact.

8.11 CONDITION-BASED MAINTENANCE AND OIL ANALYSIS

The first instances of used oil analysis date back to the early 1940s, done by the railway
companies in the western United States. Upon the purchase of new locomotives, technicians
used simple spectrographic equipment and physical tests to monitor locomotive engine oils.
When diesel locomotives replaced steam locomotives, the oil analysis technique became a
regular practice by railway companies. By the 1980s, oil analysis formed the basis of the
condition-based maintenance programs by most railway companies in North America.
The American Navy adopted spectrometric techniques to monitor jet engines on their aircrafts
in the mid-1950s. Around this time, Rolls Royce was also experimenting with oil analysis for
monitoring their jet turbines. The concept of oil analysis began to spread and programs were
implemented by the American Army and Air Force throughout the 1950s and early 1960s. It is
evident that the technology of oil analysis has been around for many years. Despite this, it
remained secondary to the vibration approach. Vibration analysis remained the principal
diagnostic technique of the condition-monitoring teams in many industries. The problem was
that numerous condition-monitoring teams were not aware of the power of oil analysis. Also, in
 Ch 8

many cases when companies did have personnel assigned to perform oil analysis, these people
did not interface with the vibration analysis condition-monitoring teams. Eventually, the 1990s
brought about a change in this negative trend. Many companies added oil analysis to vibration
monitoring to improve their condition-monitoring programs.
Strengths of the two techniques and the importance of them being used in conjunction. It
describes the effectiveness of each technique in a tabulated form and how their combined effect
is much greater. The table is shown below

Oil Vibration
Condition Correlation
Program Program
Lubrication analysis will /can detect an
Oil-lubricated Strong Strong infant failure condition. Vibration provides
antifriction bearings
strong late failure stage information
Oil-lubricated
Strong Mixed Wear debris will generate in the
journal/thrust
oil prior to a rub or looseness condition
bearings
Vibration program can detect an unbalance
Not
Machine unbalance Strong condition. Lube
applicable analysis will eventually see the
effect of increased bearing load
Water can lead to a rapid failure.
Not
Water in oil Strong It is unlikely that a random
applicable monthly vibration scan would
detect the abnormality
It makes economic sense to rely on vibration
monitoring for routine greased bearing
Greased bearings Mixed Strong analysis. Many lube labs do not have enough
experience with greased bearings to provide
reliable information
Actuators are important machinery in the
nuclear industry. Grease samples can be
Greased motor
Mixed Weak readily tested, but it can be difficult to obtain
operated
a representative sample. It can be hard to
valves
find these valves operating, making it
difficult to monitor with vibration techniques
Not
Shaft cracks Strong Vibration analysis can be very effective to
applicable monitor a cracked shaft
Vibration techniques can link a defect to a
Gear wear Strong Strong particular gear. Lube analysis can predict the
type of
failure mode
Alignment Not Strong Vibration program can detect a
misalignment condition. Lube analysis will
 Ch 8

applicable eventually see the effect of

increased/improper bearing load
Not
Lubricant condition Strong The lubricant can be a significant
monitoring applicable cause of failure
Vibration program can detect a resonance
Not
Resonance Strong condition. Lube
applicable analysis will eventually see the
effect
Root cause analysis Strong Strong Best when both programs work
together
8.11.1 OIL ANALYSIS
Oil analysis is a routine activity for analyzing oil health, oil contamination and machine wear.
In recent years, there has been widespread reported success with wear debris analysis for
detecting machine anomalies in stationary industrial lubrication oils and hydraulic fluids as
well.
Why Perform Oil Analysis
An obvious reason to perform oil analysis is to understand the condition of the oil, but it is also
intended to help bring to light the condition of the machine from which the oil sample was
taken. There are three main categories of oil analysis: fluid properties, contamination and wear
debris.
Fluid Properties
This type of oil analysis focuses on identifying the oil’s current physical and chemical state as
well as on defining its remaining useful life (RUL). It is designed to answer questions such as:
 Does the sample match the specified oil identification?
 Is it the correct oil to use?
 Are the right additives active?
 Have additives been depleted?
 Has the viscosity shifted from the expected viscosity? If so, why?
 What is the oil’s RUL?
Contamination
By detecting the presence of destructive contaminants and narrowing down their probable
sources (internal or external), oil analysis can help answer questions such as:

 Is the oil clean?

 What types of contaminants are in the oil?
 Ch 8

 Where are contaminants originating?

 Are there signs of other types of lubricants?
 Is there any indication of internal leakage?
Wear Debris
This form of oil analysis is about determining the presence and identification of particles
produced as a result of mechanical wear, corrosion or other machine surface degradation. It
answers a number of questions relating to wear, including:

 Is the machine degrading abnormally?

 Is wear debris produced?
 From which internal component is the wear likely originating?
 What is the wear mode and cause?
 How severe is the wear condition?

There are many explanations for this but much of it has to do with a rapidly growing base of
knowledge coming from the burgeoning oil analysis and tribology community. Table below
provides a simplistic overview of the application of oil analysis, specifically wear debris
analysis, in machine health monitoring.

Application of lube oil analysis.

Root Cause Incipient Failure Problem Failure Post Mortem
Detection Detection diagnosis Prognosis
What the
When an early- nature of a That a machine
When something
What Oil stage fault exists problem is that is basically What caused the
is occurring that
Analysis Is that is otherwise has been worn out and machine to fail?
can lead to failure
Telling going unnoticed - observed. needs to be Could it have
root cause
You e.g., abnormal Where is it fixed or been avoided?
conditions
wear coming replaced
from?
Particles, Wear debris Wear debris Elemental Analytical
What You moisture density elemental analysis ferrography,
Monitor viscosity, temperature, analysis analytical ferrous density,
temperature particle, count, moisture, ferrography elemental
 Ch 8

additives, moisture, particle count, vibration analysis

oxidation elemental analysis temperature analysis
TAN/TBN, soot viscosity,analytical viscosity, temperature
glycol, FTIR, ferrography, analytical analysis
RBOT vibration
ferrography
Maintenance
Proactive Predictive Predictive Breakdown Breakdown
Mode

8.11.2 Oil Sampling Frequency

The objective of oil analysis, like condition monitoring in general, is to find bad news. The
objective of proactive maintenance is not to have any bad news to find. The machine and oil
will generally give off silent alarms when problems first occur. In time, as the severity
increases, these alarms are no longer silent and even the most rudimentary condition monitoring
methods can reveal the problem. Table 8-2 conservatively recommended intervals based on
operating hours for different machine classes. Proper selection of sampling frequencies
considers machine and application-specific criteria such as those below:

Penalty of Failure
Safety, downtime costs, repair costs, and general business interruption costs must be
considered.
Fluid Environment Severity
Operation and fluid environment conditions influence both frequency and rate of failure
progression. Influencing factore include pressures, loads, temperature, speed, contaminant
ingression, and system duty.
Machine Age
In general, the chances of failure are greatest for machines going through break-in and after
major repairs and overhauls. Likewise, the risk increases as a machine approaches the end of its
expected life.
Oil Age
Infant oils and old oils are at highest risk. Infant oils are those that have just been changed and
are less than 10% into expected life. Old oils are showing trends that suggest additive depletion,
the onset of oxidation, or high levels of contamination.
Table 8-2. Conservatively recommended oil sampling intervals for different equipment categories.
Machine Hours
Diesel engines - off-highway 150
 Ch 8

Transmissions, differentials, final drives 300

Hydraulics - mobile equipment 200
Gas turbines - industrial 500
Steam turbines 500
Air/gas compressors 500
Chillers 500
Gear boxes - high speed, heavy duty 300
Gear boxes - low speed, heavy duty 1000
Bearings - journal and rolling element 500
Aviation reciprocating engines 25-50
Aviation gas turbines 100
Aviation gear boxes 100-200
Aviation hydraulics 100-200

8.11.3 COMMON OIL ANALYSIS PRACTICES

There are several ways to perform in-service oil analysis. The most common ones are
outsourcing to an off-site laboratory, using an on-site laboratory, or performing route-based oil
analysis using portable tools.

Off-site Laboratories
Outsourcing oil analysis to an off-site oil laboratory is probably the oldest and most common
approach in the industry. Every year millions of oil samples are analyzed by laboratories
worldwide. A typical process flow involves a user collecting oil samples from equipment and
shipping them to a lab, lab technicians performing requested oil analysis tests, and an analyst
reviewing the data and providing recommendations. The report is then sent to the management
team for review and if needed, maintenance actions are performed taking into account the
recommendation and maintenance schedule (Figure 8-6).
 Ch 8

The benefit of this approach is that an off-site commercial laboratory will have a complete set
of oil analysis instruments and experienced technicians to run the tests and an experienced
analyst to review the data. The ramp up time is faster and the up-front capital investment is
relatively low. Figure (8.a) shows a typical laboratory report with all the measurement data
regarding oil condition and recommendations from the lab.
On-site Laboratories
Modern predictive maintenance practices require real-time data and immediate feedback so
reliability engineers can make maintenance decisions on the spot. Advances in oil analysis
instrumentation technologies also make it possible for reliability engineers to perform on-site
oil analysis without years of training or deep knowledge of oil chemistry and testing. There are
two common approaches to develop an on-site oil lab. Depending on the industries and
applications one can either set up a Trivector minilab or an Industrial Tribology Lab (ITL).

Trivector™ Minilab
A Trivector™ Minilab (Figure 8.8) was designed to meet the needs of industrial reliability
engineers to monitor oil conditions of rotating equipment such as gearboxes, compressors, and
turbines. It is the most cost effective approach for a comprehensive on-site oil analysis test lab.
It provides oil parameters indicative of machine wear, contamination and degradation
(chemistry) and plots the information on an innovative and straightforward Trivector™ chart.
 Ch 8

Fig. 8: a A typical oil analysis report from an oil lab

In addition, the oil condition information can then be integrated into other predictive
maintenance techniques such as vibration and thermal imaging which provide a comprehensive
overview of machine condition. The comprehensive Minilab includes tests such as dielectric
(oil degradation), water contamination, ferrous particles, particle count, viscosity and wear
debris analysis. It is easy to use and the entire test suite can be completed in less than 10
minutes.
 Ch 8

Fig. 8: 3 Trivector™ Minilab and Trivector™ plot

Industrial Tribology Lab (ITL)

A total Industrial Tribology Lab (ITL) contains a complete set of oil analysis instruments
suitable for performing the most demanding in-service oil analysis tasks commonly performed
in a commercial laboratory (Figure 8.b). However, the instruments in an ITL may be different
from a high volume commercial lab. It is designed for small footprint (suitable for on-site or in
a trailer), no sample preparation (suitable for reliability professionals), low consumable cost,
low waste stream, and ease of use. In fact, the original ITL concept was designed for military
applications where the tests are performed by soldiers in the field and where ease of use is a
must. The ITL is configurable based on the types of tests required. It is commonly used for
remote mining sites, railway repair depot, shipboard, or the central lab in an industrial plant.
The core instrumentation of an ITL includes a RDE Optical Emission Spectrometer (OES), a
direct imaging particle analyzer based on LaserNet Fines technology, a temperature controlled
viscometer, and an infrared spectrometer and information management software (see Figure
8.c).

Fig. 8: b Example of an ITL configuration Fig. 8: 4 Minimum ITL configuration

8.11.4 Oil test international parameters

 Ch 8

ASTM’s Crude Oil Proficiency Testing Program provides laboratories with a statistical quality
assurance (SQA) tool, enabling them to compare, improve, and maintain, a high level of
performance in the use of ASTM methods with other laboratories worldwide.

D664 Acid Number - Total

D6560 Asphaltenes
D1298, D5002, D287 Density, Relative Density or API Gravity
D7169 High Temperature Simulated Distillation
D5708, D5863 Metals, (Vanadium, Nickel, Iron)
D4530 Micro Carbon Residue
D4629, D5762 Nitrogen, Total
D97, D5853 Pour Point
D323, D5191, D6377 Reid Vapor Pressure
D3230, D6470 Salt
D473, D4807 Sediment
D2622, D4294 Sulfur
D445 Viscosity, Kinematic
D4006, D4928, D4377, D4007 Water

8.12 Basics of Selecting a Lubricant

 What is the application? What type of action does it have to perform?
 What is the operating atmosphere?
 What are the contaminants and how severe are they?
 Is metal-to-metal contact likely? Are additives needed?
 In noise level important?
 If the application is a rolling element bearing at normal speeds and loads, then viscosity
is the key.
 If the application involves very heavy loads, sliding, or very slow speeds, then the key is
the anti-wear additive film.
 Ch 8

 How well can the area be sealed, i.e., would oil leakage be likely?
 Conditions such as moisture, atmospheric contamination, and a desire for long life,
require special additives.
 Ch 8

CHAPTER 9
ROTATING EQUIPMENT TYPES AND THEIR FAULT
9.1 INTRODUCTION
Rotating Equipment is defined as equipment that moves liquids, solids or gases through a system
of drivers, driven components, transmission devices and auxiliary equipment. Rotating
Equipment can be found in applications across the process industries spectrum. Typical
applications include steam turbines, gas turbines and compressors. Steam Turbines and Gas
Turbines can be used for generation, or can act as drivers for other pieces of rotating equipment
such as fans, blowers, pumps, or compressors.
Driver component
Electric motor
Turbine
Combustion engine
Hydraulic drives
Intermediate component
Coupling
Gears
Chains, Belt and pulley
Driven component
Pump
Fan
Compressors
9.1.1 Electrical Motor
The motor or an electrical motor is a device that has brought about one of the biggest
advancements in the fields of engineering and technology ever since the invention of electricity.
A motor is nothing but an electro-mechanical device that converts electrical energy to
mechanical energy. It's because of motors, life is what it is today in the 21st century. Without
motor we had still been living in Sir Thomas Edison’s Era where the only purpose of electricity
would have been to glow bulbs. There are different types of motor have been developed for
 Ch 8

different specific purposes. In simple words we can say a device that produces rotational force is
a motor. The very basic principal of functioning of an electrical motor lies on the fact that force
is experienced in the direction perpendicular to magnetic field and the current, when field
and current are made to interact with each other.
Classification or Types of Motor
The primary classification of motor or types of motor can be tabulated as shown below,

AC motors generally deliver greater power and efficiency than their DC counterparts while DC
motors are easier to control. Of course, these are generalizations that are constantly being
challenged by new technologies and advanced scientific and engineering developments.
DC- MOTOR
These motors continue to be the best solution for many industrial applications, particularly those
requiring constant torque across the motor’s entire speed range. Applications
DC motors are suitable for many applications – including conveyors,
turntables and others for which adjustable speed and constant or low-speed
 Ch 8

torque are required. They also work well in dynamic braking and reversing applications, which
are common in many industrial machines.
Popular DC motor designs include:
Permanent magnet
Brushless
Shunt
Series
Compound wound or stabilized shunt

Stator
● Generates a stationary magnetic field that surrounds the
rotor, this field is generated by coils or permanent magnets.
Rotor
- Made up of one or more windings
Armature
Commutator

Brushes and Commutator

 Ch 8

DC Motors types

1. Shunt DC motor: The rotor and stator windings are connected in parallel.
2. Separately Excited motor: The rotor and stator are each connected from a different power
supply, this gives another degree of freedom for controlling the motor over the shunt.
3. Series motor: the stator and rotor windings are connected in series. Thus the torque is
proportional to I2 so it gives the highest torque per current ratio over all other dc motors.
It is therefore used in starter motors of cars and elevator motors
4. Permanent Magnet (PMDC) motors: The stator is a permanent magnet, so the motor is
smaller in size.
Disadvantage: only used for low torque applications

Advantages of DC motors:
• Speed control over a wide range both above and below the rated speed: The attractive
feature of the dc motor is that it offers the wide range of speed control both above and below the
rated speeds. This can be achieved in dc shunt motors by methods such as armature control
method and field control method. This is one of the main applications in which dc motors are
widely used in fine speed applications such as in rolling mills and in paper mills.
• High starting torque: dc series motors are termed as best suited drives for electrical
traction applications used for driving heavy loads in starting conditions. DC series motors will
have a staring torque as high as 500% compared to normal operating torque. Therefore dc series
motors are used in the applications such as in electric trains and cranes.
• Accurate steep less speed with constant torque: Constant torque drives is one such the drives
will have motor shaft torque constant over a given speed range. In such drives shaft power varies
with speed.
• Quick starting, stopping, reversing and acceleration
• Free from harmonics, reactive power consumption and many factors which makes dc motors
more advantageous compared to AC induction motors.
 Ch 8

Disadvantages of DC motors
1. Brush wear occurs, and it increases dramatically in low‐pressure environment. So they
cannot be used in artificial hearts. If used on aircraft, the brushes would need replacement
after one hour of operation.
2. Sparks from the brushes may cause explosion if the environment contains explosive
materials.
3. RF noise from the brushes may interfere with nearby t.v. sets, or electronic devices,..etc
Applications:
Some of the applications of dc motors are Steel mills, paper mills, cranes and elevators, electric
trains and much more etc.

DC Motor Trouble-Shooting

Problem Causes What To Do:

 Ch 8

Motor fails to  Motor is miswired.  Verify that the motor is wired correctly.
start upon initial  No output power from  Measure voltage coming from the controller.
installation. controller.  Replace fan guard.
 Motor damaged and the  Disassemble motor and see if the armature can be
fan guard realigned by reassembly.
 is contacting the cooling  Motor may have to be replaced.
fan.
 Motor is damaged and
the armature is rubbing
against the magnets.
Motor has been  Fuse or circuit breaker is  Replace the fuse or reset the breaker.
running, then tripped  Disassemble motor and inspect the armature for a burnt
fails to start.  Armature is shorted or coil. Inspect the commutator for burnt bars. If this
went to ground. Motor condition exists, the motor needs to be replaced. To test,
may make a humming set your OHM meter to the RX1 scale, touch probes to
noise and the circuit bars 180 degrees apart all around the commutator. The
breaker or fuse will trip. reading should be equal.
 The brushes may be  Inspect the brushes to make sure that they are still making
worn down too far and contact with the commutator. Refer to manufacturer’s
no longer make contract recommended brush length chart.
with the commutator.  Verify voltage is coming out of the controller
 Controller may be
defective.
Motor runs but  Load had increased.  Verify the load has not changed. Measure the amp draw
loses power.  Motor controller not of motor against the full load amp rating of the motor. If
properly set. the amp draw is higher then rating, motor is undersized
 Motor may have an open for application.
connection.  Check controller manual for adjustments. The torque
 Brushes may not be and/or IR compensation settings may need adjustment.
seated properly or worn  Inspect the armature for an open connection.
beyond their useful  Verify that the brushes are properly seated and measure
length. their length against the recommended brush length chart.
 Motor takes Motor controller not  The accel trim pot of the controller should be adjusted.
too long to properly set.  Verify brush length
accelerate  Brushes are worn..  Inspect bearings for proper service. Noisy or rough bearings
 Bearings may be defective. should be replaced.
Motor runs in Incorrect wiring.  Interchange the two motor leads.
the wrong
direction.
Motor runs ok  Suspect a burr on the  Stone the armature commutator with a commutator stone
commutator. to remove burr.
but has a
Noise.
 Ch 8

AC-MOTOR
An AC Motor converts electric energy into mechanical energy. An AC Motor uses alternating
current - in other words, the direction of current flow changes periodically. In the case of
common AC that is used throughout most of the United States, the current flow changes
direction 120 times every second. This current is referred to as "60 cycle AC" or "60 Hertz AC"
in honor of Mr. Hertz who first conceived the AC current concept. Another characteristic of
current flow is that it can vary in quantity.
 Ch 8

 Two main types of AC motors- depending on the type of rotor used.

- Asynchronous motor
- Synchronous motor

Advantages of AC Motor
 Low cost
 Speed variation
 High power factor
 Reliable operation

AC motor types
Induction Motor: So called because voltage is induced in the rotor (thus no need for brushes),
but for this to happen, the rotor must rotate at a lower speed than the magnetic field to allow for
the existence of an induced voltage. Therefore a new term is needed to describe the induction
motor: the slip.
Synchronous Motor: So called because rotor tries to line up with the rotating magnetic field
in the stator. It has the stator of an induction motor, and the rotor of a dc motor.

Disadvantages of AC Motor
 Inability to operate at low speeds
 Poor positioning control
 AC will produce eddy currents due to the production of a back emf.

Application:-
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Lath machine, Compressors, centrifugal pump, in agriculture etc. where cost is most
important factor

9.3 INTERNAL COMBUSTION ENGINE

9.3.1 Heat engine

Heat engine it can be defined as any engine that converts thermal energy to mechanical work
output. Examples of heat engines include: steam engine, diesel engine, and gasoline (petrol)
engine. On the basis of how thermal energy is being delivered to working fluid of the heat
engine, heat engine can be classified as an internal combustion engine and external combustion
engine.
Internal combustion engine
In an Internal combustion engine, combustion takes place within working fluid of the engine,
thus fluid gets contaminated with combustion products.
Petrol engine is an example of internal combustion engine, where the working fluid is a mixture
of air and fuel.
Internal combustion engines may be classified as :
 Ch 8

Spark Ignition engines.

Compression Ignition engines.
Spark ignition engine (SI engine): An engine in which the combustion process in each cycle is
started by use of an external spark.
Compression ignition engine (CI engine): An engine in which the combustion process starts
when the air-fuel mixture self-ignites due to high temperature in the combustion chamber caused
by high compression. Spark ignition and Compression Ignition engine operate on either a four
stroke cycle or a two stroke cycle.
Four stroke cycle : It has four piston strokes over two revolutions for each cycle.
Two stroke cycle : It has two piston strokes over one revolution for each cycle.
External combustion engine
In an External combustion engine, working fluid gets energy using boilers by burning fossil
fuels or any other fuel, thus the working fluid does not come in contact with combustion
products.
Steam engine is an example of external combustion engine, where the working fluid is steam.

9.3.2 Internal combustion Engine Components

I.C. Engine components shown in figure1 and figure2 are defined as follows:
Block: Body of the engine containing cylinders, made of cast iron or aluminium.
Cylinder: The circular cylinders in the engine block in which the pistons reciprocate back and
forth.
Head: The piece which closes the end of the cylinders, usually containing part of the clearance
volume of the combustion chamber.
Combustion chamber: The end of the cylinder between the head and the piston face where
combustion occurs. The size of combustion chamber continuously changes from minimum
volume when the piston is at TDC to a maximum volume when the piston at BDC.
Crankshaft: Rotating shaft through which engine work output is supplied to external systems.
The crankshaft is connected to the engine block with the main bearings.
 Ch 8

It is rotated by the reciprocating pistons through the connecting rods connected to the crankshaft,
offset from the axis of rotation. This offset is sometimes called crank throw or crank radius.
Connecting rod: Rod connecting the piston with the rotating crankshaft, usually made of steel
or alloy forging in most engines but may be aluminum in some small engines.
Piston rings: Metal rings that fit into circumferential grooves around the piston and form a
sliding surface against the cylinder walls.
Camshaft: Rotating shaft used to push open valves at the proper time in the engine cycle, either
directly or through mechanical or hydraulic linkage (push rods, rocker arms, tappets).
Push rods: The mechanical linkage between the camshaft and valves on overhead valve engines
with the camshaft in the crankcase.
Crankcase: Part of the engine block surrounding the crankshaft.
In many engines the oil pan makes up part of the crankcase housing.
Exhaust manifold: Piping system which carries exhaust gases away from the engine cylinders,
usually made of cast iron.
Intake manifold: Piping system which delivers incoming air to the cylinders, usually made of
cast metal, plastic, or composite material.
In most SI engines, fuel is added to the air in the intake manifold system either by fuel injectors
or with a carburetor. The individual pipe to a single cylinder is called runner.
Carburetor : A device which meters the proper amount of fuel into the air flow by means of
pressure differential. For many decades it was the basic fuel metering system on all automobile
(and other) engines.
Spark plug : Electrical device used to initiate combustion in an SI engine by creating high
voltage discharge across an electrode gap.
 Ch 8

9.3.3 Combustion process

The operating cycle of a conventional spark ignition engine is illustrated in Figure (9.1). The
basic principle of operation is that a piston moves up and down in a cylinder, transmitting its
motion through a connecting rod to the crankshaft which drives the vehicle. The most common
engine cycle involves four strokes:
Intake. The descending piston draws a mixture of fuel and air through the open
intake valve.
Compression. The intake valve is closed and the rising piston compresses the fuelair
mixture. Near the top of the stroke, the spark plug is fired, igniting the mixture.
3. Expansion. The burning mixture expands, driving the piston down and delivering
power.
4. Exhaust. The exhaust valve opens and the piston rises, expelling the burned gas
from the cylinder.

9.3.4 Major engine fault

Major diagnosis areas
 Oil consumption
 Engine noises
 Oil pressure problems
 Cooling system problems
 Electric problems
 Engine overheating
Causes of engine problems
 Normal wear
 Lack of maintenance
 Previous work
 Problems in other areas
9.3.5 Diagnostic tool for engine fault
On-board diagnostics (OBD)
 Ch 8

• Reports electronically when something is not operating correctly.

• Gathers information from sensors and compares it with stored specifications.
• When a specified fault occurs, the driver is alerted by a light on the dashboard.
Scan tools
scan tools ready to read
diagnostic trouble codes.

OBD 2
All vehicles must have the same data link connector for a scan tool.
Any OBD 2 scan tool should be able to connect to it.The data link connector must be easily
accessible near the driver’s seat.

OBD 2 connector located in lower dash area

What OBD 2 codes mean

 Ch 8

9.4 Turbine
Is a rotary mechanical device that extracts energy from a fluid flow and converts it into
useful work. The work produced by a turbine can be used for generating electrical power when
combined with a generator or producing thrust, as in the case of jet engines. A turbine is
a turbomachine with at least one moving part called a rotor assembly, which is a shaft or drum
with blades attached. Moving fluid acts on the blades so that they move and impart rotational
energy to the rotor. Early turbine examples are windmills and waterwheels. Gas, steam,
and water turbines have a casing around the blades that contains and controls the working fluid.
Types of turbines and its utilization
WORKING PRINCIPLE:
 Ch 8

The working principle is very much simple.

• When the fluid strikes the blades of the turbine, the blades are displaced, which produces
rotational energy.
• When the turbine shaft is directly coupled to an electric generotor mechanical energy is
converted into electrical energy.
• This electrical power is known as hydroelectric power.

Basic types of turbines

• Water Turbine
• Steam Turbine
• Gas Turbine
• Wind Turbine
Although the same principles apply to all turbines, their specific
designs differ sufficiently to merit separate descriptions.
 Ch 8

Water turbines

Applications
• Pelton wheels are the preferred turbine for hydro-power, when the available water source
has relatively high hydraulic head at low flow rates.
• Pelton wheels are made in all sizes. For maximum power and efficiency, the wheel and
turbine system is designed such that the water jet velocity is twice the velocity of the
rotating buckets.
• There exist in multi ton Pelton wheels mounted on vertical oil
pad bearing in hydroelectric power.

Cross-flow Turbine
• It is developed by Anthony Michel, in 1903 and is used for low heads. (10–70 meters)
• As with a water wheel, the water is admitted at the turbine's edge. After passing the
runner, it leaves on the opposite side.
• Going through the runner twice provides additional efficiency.
 Ch 8

• The cross-flow turbine is a low-speed machine that is well suited for locations with a low
head but high flow.

Applications
• The peak efficiency of a cross-flow turbine is somewhat less than a kaplon, francis or
pelton turbine.
• It has a low price, and good regulation.
• As water going through the runner twice, provides additional efficiency.
• Cross-flow turbines are mostly used in mini and micro hydropower units.
Its good point as When the water leaves the runner, it also helps clean the runner of small debris
and pollution.

Reaction Turbine
• In a reaction turbine, forces driving the rotor are achieved by the reaction of an
accelerating water flow in the runner while the pressure drops. The reaction principle can
be observed in a rotary lawn sprinkler where the emerging jet drives the rotor in the
opposite direction.
• In reaction turbines torque developed by reacting to the fluid's pressure. The pressure of
the fluid
changes as it passes through the
 Ch 8

turbine rotor blades

Types of Reaction Turbines

• Kaplan Turbine
• Francis Turbine
• Kinetic Turbine

Steam Turbine
 Ch 8

• A steam turbine is a device that extracts thermal energy from pressurized steam and uses
it to do mechanical work on a rotating output shaft.
• This turbine was invented by Sir Charles Parsons in 1884
• Steam turbines are used for the generation of electricity in thermal power plants, such as
plants using coal fuel oil or nuclear fuel.
• Steam turbines are made in a variety of sizes ranging from small to large . used as
mechanical drives for pumps, compressors and other shaft driven equipment, used to
generate electricity (upto1.5 GW) .

Applications
• Fuel used are biomasses, coal etc.
• Modern steam turbines has automatic control system.
• steam heated processes in plants and factories.
• steam driven turbines in electric power plants.
• Because the turbine generates rotary motion, it is particularly suited to be used to drive
an electrical generator about 90% of all electricity generation in the United States (1996)
 Ch 8

Gas turbine
A gas turbine, also called a combustion turbine, is a type of internal combustion engine.
• Fresh atmospheric air flows through a compressor that brings it to higher pressure.
• Energy is then added by spraying fuel into the air and igniting it so the combustion
generates a high-temperature flow.
• Gas turbines are used to power aircraft, trains, ships, electrical generators or even tanks.

Wind Turbine
• A wind turbine is a device that converts kinetic energy from the wind into electrical
power .
• Conventional horizontal axis turbines can be divided into three components:.
• The rotor component , includes the blades for converting wind energy to low speed
rotational energy.
• The generator component, includes the electrical generator, the control electronics, and
most likely a gearbox
• The structural support component, includes the tower etc
• Wind turbine used for charging
batteries may be referred to as
a wind charger.
 Ch 8

Chapter 10
DRIVES AND INTERMEDIATE COMPONENTS
10.1 INTRODUCTION
In a machine, drives are required to transmit power from electric motor (usually) to various
elements and from one element to others so that the various elements could perform their desired
operations. Between any two elements of a machine, the one which drives the other is called
‘Driver’; and the other one is termed ‘Driven’. The power/motion is transmitted by means of
various drives such as belts, chains and gears. The machine designer has the options of selecting
the nature/type of drives.
 Gear Train
◦ Ex: Automobile, engines etc.
 Chain Drive
◦ Ex : Bi-cycle , Motor cycle etc.
 Belt Drive
◦ Ex: Rice mills, sewing machine etc.
Different drives have certain advantages and limitations. The following factors have to be
considered in selecting the natures of drives especially, gears, belts and chains:
1) Space constraint in housing the driver and driven elements. It is related to availability of space
in the machine to house the drives. The compactness of the whole machine puts a limit on the
availability of space in the machine.
2) Accuracy of speeds to be transmitted. In certain operations, the speed transmitted to an
element must be very accurate. The speed variation must be kept within a very narrow limit due
to process/product requirement.
3) The level of noise the drive system generates and that can be tolerated in the operating
environment around the machine.
4) The level of vibrations/shocks the drives produce and their acceptability in terms of efficient
functioning of the machines and quality of output from the machines.
 Ch 8

5) Manufacturing accuracies of the drives and the cost associated with them.

10.2 BEARINGS
A bearing is a device that is used to enable rotational or linear movement, while reducing friction
and handling stress. Resembling wheels, bearings literally enable devices to roll, which reduces
the friction between the surface of the bearing and the surface it’s rolling over. It’s significantly
easier to move, both in a
rotary or linear fashion,
when friction is
reduced this also
enhances speed
and efficiency.
 Ch 8

10.2.1 Types of Bearings:

Different application require bearings that are designed to handle a specific type of load,
normally bearings are designed to handle Radial or Thrust load or a combination of two.
A radial load
as in a pulley, simply puts weight on the bearing in a manner that causes the bearing to roll or
rotate as a result of tension.

Thrust loads
The force that is applied parallel to the bearing's axis. They are also called axial or linear loads.
 Ch 8

Depending upon applications described above, bearing can be divided into following types, the
differences between types of bearings concern load type and ability to handle weight.

thrust bearings

10.2.3 Ball Bearing:

Ball bearings are extremely common because they can handle both radial and thrust loads, but
can only handle a small amount of weight. They are found in a wide array of applications, such
as roller blades and even cycles, but are prone to deforming if they are overloaded.

10.2.4 Roller Bearing:

 Ch 8

Roller bearings are designed to carry heavy loads the primary roller is a cylinder,
which means the load is distributed over a larger area, enabling the bearing to
handle larger amounts of weight. This structure, however, means the bearing can
handle primarily radial loads, but is not suited to thrust loads. For applications
where space is an issue, a needle bearing can be used. Needle bearings work with
small diameter cylinders, so they are easier to fit in smaller applications.

Roller bearing in gear box

10.2.5 Ball Thrust Bearing:

These kinds of bearings are designed to handle almost exclusively thrust loads in
low-speed low-weight applications. Bar stools, for example, make use of ball
thrust bearings to support the seat.
 Ch 8

Schematic Showing Ball Thrust Bearing in Stool

10.2.6 Roller Thrust Bearing:

Roller thrust bearings, much like ball thrust bearings, handle thrust loads. The difference,
however, lies in the amount of weight the bearing can handle: roller thrust bearings can support
significantly larger amounts of thrust load, and are therefore found in car transmissions, where
they are used to support helical gears. Gear support in general is a common application for roller
thrust bearings

Roller Thrust Bearing in Car Transmission

10.2.7 Tapered Roller Bearing:

This style of bearing is designed to handle large radial and thrust loads—as a result of their load
versatility, they are found in car hubs due to the extreme amount of both radial and thrust loads
that car wheels are expected to carry.
 Ch 8

Schematic showing thrust and radial load on tapered roller bearings in car hubs
10.3

Rolling Element Bearings lubrication

Rolling element bearings also need a lubricant to meet or exceed their rated life. In the absence
of high temperatures, however, excellent performance can be obtained with a very small quantity
of lubricant. Excess lubricant causes excessive heating, which accelerates lubricant deterioration.
The most popular type of lubrication is the sealed grease ball-bearing cartridge. Grease is
commonly used for lubrication because of its convenience and minimum maintenance
requirements. High-quality lithium-based NLGI 2 grease is commonly used for temperatures up
to 180◦F (82◦C). Grease must be replenished and re-lubrication intervals in hours of operation
are dependent on temperature, speed, and bearing size.
Table 10.1 Ball-bearing grease re-lubrication intervals (hours of operation)

In
applications involving high speed, oil lubrication is typically required. Table 10.2 is a general
guide in selecting oil of the proper viscosity for these bearings. For applications involving high-
speed shafts, bearing selection must take into account the inherent speed limitations of certain
bearing designs, cooling needs, and lubrication issues such as churning and aeration suppression.
A typical case is the effect of cage design and roller-end thrust-flange contact on the lubrication
 Ch 8

requirements in taper roller bearings. These design elements limit the speed and the thrust load
that these
Table 10.2 Oil lubrication viscosity (ISO identification numbers)

10.4 Bearing Failures, Deficiencies, and Their Causes

The general classifications of failures and deficiencies requiring bearing removal are
overheating, vibration, turning on the shaft, binding of the shaft, noise during operation, and
lubricant leakage. Table 10.3 is a troubleshooting guide that lists the common causes for each of
these failures and deficiencies. As indicated by the causes of failure listed, bearing failures are
rarely caused by the bearing itself. Many abnormal vibrations generated by actual bearing
problems are the result of improper sizing of the bearing liner or improper lubrication.
However, numerous machine and process-related problems generate abnormal vibration spectra
in bearing data. The primary contributors to abnormal bearing signatures are: (1) imbalance, (2)
misalignment, (3) rotor instability, (4) excessive or abnormal loads, and (5) mechanical
looseness.
Defective bearings that leave the manufacturer are very rare, and it is estimated that defective
bearings contribute to only 2% of total failures. The failure is invariably linked to symptoms of
misalignment, imbalance, resonance, and lubrication—or the lack of it. Most of the problems
that occur result from the following reasons: dirt, shipping damage, storage and handling,
poor fit resulting in installation damage, wrong type of bearing design, overloading, improper
lubrication practices, misalignment, bent shaft, imbalance, resonance, and soft foot. Anyone of
these conditions will eventually destroy a bearing—two or more of these problems can result in
disaster! Although most industrial machine designers provide adequate bearings for their
equipment, there are some cases in which bearings are improperly designed, manufactured, or
 Ch 8

installed at the factory. Usually, however, the trouble is caused by one or more of the following
reasons:
(1) Improper on-site bearing selection and/or installation
(2) Incorrect grooving,
(3) Unsuitable surface finish
(4) Insufficient clearance
(5) Faulty relining practices
(6) Operating conditions
(7) Excessive operating temperature,
(8) Contaminated oil supply
(9) Oil-film instability.

Table 10.3 Troubleshooting guide

 Ch 8

Table 10.3 continued

10.5 BELT DRIVES

The mechanical belt drive, using a pulley machine, was first mentioned in the text the Dictionary
of Local Expressions by the Han Dynasty philosopher, poet, and politician
Yang Xiong (53–18 BC) in 15 BC, used for a quilling machine that wound
silk fibers on to bobbins for weavers' shuttles

Belt drives such as flat belt, V belt, round belt, timing belt and tape (thin
belt made from cloth and composite) are widely used in textile machines.
They are simple and inexpensive compared to gears drives. Belt drive
requires an endless belt and two pulleys (a driver and driven). Mostly they
are used to transmit power between two parallel shafts by means of friction.
The belt must be set with some initial tension to avoid it slipping over the
pulleys for effective power transmission.
Depending on the cross-sectional shape of belts, they are classified as flat,
V and round belts. Belt drives offer maximum versatility as power transmission elements. The
 Ch 8

designer has considerable flexibility in choosing the location of pulleys for the driver and driven.
They are used for power transmission over comparatively long distances. The design tolerances
for these drives are not as critical compared with gear drives. In many cases, their use simplifies
the design of machine and substantially reduces the cost.
The advantage with belt drives is that they reduce vibration and shock transmission, since the
belts are elastic and usually quite long. These properties play an important part in absorbing
shock loads and isolating the effects of vibration. This aspect is very important for the life of
machine. The belt drives are relatively quiet. The movement of belt depends on friction traction
on the pulleys and hence, some slippage is inherent in their operation. The slippage of belt over
the pulleys is also responsible to absorb shocks and vibrations. Some slip and creep are inherent
in flat and v-belts, and so the angular velocity ratio between the driver and driven is neither
constant nor equal to the ratio of the pulley diameters.
Due to ageing or creep of belts, in some cases, an idler or tension pulley must be used to avoid
the adjustments in center distance between the driver and driven pulleys. The belts with
excessive creep must be replaced with new belts. Periodic inspection of belt slackness is
required. Belts do not have an indefinite life. While in use, it is essential to have regular
inspection schedule to guard against wear, ageing and loss of elasticity due to creep, so that they
can be replaced at the first sight of deterioration.
Amount of Power Transmitted by belt Depends on
 The velocity of the belt
 The Tension of the belt
 The arc of contact between the belt and smaller pulley
 The condition under which the belt is used
10.5.1 Belt drive selection criteria
 Speed of driving and driven shafts
 Power to be transmitted
 Positive drive requirements
 Space available
 Speed reduction ratio
 Center distance between the shafts
 Services condition
 Ch 8

Types of Belt Drives

The belt drives are usually classified into the following three groups:
1. Light drives. These are used to transmit small powers at belt speeds up to about 10 m/s, as in
agricultural machines and small machine tools.
2. Medium drives. These are used to transmit medium power at belt speeds over 10 m/s but up to
22 m/s, as in machine tools.
3. Heavy drives. These are used to transmit large powers at belt speeds above 22 m/s, as in
compressors and generators.
10.5.2 Types of Belts:
(a) Flat belt.
(b) V-belt.
(c) Circular belt.
Though there are many types of belts used these days, yet the following are important from the
subject point of view:
1. Flat belt. The flat belt, as shown in Fig.1 (a), is mostly used in the factories and workshops,
where a moderate amount of power is to be transmitted, from one pulley to another when the two
pulleys are not more than 8 meters apart.
2. V-belt. The V-belt, as shown in Fig.1 (b), is mostly used in the factories and workshops, where
a moderate amount of power is to be transmitted, from one pulley to another, when the two
pulleys are very near to each other.
3. Circular belt or rope. The circular belt or rope, as shown in Fig.1 (c), is mostly used in the
factories and workshops, where a great amount of power is to be transmitted, from one pulley to
another, when the two pulleys are more than 8 meters apart.
 Ch 8

Belt Drive with Idler pulleys

is used with shafts arranged parallel and when belt drive
cannot be used due to small angle of contact on the smaller pulley.
 Idler pulley is a pulley which does not transmit power but assist power transmission by
increasing angle of contact of smaller pulley

Length of Open belt drive

Length of Open belt drive

Contact Angle =
 Ch 8

Length of Crossed belt drive

Length of Crossed belt drive

Contact Angle =

Flat belt drive advantages and disadvantages

 Ch 8

V belt drive advantages and disadvantages

Variable Speed Drives

For variable speed drives in blow rooms and roving
machines, flat belts with cone pulleys are used as
shown below. The belt is moved axially to vary the
output speed. For stepped pulleys, V belt or round
belt is used with grooved sheaves . The stepped
 Ch 8

pulleys with V belts are commonly used on many main drives of textile machines. By shifting
the driver and driven discs axially and simultaneously, the effective diameters of the discs over
which the belt passes are varied, thus varying the output speed. To increase the output speed
(spindle speed), the input discs are moved closer to each other and the output discs are moved
apart and vice versa. A microprocessor controls the hydraulic or pneumatic piston and lever
mechanism to moves the discs. Depending on the preciousness of the control mechanism, the
speed of the output can be varied infinitesimally and continuously. This is called PIV (Positively
Infinitesimally Variable) drive. However, the spindle speed in ring spinning is not continuously
varied. In practice, the spindle speed is varied in several steps depending on the doff-position and
the permissible end-breakage rate of yarn. This permits higher throughput of yarn as optimum
spindle speed could be selected at any instant. To reduce slip even further, the V-belts are
replaced by a set of steel links held together by means of a chain (slated chains).

Continuously variable transmission (CVT)

Continuously variable transmissions (CVT), also known as a shiftless transmission, single-speed
transmission, step-less transmission, pulley transmission. CVTs differ from traditional automatic
transmissions in that they don't have gears that provide "steps" between low- and high-speed
operations. Instead, the majority of them work via a pair of variable-diameter, cone-shaped
pulleys connected by a steel or composite belt. Although there are several variations on the CVT
theme, in most passenger cars the halves of each pulley are aligned with the pointed ends of the
cones touching. These form a V-shaped groove in which the connecting belt rides. One side of
the pulley is fixed, and the other side is movable, actuated by a hydraulic cylinder. The cylinder
can increase or decrease the amount of space between the two sides of the pulley. This allows the
belt to ride lower or higher along the walls of the pulley, depending on driving conditions,
thereby changing the "gear" ratio.
 Ch 8

10.6 CHAIN DRIVES

First chain drives: Roman c200 AD

A chain drive consists of

an endless chain wrapped around sprocket wheels. The chain has a number of links connected by
pins. The sprockets have teeth of special profile. Chains are used for power transmission and as
conveyors. The chain drives have some features of both belt (flexibility of location of driver and
driven) and gear drives (ruggedness). Chain drives are recommended for velocity ratio below
10:1, chain velocity 1550 m/min and power transmission up to 100 kW.

10.6.1 Chain Drive Vibration

Chain between sprockets can vibrate like a string
 Ch 8

Basic equation for natural frequency, fn, of taught string

Where F is the tension, m is the mass per unit length, L is the length and k is the mode number

For tight side of chain there are typically ranges of resonant frequencies given by:

where Fc is the tight span tension (excluding inertial contribution)

Avoiding vibration
• To avoid the chain resonating, need to avoid having sources of excitation with frequencies near
possible resonant frequencies
• Obvious source is impact of sprocket teeth on chain
• Frequency of these occurs at:

where ɷ is the sprocket rotation speed and N is the number of teeth

10.6.2 Chain Types

 Transmission chains
 Ch 8

 Chains to transmit rotary power between shafts

 Bush roller chains are transmission chains
 For more power capacity, multi-strand transmission chains are used

 Conveyor chain
 Rollers sit proud of links and can roll
along supporting surface
 Can be used for transporting materials, as
rollers can support weight
 Can also be used just to support weight
of chain if transmitting power over long
distances

 Inverted tooth (or silent) chain

 Sprocket teeth mesh with shaped links instead of rollers on chain
 Joints between links use rolling rather than sliding contact
 Profile of links are more like involute gear teeth
 Overall effect is to reduce noise
 Ch 8

 Leaf (or lifting) chain

 Designed for lifting rather (than power transmission)
 Do not have to mesh with sprockets, hence no rollers
 Therefore can narrower than roller chain with equivalent strength
 Example: fork-lift truck

Heavy duty chain

10.6.3 Chain Failures

 Ch 8

 Failures caused by poor selection

 Overload
 Failure of side plates due to cyclic load fatigue
 Failure of bush or roller due to impact fatigue
 Above failures can still occur due to poor installation or maintenance
 Misalignment
 Incorrect or failed lubrication system
 If correct chain is selected, installed and maintained the overall life is determined by
Causes and effects of chain wear
 Caused by material removal as chain components slide relative to each other
 Effect of wear is to cause the chain to gradually elongate wear

 As pitch increases, chain sits at larger and large radius on sprockets

 Limit is when chain jumps over sprocket teeth
 Empirical extension limits are
• 2 % for sprockets with less than 200 teeth
• 200/N % for sprockets with more than 200 teeth
Wear life
• Typically 15,000 hours for any power, chain or sprocket size if correctly selected, installed and
maintained
• Typical elongation curve:
 Ch 8

10.6.4 Lubricating Methods

There are four basic methods for lubricating chain drives. The recommended methods are shown
in the rating charts, which are determined by the chain speed and power transmitted.
TYPE 1: Manual Lubrication
Oil is applied periodically with a brush or oil can, preferably once every eight hours of operation.
Volume and frequency should be sufficient to just keep the chain wet with oil and allow
penetration of clean lubricant into the chain joints.

TYPE 2: Drip Lubrication

Oil drips are directed between the linkplate edges from a drip
lubricator. Volume and frequency should be sufficient to allow
penetration of lubricant into the chain joints.
 Ch 8

TYPE 3: Bath or Disc Lubrication

With oil bath lubrication, the lower strand of chain runs through a sump of oil in the drive
housing. The oil level should cover the chain at its lowest point during operation.

TYPE 4: Stream Lubrication

A continuous supply of oil from a circulating pump or
central lubricating system is directed onto the chain. It is
important to ensure that the spray holes from which the oil emerges are in line with the chain
edges. The spray pipe should be positioned so that the oil is delivered onto the chain just before
it engages with the driver sprocket.
This ensures that the lubricant is centrifuged through the chain and assists in cushioning roller
impact on the sprocket teeth.

10.7 COUPLING
Couplings are mechanical elements that ‘couples’ two drive elements (shafts) which enables
motion to be transferred from one element to another.
10.7.1 Types
 Ch 8

Shaft couplings are divided into two main groups.

Rigid coupling -: It is used to connect two shafts which are perfectly aligned.
Flexible coupling -: Used to transmit torque from one shaft to another when the two shafts
having both lateral and angular misalignment.
10.7.2 Rigid Couplings Types
There are many types of couplings that fall under the rigid couplings category. They are
a) Sleeve or muff coupling
b) Clamp or split-muff or compression coupling, and
c) Flange coupling
Sleeve or muff coupling
A Sleeve coupling is a basic type of coupling. This consists of a pipe whose bore is finished to
the required tolerance based on the shaft size.

Clamp or split-muff or compression coupling

The clamp coupling is also called compression coupling or
split muff coupling. It a rigid type of coupling, the sleeve is
made of two halves, which are split along a plane passing
through the axes of shafts.

Flange coupling
 Ch 8

This coupling has two separate cast iron flanges. Each flange is mounted on the shaft end and
keyed to it. The two flanges are Coupled together with the help of bolts and nuts.

10.7.3 Flexible Couplings Types

There are many types of couplings that fall under the flexible couplings category. They are
a) Bushed pin type coupling
b) Universal coupling and
c) Oldham coupling
d) Roller chain couplings
e) Flexible Shafts couplings
Bushed pin type coupling
This is modified form of the protected type flange coupling.
This type of coupling has pins and it work as a coupling bolts.
The rubber or leather bushes are used over the pins. The
coupling is having two half dissimilar in construction.

Universal coupling
A universal coupling, universal joint, U-joint or Hooke's joint
is a joint or coupling in a rigid rod that allows the rod to 'bend'
in any direction, and is commonly used in shafts that transmits rotary motion.
 Ch 8

Oldham coupling
Oldham coupling is used to connect two shafts non
parallel axis. An Oldham coupling has three discs,
one coupled to the input, one coupled to the output,
and a middle disc that is joined to the first two by
tongue and groove.

Roller chain couplings

The body consists of two dedicated sprockets with hardened teeth and two strand roller chains.
The sprockets are coupled when the chains are wound around the sprockets, and decoupled with
the chains removed. Therefore, transmission power can be coupled or separated without moving
the transmission system. Roller chain couplings have a torque capacity in excess of the torque
normally transmitted by shafting which falls within the coupling bore range.

Flexible Shafts couplings

Flexible shafts are stiff in torsion and very compliant in bending and lateral misalignments. A
good example of this is in their use on automotive speedometer drives.

CHAPTER 11
 Ch 8

PUMPS , COMPRESSORS , FAN AND VALVES

11.1 PUMPS
Pumps are basic components in most technical processes, like in power and chemical industries,
mineral and mining, manufacturing, heating, air conditioning and cooling of engines. They are
mostly driven by electrical motors or by combustion engines and consume a high percentage of
electrical energy. Pumps can be classified into two types, dynamic and displacement pump.

11.1.1 Pump classifications

Pumps can be classified into two types, dynamic and displacement pump

The most frequent faulty components are therefore the sliding ring seals and the ball bearings,
Reported Faulty Reported
Faulty components
frequency [%] components frequency [%]
Sliding ring seal 31 Rotor 9
Rolling bearing 22 Sliding bearings 8
Leakage 10 Clutch 4
Driving motor 10 Split pipe 3
 Ch 8

Faults Explanation and consequences

Development of vapor bubbles inside the fluid if static pressure
Cavitation falls below vapor pressure. Bubbles collapse abruptly leading to
damage at the blade wheels and generate crackling sound
A pressure drop leads to appearance of solved gas in the
Gas in fluid transported liquid. A separation of gas and liquid and lower head
may result
Missing liquid leads to lack of cooling and overheating of bearing.
Dry run
Important for starting phase
erosion: mechanical damage to walls because of hard particles or
cavitation
corrosion: by aggressive fluids
bearings: mechanical damage through fatigue and metal friction,
Wear generation of pittings and rents
plugging of relief bore holes: leads to overloading of axial
bearings and their damage
plugging of sliding ring seals: leads to higher friction and smaller
efficiency increase of split seals: leads to less efficiency
deposits of organic material or through chemical reactions at the
Deposits rotor entrance or outlet lead to less efficiency, higher temperatures
until total breakdown of pumping
unbalance of the rotor through damage or deposits at the rotor,
Vibration
damage to the bearings

10.1.2 Dynamic Pump Principle of Operation

Dynamic Pump: . In dynamic pumps, energy is added to the
fluid continuously through the rotary motion of the blades. This
increase in energy is converted to a gain in Pressure Energy
when the liquid is allowed to pass through an increased area.
 Ch 8

11.1.3 Centrifugal pumps

A centrifugal pump is the most common pump you will find in a brewery. There are several
types of centrifugal pumps; open impeller; multi-stage, liquid ring and submersible are a few of
the common ones.
Why Centrifugal Pumps Need Priming?
Centrifugal pumps does not create suction at the start without impeller filled with water. Hence
Priming required . Priming is the process in which the impeller of a centrifugal pump will get
fully sub merged in liquid without any air trap inside. This is especially required when there is a
first start up. But it is advisable to start the pump only after primping.
 Ch 8

Mechanical Seal
Seal may fail due to lack of lubrication. Due to which temperature rises at the sealing faces that
will damage the elastomer part of the mechanical seal.
Pump Vibration. Vibration imparts forces on each part of the seal components. Vibrations may
be due to worn bearings.

11.1.4 Construction

 Sump
 Strainer
 Foot valve
 Vanes
 Ch 8

 Impeller
 Suction pipe
 Delivery pipe
 Casing
 Delivery valve

11.1.5 Centrifugal pump classification

 According to working head
 According to casing
 According to number of entrances to the impeller
 According to types of impeller
 According to number of stages
 According to shape of the vanes
 According to disposition of shaft
According to working head
 Low head centrifugal pump – working head
developed by these pumps is up to 15m.
 Medium head centrifugal pump – working head
developed by these system is 15m<H<45m.
 Ch 8

 High head centrifugal pump – working head developed by these pumps is more than
45m.

According to casing
Volute Casing
• In this casing, the impeller is surrounded by the spiral casing.
• The casing is such shaped that it’s c/s area gradually increases from tongue to delivery
pipe.
• Due to impact of the high velocity water leaving the impeller (shock losses), efficiency
of conversion of K.E. into P.E. is very less.
Vortex Casing
• In this casing, an annular space known as vortex or whirlpool chamber is
provided b/w the impeller and volute casing.
• Liquid from the impeller flow with free vortex motion in vortex chamber
where it’s velocity is converted into pressure energy.
• It is more efficient than a volute casing.

Diffuser Casing
• In this casing, the guide vanes are arranged at the outlet of the impeller.
• The guide vanes are shaped to provide gradually enlarged passage for
flow of liquid.
• The kinetic energy of the liquid coming out from the impeller is
converted into the pressure energy during flow in guide vanes (increasing
area).
According to types of impeller
Closed impeller
If the vanes of the impeller are covered with plates on both sides, it is called a closed impeller. It is
made of cast iron, stainless steel, cast steel, gun metal.
Semi open impeller
If the vanes of the impeller are covered with plate on one side, it is called semi open impeller. It has
less number of vanes, but its height is more than that of closed impeller.
Open impeller
 Ch 8

If the vanes of the impeller are without covered plate, it is called open impeller. These are generally
made of forged steel. It has less life, as they have to perform very rough task.

According to number of stage

 Single stage
In a single stage pump, only one impeller is used on the shaft.
 Multi stage
In a multi stage pump, more than one impeller is used on the same shaft and enclosed in the
same casing. It is used to raise high head.

Single stage Multi stage

According to disposition of the shaft

• Horizontal pump
In this type of pump, the impeller shaft is used horizontal

• Vertical pump
In this type of pump, the impeller shaft is used vertical.
 Ch 8

Advantages
 Small in size & space saving.
 Output is very steady and consistent.
 Easy for maintenance.
 No danger creates if discharge valve is closed while starting.
 Deal with large volume.
 Ch 8

 Able to work on medium to low head.

 Able to work on medium to low viscous fluid.
 Almost no noise
Disadvantages
 Extra priming process requires.
 Cannot be able to work on high speeds.
 Cannot deal with highly viscous liquid.
Application
 Agriculture and irrigation purpose.
 Pumping of water in buildings.
 Transfer raw material.

11.1.6 Centrifugal Pump Fundamentals

Head calculation
The pressure at any point in a liquid can be thought of as being caused by a vertical column of
the liquid which, due to its weight, exerts a pressure equal to the pressure at the point in question.
The height of this column is called the static head and is expressed in terms of feet of liquid. The
static head corresponding to any specific pressure is dependent upon the weight of the liquid
according to the following formula.

Where : psi pounds per square inch

A centrifugal pump imparts velocity to a liquid. This velocity energy is then transformed largely
into pressure energy as the liquid leaves the pump. Therefore, the head developed is
approximately equal to the velocity energy at the periphery of the impeller this relationship is
expressed by the following well-known formula:
 Ch 8

Where H = Total head developed in feet. v = Velocity at periphery of impeller in feet per sec. g =
32.2 Feet/Sec.2 We can predict the approximate head of any centrifugal pump by calculating the
peripheral velocity of the impeller and substituting into the above formula. A handy formula for
peripheral velocity is

Where D = Impeller diameter in inches

The above demonstrates why we must always think in terms of feet of liquid rather than pressure
when working with centrifugal pumps. A given pump with a given impeller diameter and speed
will raise a liquid to a certain height regardless of the weight of the liquid, as shown in Fig. 10.1.

Fig.10: 1 Identical Pumps Handling Liquids of Different Specific Gravities.

Capacity calculation
 Ch 8

Capacity (Q) is normally expressed in gallons per minute (gpm). Since liquids are essentially
incompressible, there is a direct relationship between the capacity, or flow rate, and the pipe size
and fluid velocity. This relationship is as follows:
Q = V x (ID2) x 2.445
ID = inside diameter of the pipe, inches
Where V = Velocity of the liquid, feet per second

Q = capacity, gallons per minute

Fig.10: 2 a Suction Lift – Showing Static Heads in a Pumping System Where the Pump is Located above the
Suction Tank. (Static Suction Head); b Suction Head – Showing Static Heads in a Pumping System Where
the Pump is Located below the Suction Tank. (Static Suction Head)
Power and Efficiency
The work performed by a pump is a function of the total head and the weight of the liquid
pumped in a given time period. The pump capacity in (Q) gpm and the liquid specific gravity are
normally used in the formulas rather than the actual weight of the liquid pumped. Pump input or
brake horsepower (bhp) is the actual horsepower delivered to the pump shaft. Pump output or
hydraulic horsepower (whp) is the liquid horsepower delivered by the pump.
. These two terms are defined by the following formulas.
 Ch 8

The constant 3960 is obtained by dividing the number or foot pounds for one horsepower
(33,000) by the weight of one gallon of water (8.33 pounds.) The brake horsepower or input to a
pump is greater than the hydraulic horsepower or output due to the mechanical and hydraulic
losses incurred in the pump. Therefore the pump efficiency is the ratio of these two values.

Pump Characteristic Curves

The performance of a centrifugal pump can be shown graphically on a characteristic curve. A
typical characteristic curve shows the total dynamic head, brake horsepower, efficiency, and net
positive suction head all plotted over the capacity range of the pump. Figure 3, 4, & 5 are non-
dimensional curves which indicate the general shape of the characteristic curves for the various
types of pumps. They show the head, brake horsepower, and efficiency plotted as a percent of
their values at the design or best efficiency point of the pump. Fig. 3 shows that the head curve
for a radial flow pump is relatively flat and that the head decreases gradually as the flow
increases. Note that the brake horsepower increases gradually over the flow range with the
maximum normally at the point of maximum flow.

Fig.10: 3 Radial Flow Pump

 Ch 8

Fig.10: 4 Mixed Flow Pump

Fig.10: 5 Axial Flow Pump

11.2 MAINTENANCE OF CENTRIFUGAL PUMPS

Proper maintenance of a CF pump is important to ensure its trouble-free and long service, the
maintenance operations of CF pump includes:
 Routine Preventive Maintenance
 Overhaul or Repair operations
 Ch 8

Routine Maintenance
o Performance of the pump should be observed daily
o Any abnormalities in operation should be taken care of promptly
o The alignment of the pump unit should be checked occasionally
o Bearings should be lubricated regularly
Overhauling of Pumps
o Most overhaul work of CF pumps is concerned with the rotating parts
o Overhauled annually or once in 2 years
o In many situations, the operating conditions don't permit annual shutdown periods for
overhaul
Situations call for a shutdown of the pumping plant for trouble shooting, repair and possible
overhaul:
Fall-off in pump performance
Excessive noise during pump operation
Excessive vibration of pump
Symptoms of corrosion or erosion trouble
Overhauling of impellers
• The eye, vanes, shrouds, wearing rings, passages and hubs are checked
• Corrosion, cavitation and erosion are accompanied by the wearing of the impeller vane
surfaces
• Corrosion is due to warp or holes in the thinned surfaces
• Impeller have to be replaced, if cavitation is severe
• Impeller have to be thoroughly cleaned before inspection

Balancing of impeller
• Badly worn or corroded impeller needs re-balancement
• Balancing of an impeller can be checked by pressing it on an arbor, the ends of which rest on 2
parallel and level knife-edges, by hand
 Ch 8

• If found unbalanced, the metal is removed from the heavy side

Repair of shaft
• Shaft is checked for bending with a dial gauge, by turning the shaft between lathe centers
• If shaft is badly bent, it should be returned to the manufacturer
• Reconditioning of the shaft will require welding or metaling, followed by rough finishing cuts
• Final finishing is done by filing
Replacing of wearing rings
• Proper clearance of the wearing ring is important
• Increase in clearance results in leakage which decreases efficiency
• If wearing rings are worn out, they have to be replaced
Trouble-shooting in CF Pumps
Troubles are of three types: mechanical, hydraulic and driver related
Mechanical troubles: Breakage of coupling or shaft
Hydraulic troubles: Failure to deliver water, reduction in discharge and over loading of the prime
mover
Driver: electric motor or and rotation source have a failure to start
Hydraulic troubles
a) No liquid delivered
• Lack of prime
• Speed of electric motor or engine too low
• Discharge head too high
• Suction lift too high
• Impeller plugged
• Vapor lock in suction line
b) Not enough water delivered
• Air leaks
• Worn wearing rings
• Damaged impeller
• Defective foot valve
• Worn gaskets
• Impeller eye too small
 Ch 8

c) Pump losses prime after starting

d) Overloading of Motor / Engine
• Low discharge head
• Packing too tight
• Bent shaft
• Distorted casing
• Pump speed too high
e) Overheating of stuffing box
f) Excessive vibrations
g) Overheating of bearings
h) Rapid wear of bearings

CP Maintenance Philosophy.
Maintenance is done on to the machine in order to improve system reliability. Maintenance may
be :
Preventive
 Predictive (Conditional Monitoring)
 Periodic
Break down
RCM
 Ch 8

11.3 POSITIVE DISPLACEMENT PUMPS

Working Principle: Positive Displacement Pump has an expanding cavity on the suction side of
the pump and a decreasing cavity on the discharge side. Liquid is allowed to flow into the pump
as the cavity on the suction side expands and the liquid is forced out of the discharge as the
cavity collapses.
Gear pump

Screw Pumps
 Ch 8

Lobe Pump

Reciprocating Pumps:

Piston Pump Trouble Shooting

Piston pumps are noted for long operation period with little maintenance required other than
lubrication and inspection. They are renowned for pumping over long distances. However, like
all things mechanical, these units can develop trouble. These following information may help to
prevent and identify any such occurrences.
Foundation – Install the pump on a firm foundation, preferably concrete. The pump should be
level when installed.
 Ch 8

Inlet/Outlet – the inlet (suction) is always lower than the outlet (discharge).
Suction line – The suction line should rise towards the pump at all times. Avoid high points so
as to ensure air is not trapped in the line. Keep the suction as free from bends as is possible. The
pipe diameter should be no smaller than the pump inlet. On long pipe lines where a large volume
is pumped, a larger size is preferable. Make sure that all fittings are tight and try to avoid joins
(or use the minimum number possible). A foot valve should always be fitted where the water
level is below the pump. When the water level is higher than the pump, install a gate valve so
that water may be shut off should it be necessary to work on the pump.
Discharge line – The diameter of the discharge line will depend on the work the pump has to
perform, including friction in that line. The smaller the pipe is, the higher will be the friction load
and the power consumption. A check valve should be fitted in the discharge line as close to the
pump as possible to protect the pump from water hammer and from damage through flow back
of water. This also holds back this water when maintenance is being carried out on the pump.
Both the suction and discharge piping must be supported independently of the pump. Should a
gate valve be installed in the delivery, this MUST BE OPENED before starting the pump. It is
always advisable in installations where a gate valve is fitted to have a relief valve between the
pump and the gate valve to protect the pump from damage in case the line is shut off or becomes
blocked.
Gland packing – Packing should be renewed periodically to protect excessive leakage from the
gland and prevent damage to the piston rod. When replacing, insert each ring separately,
ensuring that it is seated firmly and that the joints are staggered. The last ring of packing should
not protrude beyond the stuffing box. Install the gland and tighten the nuts evenly by hand.
Allow a slight leakage at all times in order to cool and lubricate the packing. Wait until the pump
is running before making the adjustment. Unduly tight packing increases the power consumption
and causes wear on the piston rod.
Priming the pump – The pump can generally be primed by removing the plug from the top of
the suction chamber and filling the chamber and suction line completely with water. Before
replacing the plug, watch the water level for a short time to check that the foot valve is holding
Operating – Before starting the pump, ensure the gear case is filled with oil to a point level with
the bottom of the oil return channel. SAE 140 oil is generally recommended. It is advisable to
check the oil regularly and replace as necessary. A recommended habit prior to starting the pump
 Ch 8

is to check the oil and turn the pump by hand to ensure that all suction, bypass and discharge
valves are open.
Pump does not discharge –
Check the suction pipe is attached to the lower fitting of the pump and the discharge pipe is
attached to the higher fitting
Prime the pump by filling the suction pipe above the foot valve with water (remember to open
any vents on the discharge side to avoid an airlock)
Worn parts – check the condition of the valves, piston rod packing and buckets and replace as
necessary
Pipe vibrates excessively –
Size of discharge pipe – use a larger size discharge line where possible, otherwise, install an air
chamber (or additional air chamber) in the discharge line close to the pump
Size of suction pipe – increase the size of the suction pipe or reduce its length, otherwise install a
suction air chamber (or additional air chamber) close to the pump to reduce pressure surge
pulsations during operation
Gear end noisy –
Check the oil level and fill as needed
Crosshead, bearings or gears may be worn or loose – check and replace as may be needed
Speed too high – lower the pump speed to the recommended level (refer to website documents
Technical Specifications - Capacity and Technical Specifications - RPM calculator to convert to
strokes per minute to check the gearing
Excessive packing wear –
Usually caused by a worn or bent piston rod, causing the packing to wear – check also for burrs
on the rod and replace as needed
Excessive power input or high discharge pressure –
Inspect piping for closed valve, increase the relief valve setting or remove the obstruction in the
pipelines ,where this has occurred after installing additional piping, check the friction level and
add larger piping if necessary

Displacement Vs Centrifugal
• Centrifugal pumps are suitable for low head and high flow rate.
 Ch 8

• PD pumps produce high head and low flow rate.

• PD are suitable for High Viscosity application.
• Centrifugal Pumps are not recommended for high viscosity application because as
viscosity increases its flow deceases.
• Usually a relieve valve is attached with the displacement pumps.

11.4 COMPRESSOR
Compressor is used to increase the pressure of air from low pressure to high pressure by using
some external energy.
Compressors types
 Ch 8

11.4.1Applications of compressed air:

 For filling the air in tube of vehicles
 In automobile service station to clean vehicles.
 For spray painting in paint industries.
 In vehicle to operate air brakes.
 For cleaning workshop machines.
 For supercharging of an IC engines.
 For operation of pneumatic tools i.e. rock drills, vibrators etc.

Compression ratio:- It is defined as the ratio of volume of air before compression to the volume
of air after compression.
Compressor capacity:- It is the quantity of air actually delivered by a compressor in m3 per
minute.
Free air Delivered(FAD):- It is the volume of air delivered by compressor under the conditions
of temperature and pressure existing at the compressor intake.
Swept Volume:- The volume displaced or swept by piston when it moves between top dead
center and bottom dead center.

11.4.2 Types of Compressors

Positive Displacement (PD) : Operate by trapping a specific volume of air and forcing it
into a smaller volume ; 2 Basic Designs for PD Compressors:
1. Rotary
2. Reciprocating
Centrifugal: Operate by accelerating the air and converting the energy to pressure ; 2 Basic
Designs for Centrifugal Compressors:
1. Centrifugal
2. Axial
Reciprocating Compressor
Single – Acting compressor
 Ch 8

It is a compressor that has one discharge per revolution of crankshaft.

Double – Acting Compressor
It is a compressor that completes two discharge strokes per revolutions of crankshaft. Most heavy-duty
compressors are double acting..

Two stage compressor

Advantages of
multi-staging
 Reduction in
power
required to
drive the
compressor.
 Better mechanical balance of the whole unit and uniform torque.
 Increase in volumetric efficiency.
 Reduced leakage loss.
 Less difficulty in lubrication due to low working temperature.
 Lighter cylinders can be used.
 Cheaper materials can be used for construction as the operating temperature is lower.
Rotary air compressor
Rotary compressors (get their name from the rotating motion of the transfer element) compress
gases with lobes, screws, and vanes into smaller volumes.
There are four Primary Types of Rotary Compressors:
1. Rotary Screw
 Ch 8

2. Sliding Vane
3. Lobe
4. Centrifugal
5. Axial flow

Screw Compressors
Commonly used in industry. It operates with 2 helical
rotors that rotate toward each other, causing the teeth to
mesh. As the left rotor turns clockwise, the right rotor
rotates counterclockwise. This forces the gases to become
trapped in the central cavity. The 2 rotors are attached to
a drive shaft and drive that provide energy to operate the
compressor. Have an inlet suction line and outlet
discharge port.
Vane compressor
Uses a slightly off-center rotor with
sliding vanes to compress air. Inlet air
flows into the vanes when they are fully
extended and form the largest pocket. As
the vanes turn toward the discharge port,
the gases are compressed.

As the volume decreases, the pressure increases until maximum compression is achieved. Then
the air is discharged out the compressor.

Lobe Compressor
Characterized by 2 kidney-bean shaped impellers used to trap and transfer air. The 2 impellers
move in opposite directions on parallel mounted shafts as the lobes sweep across the suction
port. Compressed gases are released into
the discharge line. The lobes do not
touch each other. A few clearing exists
between the casing and lobes.
 Ch 8

Dynamic compressors
Centrifugal Compressor
Centrifugal compressors accelerates the velocity of the
gases (increases kinetic energy) which is then converted
into pressure as the air flow leaves the volute and enters
the discharge pipe. Usually operate at speeds > 3,000
rpm. Deliver much higher flow rates than positive
displacement compressors.Basic Components:
Impellers, Vanes, Volutes, Suction Eyes, Discharge lines, Diffuser Plates, Seals, Shaft,
Casing.Suction Vane Tips is the Part of the impeller vane that comes into contact with air first.
Discharge Vane Tips is the Part of the impeller vane that comes into contact with air last

Axial compressor
Composed of a rotor that has rows of fanlike blades. In industry, axial compressors are used a
lot high flows and pressures are needed. Air flow is moves along the shaft. Rotating blades
attached to a shaft push air over stationary blades called stators. Stator blades are attached to
the casing. As the gas flows through an axial compressor it occupies less volume increasing
its pressure. The rotor blades increase velocity and stator blades convert it to pressure.
 Ch 8

Example of Axial compressors application jet engine

Centrifugal Compressor Malfunctions and faults

Compressor Surge
Compressor Stall
Unbalance
Electrostatic Discharge
Misalignment
Rubs.
Compressor Surge
 Ch 8

Surge is the point at a given operating speed when the compressor cannot increase gas pressure
to overcome the system resistance or backpressure. This causes a rapid, cyclic flow reversal. As
a result, thrust reversal causing high axial vibration, temperature increase because of
recompression of the same portion of gas are common symptoms and some radial vibration also
can occur. In centrifugal compressors these occurrences can damage the interstage/eye labyrinth
seals, impellers, couplings, and the compressor driver. Most compressors are designed to
withstand occasional surging. However, if the machine is allowed to surge repeatedly over a long
period of time, or if it is poorly designed, prolonged periods of surging can result in a
catastrophic failure.

Compressor Stall
Stall is a local disruption of flow within the compressor that continues to provide compressed
flow but with reduced effectiveness. The boundary layer of the flow moving along a diffusing
passage, such as impeller and diffuser, may be retarded enough by the static pressure gradient to
bring it to rest and to reverse it, causing the flow to separate from the wall. Stall can create a
single rotating cell or multiple rotating cells in one or several stages.
Unbalance
Mass unbalance occurs when at given section of the rotor, the geometric center and the mass
center of a rotor do not coincide. While there is always some remaining unbalance in the real
rotors, the problem starts if there is an excessive one – because the unbalanced centrifugal forces
are forcing excessive 1X rotor response. The result is elevated 1X vibration that is forward in
precession and with a circular or, more typically, elliptical orbit shape. Centrifugal force is not
changing if the speed is constant; this means that the elliptical orbit shape is changing because of
the supporting stiffness (bearing, bearing supports) that is typically anisotropic (different in
different radial directions). It is worth noting that the 1X vibration response depends
proportionally on the magnitude of unbalance force but inversely proportionally on synchronous
dynamic stiffness, so not every situation in which 1X vectors are increased is related to increase
in unbalance force.
 Ch 8

The full spectrum waterfall shows step change in the forward precession 1X vibration of the compressor stage.
This type of step-like “change of mass distribution” was not a candidate for a balancing attempt. The fatigue
crack on the impeller disc was diagnosed as the result of sonic excitation of the disc mode (sound wave
resonance) due to recent modernization of the stage.

Misalignment
Machine alignment can be defined as proper positioning of bearing supports (external alignment
such as between machines in the train) measured at the coupling; and alignment between rotating
and stationary parts (internal alignment measured as available clearance around a rotating part at
a given location). Misalignment can be defined as excessive error in alignment, whether external
or internal, that results in excessive radial preloads (for example, static radial forces acting on
rotor and bearings).
Rubs
Rub occurs when a rotating part is in contact with a stationary part that is not designed for such
contact. The only parts designed for contact are bearings and some seals. In the fluid bearing, the
contact should be maintained through a film of oil. In the types of seals that allow some contact
by design – either constantly during operation (oil seals) or occasionally (carbon seals, brush
seals, and honeycomb seals), the latter category will show symptoms of rub contact as a part of
normal behavior.

Vibration Instrumentation Diagram for Dual Flow Centrifugal Compressor

 Ch 8

Vibration Instrumentation Diagram for Axial Flow Compressor

 Ch 8

Vibration Instrumentation Diagram for Integrally Geared Compressor (3 or 4 stage)

Centrifugal Compressor Rule Pak

The centrifugal compressor advanced RulePak contains algorithms that help diagnose the
following machine malfunctions:
Anomaly Description
Compressor Surge The compressor is operating at flow rates significantly below the design flow rate,
causing vibration and possible flow reversals
Compressor Near Surge The compressor is operating near surge limits, based on pressure ratios and flow
Compressor Stall The compressor is operating at flow rates significantly below the design flow rate
Whirl Fluid induced instability is causing lateral rotor vibrations
Whip Severe fluid induced instability is causing lateral rotor vibrations at one or more
resonances
General Radial Preload A unidirectional, steady-state force on a rotor is causing rotor operation at high
eccentricity within the seal or bearing clearance boundaries
1X Runout The slow roll vector magnitude exceeds the recommended level, indicating a non-
concentric rotor surface at the plane of measurement
 Ch 8

Sub-synchronous Rub Rotor contact with a stationary part excites sub-synchronous radial vibration
characteristics
Super-synchronous Rub Rotor contact with a stationary part excites super-synchronous radial vibration
characteristics
Synchronous Rub Thermal rotor bow is induced by rotor-to-stator rub (Newkirk effect) or differential
viscous shearing within the bearing (Morton effect)
Loose Rotating Part Changes in the synchronous behavior of the rotor due to rotating elements coming
loose
Example: Shrink fit elements losing the frictional force required to keep them locked
onto the shaft
Synchronous Rub or Non-specific determination of either a synchronous rub or a loose part
Loose Rotating Part
High Synchronous Excessive vibration at running speed
Vibration
Misalignment Misaligned rotors between coupled machines
Rotor Bow Bent rotor shaft

Axial Flow Compressor RulePak

The axial compressor advanced RulePak contains algorithms that diagnose the following
machine malfunctions:
Anomaly Description
Compressor Surge The compressor is operating at flow rates significantly below the design flow rate,
causing vibration and possible flow reversals
Compressor Near Surge The compressor is operating near surge limits, based on pressure ratios and flow
Compressor Stall The compressor is operating at flow rates significantly below design flow rate
Whirl Fluid induced instability is causing lateral rotor vibrations
Whip Severe fluid induced instability is causing lateral rotor vibrations at one or more
resonances
General Radial Preload A unidirectional, steady-state force on a rotor is causing rotor operation at high
eccentricity within the seal or bearing clearance boundaries
1X Runout Slow roll vector magnitude exceeds the recommended level, indicating a non-
concentric rotor surface at the plane of measurement
Sub-synchronous Rub Rotor contact with a stationary part excites sub-synchronous radial vibration
characteristics
Super-synchronous Rub Rotor contact with a stationary part excites super-synchronous radial vibration
characteristics
Synchronous Rub Thermal rotor bow is induced by rotor-to-stator rub (Newkirk effect) or differential
viscous shearing within the bearing (Morton effect)
Loose Rotating Part Changes in the synchronous behavior of the rotor due to rotating elements
coming loose
Example: Shrink fit elements losing the frictional force required to keep them
locked onto the shaft
Synchronous Rub or Non-specific determination of either a synchronous rub or a loose part
Loose Rotating Part
High Synchronous Excessive vibration at running speed
Vibration
Misalignment Misaligned rotors between coupled machines
Rotor Bow Bent rotor shaft

10.6.3 Integral Gear Compressor RulePak

 Ch 8

The integral gear compressor (IGC) RulePak contains algorithms that diagnose the following
machine malfunctions:
Anomaly Description
Compressor Surge The compressor is operating at flow rates significantly below the design flow
rate, causing vibration and possible flow reversals
Compressor Near Surge The compressor is operating near surge limits, based on pressure ratios and
flow
Compressor Stall The compressor is operating at flow rates significantly below the design flow
rate.
Gear Mesh High vibration occurs at the frequency of the gear tooth mesh
Whirl Fluid induced instability is causing lateral rotor vibrations
Whip Severe fluid induced instability is causing lateral rotor vibrations at one or more
resonances
General Radial Preload A unidirectional, steady-state force on a rotor is causing rotor operation at high
eccentricity within the seal or bearing clearance boundaries
Radial Preload—IGC Pinion A unidirectional, steady-state force on a rotor is causing rotor operation at an
Shaft irregular shaft centerline position
Rotor 1X Runout Slow roll vector magnitude is greater than 40 percent of the compensated 1X
vector, indicating a non-concentric rotor surface at the plane of measurement
Sub-synchronous Rub Rotor contact with a stationary part excites sub-synchronous radial vibration
characteristics
Super synchronous Rub Rotor contact with a stationary part excites super-synchronous radial vibration
characteristics
Synchronous Rub Thermal rotor bow is induced by rotor-to-stator rub (Newkirk effect) or
differential viscous shearing within the bearing (Morton effect)
Loose Rotating Part Changes in the synchronous behavior of the rotor due to rotating elements
coming loose
Example: Shrink fit elements losing the frictional force required to keep them
locked onto the shaft
Synchronous Rub or Loose Non-specific determination of either a synchronous rub or a loose part
Rotating Part
High Synchronous Vibration Excessive vibration at running speed
Misalignment Possible Misaligned rotors between coupled machines
Misalignment
Rotor Bow Bent rotor shaft

11.5 Mechanical shaft seal types and sealing systems

Mechanical seals are the devices which help to join parts together in a mechanism preventing
leakage of fluid. Basically they are used in plumbing system and they stop water leakage by
maintaining pressure they poses. Obviously there are lots of plumbing mechanisms requiring
different types of joints. Various types of seals are available in the market. A buyer must know
their configuration to understand which design will meet his requirements.

There is no hydraulic system can operate without proper seals.

They hold in the fluid and keep out dirt, grime and water
out.
 Ch 8

Seals appear simple but can be very complex.

Seals are used in two applications:
Static – Fixed applications
Dynamic – Used on moving parts

O-RING
The most popular seal used in mobile hydraulics.
Usually made of synthetic rubber.
Used in both static and dynamic applications.
Are designed for use in grooves where they are
compressed between two surfaces.
In dynamic use they must have a smooth
surface to work against.
Are often used with a back-up ring to prevent
squeezing out when used in high pressure
applications.
Back-up rings are made of fiber, leather,
synthetic plastic, or rubber.
In dynamic applications the O-ring Groove
must be wider than the O-ring to allow for the
O-ring to roll and lubricate itself.

U and V Packing
 Ch 8

U and V packings are dynamic seals for rods, pump shafts, and gland nuts.
Typically made of multiple rings of leather, synthetic or natural rubber, and plastics.
Most often installed with the open side toward the area with the greatest pressure.
Often though U and V seals are installed in the opposite direction because a special tool is
required for their installation. This is acceptable if necessary.
 Ch 8

Spring Loaded Lip Seals

These seals are an improvement to the simple U and V packings.
The rubber lip is ringed by a spring that gives the sealing lip some tension
Often the seal has a metal case which is pressed into a housing bore.
Often used in rotary shaft applications.
Generally installed with the cup facing the greatest pressure.
Double lip seals are also manufactured for applications with pressure on both sides.

Mechanical Seals
The mechanical seal itself is the interface between the static and rotary portions of the seal.
Mechanical seals are leakage control devices, which are found on rotating equipment such as
pumps and mixers to prevent the leakage of liquids and gases from escaping into the
environment.
• Primarily dynamic seals
• Usually made of steal and rubber
They have a fixed outer part attached to the housing, an
inner part attached to the revolving shaft and a spring
that holds the two parts together
 Ch 8

Mechanical seals are designed to overcome these drawbacks

Types of mechanical seals and their characteristics are given below for your ease to choose the
right one for you:
 Conventional seal
 Pusher Seal
 Non-pusher Seal
 Unbalanced Seal
 Balanced Seal
 Cartridge
 Ch 8

11.5.1 Mechanical shaft seal types

a) Unbalanced O-ring seal with rigid torque transmission system
b) Rubber bellows seal
c) Unbalanced O-ring seal with spring as torque transmission element
d) Balanced O-ring seal with spring on the atmospheric side
e) Rubber bellows seal with reduced seal face
f) Balanced, cartridge
O- ring seal unit with rigid
torque transmission system
g) Balanced, rolled-
metal bellows cartridge seal
unit
h) Unbalanced O-ring
seal, type A, with reduced
seal face
i) Two seals mounted
in a “back-to-back” arrangement
j) Two seals mounted
in a “tandem” arrangement
 Ch 8

A B

C D E

F G H
 Ch 8

Function of mechanical seal

The function of every mechanical seal is to prevent. The escape of a fluid. The clearance
between rotating shaft and the passage way through the wall of a housing /casing or pressure
vessel.
Three primary sealing points
1) Between stationary element and casing
2) Between rotating element and shaft
3) Between mating surfaces of the rotating and seal elements
Reasons for using Mechanical seal:
To minimize leakage
To prevent toxic fluids escaping to atmosphere
To reduce power loss.
Advantages of using cartridge seal.
By using cartridge seals the following can be achieved:
Reduced skill base
Increased Reliability
 Ch 8

Fits multiple types of pumps

Reduced downtime
Increased operating profits.
Types of seals: Static Seals & Dynamic Seals
STATIC SEALS: Sealing takes place between two parts that don’t move in relation to each
other.
Application
Pipe flanges, vessel /Tower nozzles, pump casing joint. - Fan /Blower casing joint, compressor
casing joint. - Turbine casing joint, Heat exchanger joints
Types: Gaskets , O-rings etc
GASKET: Packing designed to go between two rigid parts in stationary conditions May be in
form of sheet , strip , bulk. Properties: Impermeability, Ability to flow into joints, Corrosion
resistance
DYNAMIC SEALS: Used for sealing fluid between parts that move in relation with each other.
Application: Centrifugal pump gland, valve gland , bearing housing Turbine/compressor inter
stage and end sealing , Reciprocating compressors cylinder sealing
Essential Requirements for Proper Operation of a Mechanical Seal
These are the essential requirements:
 Seal faces must be flat and polished.
 Seal faces must be installed perpendicular to the shaft.
 Spring force must be sufficient to maintain contact of the faces

Seal failures
 Ch 8

Seal failure occur for a wide range of reasons. Type of seal failures
 Lubrication failures: Dry running and poor lubrication
 Contamination failures: Clogging, Hang-up, Particles deposits, Sticking and seizure.
 Chemical, physical degrading and wear: Ageing and swollen rubber parts, Corrosion, wear,
Explosive decompression
 Installation failures: Shaft misalignment, seats not mounted perpendicular to the shaft, axially
moving shaft and wrong assembly length.
 System failures: The pressure in the seal chamber, the temperature around the shaft seal in the
seal chamber, the pumped medium, the speed, the shaft seal dimensions.
Rotary Seal Profiles
There is a huge range of seal profiles available for different rotary shaft sealing applications;
shown below is a basic overview of the main types of profiles. For further profile information
and seal recommendation please contact our Application Engineers for guidance.

Design Symbol Name Applications Materials

Springless grease retention Rubber covered
Profiles metal case,
elastomer lip

Spring grease retention with an Rubber covered

Loaded additional dust lip metal case,
elastomer lip

Spring grease retention Rubber covered

Loaded metal case,
elastomer lip
Ch 8

Dual when separation of two fluids is Metal case,

Spring required and can also be used for elastomer lip
Loaded high contamination applications.

Medium For medium pressure Rubber covered

Pressure applications. Double lip profiles metal case,
seal incorporate a secondary lip on elastomer
heel for exclusion of light dust spring-loaded
and fluids. lip
Cassette For heavy duty applications elastomer
Seal materials

PTFE Low speed/high pressure elastomer

Flexi Seal applications. materials

PTFE high speed/low pressure composites/

Flexi Lip applications Machinable
Seal plastic materials

V-Ring Axial (Face) seals, external elastomeric

protection. Suitable for high compounds
velocity, low friction
applications.
 Ch 8

Shielded High pressure water hosing Metal casing

V-Seal applications. with wide range
of elastomeric
lips available.

Effective forces in a Mechanical Seal

These are the forces operating in mechanical seals:
 Axial and radial forces
 Closing and opening forces
 Hydrostatic and hydrodynamic forces
Sealing systems
Some of the shaft seals described previously can be combined with specially designed pumps
and in double seal arrangements. See the principles described below.
Circulation
Sometimes it is necessary to cool the seal faces of single mechanical shaft seals or remove
deposits in the seal chamber. In such cases a circulation pipe from the pump discharge side to the
seal chamber can be fitted. The cooling liquid flows from the seal chamber back to the pumped
medium. This ensures a good exchange of liquid in the seal chamber. A pipe dimension of
Ø10/Ø8 is sufficient. Internal circulation from the pressure side to the seal chamber can also be
integrated in the pump design with the same result as shown in figure 10.7.

Circulation circuit for cooling a single mechanical shaft seal

 Ch 8

Double seals can be arranged in tandem with the seats in the same direction on the shaft, or back-
to-back with the seats in the opposite direction on the shaft. The purpose of these designs is,
among other things, to control temperature, pressure or flow in the cooling/heating lubricating
liquid.
Back-to-back arrangement with barrier fluid, seal type arrangement O
This term is commonly used in sealing engineering to describe an arrangement with two shaft
seals mounted in opposite directions. Between the two seals is a pressurised barrier fluid. The
barrier fluid has several advantages to the product-side seal as compared to a single shaft seal.
See. Figure. 10.8.

Grundfos CR pump with back-to-back seal arrangement

 Ch 8

The seal arrangement is suitable for poisonous and explosive liquids when no leakage from the
pumped medium to the atmosphere can be accepted. The barrier fluid pressure is higher than the
pump pressure, as a result of which any leakage will pass from the barrier fluid to the pumped
medium. The barrier fluid pressure must be minimum 2 bar or 10 % above the pump medium
pressure close to the seal. As the clean barrier fluid has a higher pressure, it also serves as
lubricating liquid for all seal faces.
The back-to-back shaft seal arrangement is particularly suitable for sticky media and/or liquids
with many abrasive particles. The seal arrangement prevents the pumped medium from entering
the seal gap and consequently prevents excessive wear.
11.8 Selecting a mechanical shaft seal
The mechanical shaft seal should be selected according to the operating conditions at the shaft
seal location. These important factors must be considered when selecting a mechanical shaft seal:
• Shaft seal diameter
• Type of pumped medium
• Temperature
• Sealing pressure
• Shaft speed of rotation.

Shaft seal diameter

The shaft seal diameter must be selected to fit the pump shaft. If no
seal with the required diameter is available, the shaft diameter can be
changed with a bushing.

Type of pumped medium

The chemical resistance of the shaft seal materials to the pumped
medium has to be considered. The viscosity of the pumped medium
affects the lubrication and leakage of the seal. The viscosity of most
 Ch 8

media depends on the temperature. A single shaft seal can be used for a dynamic viscosity below
2500 cP (centipoise). For a higher viscosity, a back-to-back seal arrangement should be used.

Temperature
The elastomeric parts of the seal must be able to withstand the
temperature of the medium around the seal. This might be
different from the temperature of the pumped medium. If the
temperature is above the boiling point of the pumped medium,
lubrication is poor. This must be considered when selecting seal
design and materials.

Sealing pressure
The sealing pressure is the pressure around the seal. For high pressures,
a balanced seal should be used.

Shaft speed of rotation

If the speed of rotation is low, shaft seals with hard/hard material
pairings might produce noise because the lubricating film in the seal
gap is extremely thin. At speeds above 15 m/sec, a balanced seal with a
rotating seat must be used to reduce seal unbalance.
 Ch 8

11.6 FANS AND BLOWERS

Fans and blowers provide air for ventilation and industrial process requirements. Fans generate a
pressure to move air (or gases) against a resistance caused by ducts, dampers, or other
components in a fan system. The fan rotor receives energy from a rotating shaft and transmits it
to the air.
11.6.1 Difference between Fans, Blowers and Compressors
Fans, blowers and compressors are differentiated by the method used to move the air, and by the
system pressure they must operate against. As per American Society of Mechanical Engineers
(ASME) the specific ratio - the ratio of the discharge pressure over the suction pressure - is used
for defining the fans, blowers and compressors

11.6.2 Fan Types

Fan and blower selection depends on the volume flow rate, pressure, type of material handled,
space limitations, and efficiency. Fan efficiencies differ from design to design and also by types.
Typical ranges of fan efficiencies are given in Table 5.2.
Fans fall into two general categories: centrifugal flow and axial flow.
In centrifugal flow, airflow changes direction twice - once when entering and second when
leaving (forward curved, backward curved or inclined, radial) (see Figure 5.1). In axial flow, air
enters and leaves the fan with no change in direction (propeller, tubeaxial, vaneaxial) (see Figure
5.2).
 Ch 8

Centrifugal Fan Types

The major types of centrifugal fan are: radial, forward curved and backward curved.Radial fans
are industrial workhorses because of their high static pressures (upto 1400 mm WC) and ability
to handle heavily contaminated airstreams. Because of their simple design, radial fans are well
suited for high temperatures and medium blade tip speeds.
 Ch 8

Forward-curved fans are used in clean environments and operate at lower temperatures. They are
well suited for low tip speed and high-airflow work - they are best suited for moving large
volumes of air against relatively low pressures.
Backward-inclined fans are more efficient than forward-curved fans. Backward-inclined fans
reach their peak power consumption and then power demand drops off well within their useable
airflow range. Backward-inclined fans are known as "non-overloading" because changes in static
pressure do not overload the motor.

Difference between Backward and forward curved fan

1) Forward-curved blades curve in the direction of the fan wheel's rotation on the other
hand Backward-curved blades,curve against the direction of the fan wheel's rotation.
2) Forward-curved blades provide a low noise level comparitive to Backward-curved
blades because Backward curved blades have high speed relatively to Forward curved
blades for same capacity range
3) Forward-curved blades are good and optimised solution for small air flow with a
high increase in static pressure. On other side Backward curved blades are good
for high pressure, medium flow applications.
Forward curved fans are an excellent solution for ducted fan applications with Low
pressures-resulting in low first cost & energy, compact size and low sound.
 Ch 8

Axial Flow Fan Types

The major types of axial flow fans are: tube axial, vane axial and propeller Tube axial fans have
a wheel inside a cylindrical housing, with close clearance between blade and housing to improve
airflow efficiency. The wheel turn faster than propeller fans, enabling operation under high-
pressures 250 – 400 mm WC. The efficiency is up to 65%.
Vane axial fans are similar to tube axial, but with addition of guide vanes that improve efficiency
by directing and straightening the flow. As a result, they have a higher static pressure with less
dependence on the duct static pressure. Such fans are used generally for pressures upto 500
mmWC. Vane axials are typically the most energy-efficient fans available and should be used
whenever possible.
Propeller fans usually run at low speeds and moderate temperatures. They experience a large
change in airflow with small changes in static pressure. They handle large volumes of air at low
pressure or free delivery. Propeller fans are often used indoors as exhaust fans. Outdoor
applications include air-cooled condensers and cooling towers. Efficiency is low – approximately
50% or less.
 Ch 8

The difference between axial and radial fans

When choosing fans, many factors must be taken into account. The two most common types of
fans are axial and radial fans. It cannot be said that radial fans are better than axial fans, or vice
versa. The choice for a fan is highly dependent on the application and the several circumstances.

Axial fans: large volume displacement of air

Axial fans displace a large volume of air and are meant for low-pressure systems. Despite the
fact that axial fans displace a large volume of air, the size of an axial fan is an advantage.
Disadvantages are the high turbulence, which is bad for the lifespan of the air distribution hoses,
the low-pressure and the high noise level.

Radial fans: stable air flow in an over-pressure situation

Radial fans displace an average volume of air and are meant for high pressure systems. Radial
fans have the advantage that they are very energy efficient and can realize high pressure.
Disadvantages of radial fans are the weight and the dimensions. Radial fans are particularly
suitable to displace air in over-pressure situations and ensure a stable laminar air flow in a
channel
Ch 8
 Ch 8

Blower Types
Blowers can achieve much higher pressures than fans, as high as 1.20 kg/cm2. They are also
used to produce negative pressures for industrial vacuum systems. Major types are: centrifugal
blower and positive-displacement blower. Centrifugal blowers look more like centrifugal pumps
than fans. The impeller is typically gear-driven and rotates as fast as 15,000 rpm. In multi-stage
blowers, air is accelerated as it passes through each impeller. In single-stage blower, air does not
take many turns, and hence it is more efficient. Centrifugal blowers typically operate against
pressures of 0.35 to 0.70 kg/cm2, but can achieve higher pressures. One characteristic is that
airflow tends to drop drastically as system pressure
 Ch 8

11.7 VALVES
Valves are the components in a fluid flow or pressure system that regulate either the flow or the
pressure of the fluid. This duty may involve stopping and starting flow, controlling flow rate,
diverting flow, preventing back flow, controlling pressure, or relieving pressure.
Definition
A valve is a device for isolating or regulating the flow rate of gases, liquids and slurries through
pipework and launder systems.
Mode of Operation
 Ch 8

The force required to operate a valve can be carried out either manually (by hand or manual ) or
mechanically.
Mechanical attachments (actuators) to a valve are usually either electrically or pneumatically
operated.
The actuators can be controlled manually (ie a technician pushing a button/switch) or by the
plant control system.
Check the link below for illustration
https://www.kitz.co.jp/english2/operation_index.html
Manual valves
Manual valves are divided into four groups according to the way the closure member moves onto
the seat. Each valve group consists of a number of distinct types of valves that, in turn, are made
in numerous variations.
The way the closure member moves onto the seat gives a particular group or type of valve a
typical flow-control characteristic. This flow control characteristic has been used to establish a
preliminary chart for the selection of valves. The final valve selection may be made from the
description of the various types of valves and their variations that follow that chart.
Many different types of manual valves are used in industrial applications worldwide. The
following article will cover the general mechanism and function of the most typical of these
valves used in steam systems, such as ball valves, butterfly valves, globe valves, gate valves, and
diaphragm valves.

Ball Valves
Ball Valves, as the name implies, have a ball with a hole drilled through the center swivel
mounted within the valve body. When the hole in the ball is orientated in the same direction as
the pipe, this will result in full flow rate. As the hole in the ball is oriented away from the
direction of the pipe, the flow rate will be restricted and finally cut off completely when the hole
is oriented at 90 degrees to the pipe direction. Note that the hole in the ball is a lesser diameter
than the nominal bore of the pipe.
 Ch 8

Butterfly Valves
Butterfly valves use a similar principle to ball valves. However, instead of a ball mounted in the
valve body a circular disc (called a butterfly because the two half circles around the vertical shaft
appear like wings). Butterfly valves are characterized by their simple construction, lightness in
weight, and compact design. Their face-to-face dimension is often extremely small, making the
pressure drop across a butterfly valve much smaller than globe valves (see below). Materials
used for the valving element and sealing can limit their applications at higher temperatures or
with certain types of fluids. Butterfly valves are often used on applications for water and air, and
in applications with large pipe diameters.

gate Valves
Often just called gate valves, these are used as
isolation valves. The principle is simply a knife or
gate which is dropped in front of the flow.
Knifegate valves should never be used in a
restrictive role (ie half open) as the base of the
knifegate will wear rapidly and not seal properly
when closed. Knifegate valves come in all sizes
 Ch 8

and can have manual hand wheels or pneumatic actuators to raise and lower the knifegate.

Diaphragm (Saunders) Valves

Diaphragm valves use a 'pinching' method to stop the valve flow using a flexible diaphragm.
They are available in two types: weir and straight-way. The most commonly seen of the two is
the weir-type. This is because the straight-way type requires additional stretching of the
diaphragm, which can shorten the diaphragm's life-span.One of the major advantages of using
diaphragm valves is that the valve components can be isolated from the process fluid. Similarly,
this construction helps prevent leakage of the fluid without the use of a gland seal (packing) as
seen in other types of valves. One the other hand, the diaphragm becomes worn more easily and
regular maintenance is necessary if the valve is used on a regular basis. These types of valves are
generally not suited for very high temperature fluids and are mainly used on liquid
systems.There are two main types of Saunders valve body types:
• Weir type
• Straight through type
The diaphragm action can be actuated manually or with a pneumatic actuator (the valve body
base remains the same).

Check (Non Return) Valves

Check valves or non return valves are designed to ensure one way flow only.
Usually used in water pipework systems and installed immediately after the pump.
The most common check valve is the disc type (horizontal or vertical). When flow is sufficient
the disc is pushed out. When flow reduces (or reverses if the pump fails) then the disc falls back
into a seat blocking the flow.
 Ch 8

Pressure
Relief
valves
Pressure relief valves are designed to protect a pressure system against excessive normal or
subnormal pressure in the event of positive or negative excursion of the system pressure. They
are required to open at a predetermined system pressure, to discharge or let enter a specified
amount of fluid so as to prevent the system pressure from exceeding a specified normal
or subnormal pressure limit, and to reclose after the normal system pressure has been restored.
In large measure, accidents are caused when the pressure relief devices themselves fail to
perform the function for which they are designed. Still, these essential devices are too-often
ignored or not understood fully by the people in the industries they are designed to protect.
The eight certification designators under the ASME Boiler and Pressure Vessel Code Sections I
through XII – 2015 Edition are:
V Safety valve for steam boilers
NV Safety valve for nuclear components
HV Safety relief valve for heating boilers
UV Safety relief valve for pressure vessels
UV3 Safety relief valve for pressure vessels with more than 10,000 psi maximum allowable
working pressure
UD Rupture disk for pressure vessels
TV Safety valve for transport tanks
TD Rupture disk for transport tanks
TYPES OF DEVICES AND VALVES
A pressure relief device is actuated by inlet static pressure. It is designed to open during
emergency or abnormal conditions to prevent a rise of internal fluid pressure over a specified
 Ch 8

value or set pressure. The devices are used on all types of pressurized equipment from water
heaters to power generation equipment, and even in space crafts. The purpose of these devices is
to protect a vessel against overpressure, though they also may be designed to prevent excessive
internal vacuum. What they do not protect against is structural failure when the vessel is exposed
to abnormal conditions, such as high temperature from fire. Many types of pressure relief devices
are available in the market today. The main types of pressure relief devices are: reclosing and
non-reclosing pressure relief devices.
 Ch 8

A conventional safety relief valve is a spring-loaded pressure relief valve characterized by a

rapid-opening pop action. Conventional safety relief valves are used for applications where
excessive variable or built-up back pressure is not present in the system. The operational
characteristics of these valves are directly affected by changes in the back pressure on the valve.

VALVES Malfunctions
Causes Effect Actions
Valve Leaking or Wear Contamination of Attempt to flush
not sealing - Foreign material other streams Remove and clear
correctly - Corrosion Contamination of the Contact maintenance and
- Flange or flange bolt environment replace
failure Low pressure valve
sequence Trips
Bogging of pipework
Valve not operating Corrosion of internal Valve not sealing Attempt to flush
correctly (ball, - Foreign material Low pressure Remove and clear
butterfly) - Corrosion of handle sequence Trips Contact maintenance and
High pressure replace
sequence Trips valve
 Ch 8

Chapter 12
None-Destructive Test (NDT)
NDT Introduction

Definition of NDT
The use of noninvasive techniques to determine the integrity of a material, component, structure
or quantitatively measure some characteristic of an object. i.e. Inspect or measure without doing
harm.
Why Nondestructive?
 Test piece too precious to be destroyed
 Test piece to be reuse after inspection
 Test piece is in service
 For quality control purpose
 Something you simply cannot do harm to, e.g. fetus in mother’s uterus
Common NDT Methods
 Visual
 Liquid or Dye Penetrant
 Magnetic Particle
 Eddy Current
 Ultrasonic
 X-ray
 Thermography
Major types of NDT
 Detection of surface flaws
 Visual
 Magnetic Particle Inspection
 Fluorescent Dye Penetrant Inspection
 Detection of internal flaws
 Radiography
 Ch 8

 Ultrasonic Testing
 Eddy current Testing

12.1 VISUAL INSPECTION

Visual testing is the most basic and common inspection method involves in using of human eyes
to look for defects. But now it is done by the use special tools such as :
 Mirrors (especially small, angled mirrors),
 Magnifying glasses,
 Microscopes (optical and electron),
 Borescopes and fiber optic borescopes.
 Feeler Gauges
 Ch 8

12.2 LIQUID PENETRANT

This method is commonly used for detect the
surface cracks or defects. Dye penetrant Testing
(DPT) is one of the most widely used
nondestructive Testing (NDT) methods. DPT can
be used to inspect almost any material provided
that its surface is not extremely rough.

12.2.1 Penetrant Types

Dye penetrants
 The liquids are colored so that they provide good contrast against the developer
 Usually red liquid against white developer
 Observation performed in ordinary daylight or good indoor illumination

Fluorescent penetrants
 Liquid contain additives to give fluorescence under UV
 Object should be shielded from visible light during inspection
 Fluorescent indications are easy to see in the dark
 Ch 8

12.2.2 Dye Penetrant Testing

Process
Three liquids are used in this method.
1. Cleaner
2. Penetrant
3. Developer

Advantages
 The method has high sensitive to small surface discontinuities.
 The method has few material limitations, i.e. metallic and nonmetallic, magnetic and
nonmagnetic, and conductive and nonconductive materials may be inspected.
 Large areas and large volumes of parts/materials can be inspected rapidly and at low cost.
 Parts with complex geometric shapes are routinely inspected.
 Indications are produced directly on the surface of the part and constitute a visual
representation of the flaw.
 Penetrant materials and associated equipment are relatively inexpensive.
Disadvantages
 Only surface breaking defects can be detected.
 Only materials with a relative nonporous surface can be inspected.
 Preclearing is critical as contaminants can mask defects.
 Ch 8

 Metal smearing from machining, grinding, and grit or vapor blasting must be removed
prior to LPI.
 The inspector must have direct access to the surface being inspected.
 Surface finish and roughness can affect inspection sensitivity.
 Multiple process operations must be performed and controlled.
 Post cleaning of acceptable parts or materials is required.
 Chemical handling and proper disposal is required.

12.2.3 Application
1. Aerospace :Typical Components that are checked by this method include Turbine, rotor disc,
blades, aircraft wheels, Casting, forged parts and welded assemblies
2. Automobiles: Many automotive parts particularly aluminium castings and forging including
pistons and cylinder heads are subjected to this form of quality checks before assembly
3. Railways: LPI to detect fatigue cracking is also used for the regular in service examination of
the bogie frames of railway locomotive and the rolling stock
4. Tool and dies: field drilling rays, drill pipes, castings and drilling equipment's inspected by
this methods
5.Inspection on reactors and tank: Tanks, vessels, reactors, piping, dyers in the chemical, petro-
chemical industries.

12.3 MAGNETIC PARTICLE TESTING

This method is suitable for the detection of surface and near surface discontinuities in magnetic
material, mainly ferrite steel and iron. Magnetic particle Testing (MPT) is a nondestructive
testing method used for defect detection. MPT is fast and relatively easy to apply, and material
surface preparation is not as critical as it is for some other NDT methods.
 Ch 8

12.3.1 Basic Principle of MPT

In the first figure the magnetized metal has no crack and there only two poles that is north pole
and south pole. And in second figure the magnetized metal has a crack and at the crack point
there creates another north and south pole for the magnetic flux leakage

The part is magnetized. Finely milled iron particles coated with a dye pigment are then applied
to the specimen. These particles are attracted to magnetic flux leakage fields and will cluster to
 Ch 8

form an indication directly over the discontinuity. This indication can be visually detected under
proper lighting conditions.

Magnetizing the object

There are a variety of methods that can be used to establish a magnetic field in a component for
evaluation using magnetic particle inspection. It is common to classify the magnetizing methods
as either direct or indirect.
Direct magnetization:
Current is passed directly through the component.
 Ch 8

Clamping the component between two electrical contacts in a special piece of equipment or
Using clams or prods, which are attached or placed in contact with the component
Indirect magnetization:
Using a strong external magnetic field to establish a magnetic field within the component

12.3.2 Magnetic
particles
Pulverized iron oxide (Fe3O4) or carbonyl iron powder can be used
Colored or even fluorescent magnetic powder can be used to increase visibility
Powder can either be used dry or suspended in liquid

Advantages of MPI
 One of the most dependable and sensitive methods for surface defects
 Fast, simple and inexpensive
 Direct, visible indication on surface
 Unaffected by possible deposits, e.g. oil, grease or other metals chips, in the cracks
 Can be used on painted objects
 Ch 8

 Surface preparation not required

 Results readily documented with photo or tape impression

Limitations of Magnetic Particle Testing

 Material must be ferromagnetic.
 Orientation and strength of magnetic field is critical.
 Detects surface and near-to-surface discontinuities only.
 Large currents sometimes require.

12.4 RADIOGRAPHY
X-rays were discovered in 1895 by Wilhelm Conrad Roentgen (1845-1923) who was a Professor
at Wuerzburg University in Germany. Working with a cathode-ray tube in his laboratory,
Roentgen observed a fluorescent glow of crystals on a table near his tube.
 Ch 8

The radiation used in radiography testing is a higher energy (shorter wavelength) version of the
electromagnetic waves that we see as visible light. The radiation can come from an X-ray
generator or a radioactive source. Radiographic Testing Method is nothing but to take the
shadow picture of an object onto a film by the passage of X-ray or Gamma ray through it. It is
the same as the medical radiography (X-ray). Only difference in their wave length

12.4.1 Difference Between X-Ray And GAMMA-Ray

Radiography

X- Ray GAMMA-Ray
Larger wavelength Shorter wavelength
Less penetration power High penetration power
Used for components having thickness Used for more thickness components
 Ch 8

up to 62 mm
Only one component can be examined Many components can be examined at
at time time
Equipment is larger size Equipment is smaller size
More intensity and faster Less intensity and slower

Production of X-rays
X-rays are produced whenever high-speed electrons collide with a metal target.
A source of electrons – hot W filament, a high accelerating voltage (30-50kV) between the
cathode (W) and the anode and a metal target. The anode is a water-cooled block of Cu
containing desired target metal.
 Ch 8

Absorption of x-ray
 All x-rays are absorbed to some extent in
passing through matter due
to electron ejection or
scattering.
 The absorption follows the
equation

where
I is the transmitted intensity;
x is the thickness of the matter;
 is the linear absorption coefficient (element dependent);
 is the density of the matter;
2
(/) is the mass absorption coefficient (cm /gm).

Essential Elements for Radiography Testing

 A source of penetrating radiation, such as an X-ray machine.
 The object to be radiographed, such as a weldment.
 Ch 8

 A recording or viewing device, usually photographic (X-ray) film enclosed in a light tight
holder.
 A qualified radiographer trained to produce a satisfactory exposure.
 A person skilled in the interpretation of radiographs

Radio Isotope (Gamma) Sources

As the material rids itself of the neutron, energy is released in the form of gamma rays. Two of
the more common industrial Gamma-ray sources are Iridium-192 and Colbalt-60. These isotopes
emit radiation in two or three discreet wavelengths. Cobalt 60 will emit a 1.33 and a 1.17 MeV
gamma ray, and iridium-192 will emit 0.31, 0.47, and 0.60 MeV gamma rays.
Advantages of gamma ray sources include portability and the ability to penetrate thick materials
in a relativity short time.
Disadvantages include shielding requirements and safety considerations.

Advantages of Radiography
 Ch 8

 Information is presented pictorially.

 A permanent record is provided which may be viewed at a time and place distant from
the test.
 Useful for thin sections.
 Sensitivity declared on each film suitable for any material
Limitations of Radiography
 There is an upper limit o -ray
from Co-60 can penetrate up to 150mm of steel
 The operator must have access to both sides of an object
 Highly skilled operator is required because of the potential health hazard of the energetic
radiations
 Relative expensive equipment
X-Rays Applications
Applications of X-Rays…
 X-rays are used in industrial, medical, pure science research and X-ray crystallography
etc…
 X-rays are used to detect defects in radio valves.
 X-rays are used to detect cracks in structures.
 X-rays are used to analyses the structures of alloys and other composite bodies by
diffraction of X-rays.
 They are also used to study the structure of materials like rubber, cellulose, plastic, fibers
etc…
 X-rays can destroy abnormal internal tissues.
 Ch 8

12.5 ULTRASONIC TESTING

In ultrasonic testing, high-frequency sound waves are transmitted into a material to detect
imperfections or to locate changes in material properties.
The most commonly used ultrasonic testing technique is pulse echo, whereby sound is
introduced into a test object and reflections (echoes) from internal imperfections or the part's
geometrical surfaces are returned to a receiver. The time interval between the transmission and
reception of pulses give clues to the internal structure of the material.

12.5.1 Ultrasonic Inspection (Pulse-Echo)

High frequency sound waves are introduced into a material and they are reflected back from
surfaces or flaws.Reflected sound energy is displayed versus time, and inspector can visualize a
cross section of the specimen showing the depth of features that reflect sound.
 Ch 8

Generation of Ultrasonic Waves

Piezoelectric transducers are used for converting electrical pulses to mechanical vibrations and
vice versa Commonly used piezoelectric materials are quartz, Li2SO4, and polarized ceramics
such as BaTiO3 and PbZrO3.Usually the transducers generate ultrasonic waves with frequencies
in the range 2.25 to 5.0 MHz

Ultrasonic Wave Propagation

Common type
Longitudinal or Compression waves
Similar to audible sound waves the only type of wave which can
travel through liquid.
Shear or Transverse waves
Generated by passing the ultrasonic beam through the material at an angle
Usually a plastic wedge is used to couple the transducer to the material
 Ch 8

12.5.2 Test Techniques

Normal and Angle Beam
In normal beam testing, the sound beam is introduced into the test article
at 90 degree to the surface. In angle beam testing, the sound beam is
introduced into the test article at some
angles other than 90.The choice between
normal and angle beam inspection usually
depends on two considerations:
The orientation of the feature of interest
the sound should be directed to produce the
largest reflection from the feature.Obstructions on the surface of the
part that must be worked around.

12.5.3 Couplant
A couplant is a material (usually liquid) that facilitates the transmission of ultrasonic energy
from the transducer into the test specimen. Couplant is generally necessary because the acoustic
impedance mismatch between air and solids (i.e. such as the test specimen) is large.
The couplant displaces the air and makes it possible to get more sound energy into the test
specimen so that a usable ultrasonic signal can be obtained. In contact ultrasonic testing a thin
film of oil, glycerin or water is generally used between the transducer and the test surface
 Ch 8

12.5.4 Data Presentation

Ultrasonic data can be collected and displayed in a number of different formats. The three most
common formats are know in the NDT world as A-scan, B-scan and C-scan presentations. Each
presentation mode provides a different way of looking at and evaluating the region of material
being inspected. Modern computerized ultrasonic scanning systems can display data in all three
presentation forms simultaneously.
A-Scan
The A-scan presentation displays the amount of received ultrasonic energy as a function of time.
The relative amount of received energy is plotted along the vertical axis and elapsed time (which
may be related to the sound energy travel time within the material) is display along the horizontal
axis.
Relative discontinuity size can be estimated by comparing the signal amplitude obtained from an
unknown reflector to that from a known reflector. Reflector depth can be determined by the
position of the signal on the horizontal sweep.
 Ch 8

B-Scan
The B-scan presentations is a profile (cross-sectional) view of the a test specimen. In the B-scan,
the time-of-flight (travel time) of the sound energy is displayed along the vertical and the linear
position of the transducer is displayed along the horizontal axis. From the B-scan, the depth of
the reflector and its approximate linear dimensions in the scan direction can be determined.The
B-scan is typically produced by establishing a trigger gate on the A-scan. Whenever the signal
intensity is great enough to trigger the gate, a point is produced on the B-scan. The gate is
triggered by the sound reflecting from the back wall of the specimen and by smaller reflectors
within the material.
 Ch 8

C-Scan
C-scan presentations are produced with an automated data acquisition system, such as a
computer controlled immersion scanning system. Typically, a data collection gate is established
on the A-scan and the amplitude or the time-of-flight
of the signal is recorded at regular intervals as the
transducer is scanned over the test piece. The relative
signal amplitude or the time-of-flight is displayed as a
shade of gray or a color for each of the positions
where data was recorded. The C-scan presentation
provides an image of the features that reflect and
scatter the sound within and on the surfaces of the test
piece.

12.6 EDDY CURRENT TESTING

Electrical currents are generated in a conductive material by an induced alternating magnetic
field. The electrical currents are called eddy currents because the flow in circles at and just below
the surface of the material. Interruptions in the flow of eddy currents, caused by imperfections,
dimensional changes, or changes in the material's conductive and permeability properties, can be
detected with the proper equipment.
Eddy current testing can be used on all electrically conducting materials with a reasonably
smooth surface. The test equipment consists of a generator (AC power supply), a test coil and
recording equipment, e.g. a galvanometer or an oscilloscope . Used for crack detection, material
thickness measurement (corrosion detection), sorting materials, coating thickness measurement,
metal detection, etc.
 Ch 8

12.6.1 Principle of Eddy Current Testing

When a AC passes through a test coil, a primary magnetic field is set up around the coil
The AC primary field induces eddy current in the test object held below the test coil
A secondary magnetic field arises due to the eddy current

12.6.2 Eddy Current Testing

Eddy current testing is particularly well suited for detecting surface cracks but can also be used
to make electrical conductivity and coating thickness measurements. Here a small surface probe
is scanned over the part surface in an attempt
to detect a crack.
 Ch 8

12.6.3 Eddy current Applications

 Crack Detection
 Material Thickness Measurements
 Coating Thickness Measurements
 Conductivity Measurements For:
 Material Identification
 Heat Damage Detection
 Case Depth Determination
 Heat Treatment Monitoring

12.7 COMMON APPLICATION OF NDT

 Inspection of Raw Products
 Inspection Following Secondary Processing
 In-Services Damage Inspection
Inspection of Raw Products
 Forgings
 Ch 8

 Castings
 Extrusions , etc
Inspection Following Secondary Processing
 Machining
 Welding
 Grinding
 Heat treating
 Plating
 etc.
Inspection for In-Service Damage
 Cracking
 Corrosion
 Erosion/Wear
 Heat Damage
 etc.
Power Plant Inspection
Periodically, power plants are shutdown for inspection. Inspectors feed eddy current
probes into heat exchanger tubes to check for corrosion damage.
Wire Rope Inspection
Electromagnetic devices and visual inspections are used to find broken wires and other
damage to the wire rope that is used in chairlifts, cranes and other lifting devices.
Storage Tank Inspection
Robotic crawlers use ultrasound to inspect the walls of large above ground tanks for signs
of thinning due to corrosion.

Aircraft Inspection
Nondestructive testing is used extensively during the manufacturing of aircraft.
NDT is also used to find cracks and corrosion damage during operation of the aircraft.
A fatigue crack that started at the site of a lightning strike is shown below.
Rail Inspection
 Ch 8

Special cars are used to inspect thousands of miles of rail to find cracks that could lead to a
derailment.
Bridge Inspection
The US has 578,000 highway bridges. Corrosion, cracking and other damage can all affect a
bridge’s performance. The collapse of the Silver Bridge in 1967 resulted in loss of 47 lives.
Bridges get a visual inspection about every 2 years. Some bridges are fitted with acoustic
emission sensors that “listen” for sounds of cracks growing.
Pipeline Inspection
NDT is used to inspect pipelines to prevent leaks that could damage the environment. Visual
inspection, radiography and electromagnetic testing are some of the NDT methods used

12.8 PIPE LINE INSPECTION

Pipeline companies use a wide variety of methods to monitor pipelines – from highly advanced
technology to patrolling the pipeline right-of-way. Visual inspections are done regularly – either
by walking, flying or using drones – and the industry also uses electronic monitoring from high-
tech control rooms and patrols inside the pipeline.

12.8.1 Pigs
What’s a PIG?
Pipeline pigs are devices that are placed inside the pipe and traverse the pipeline.
 Ch 8

Pigging use several nondestructive testing methods to perform the inspections. Most pigging use
a magnetic flux leakage method but some also use ultrasound to perform the inspections. Pigs
that use ultrasound, have an array of transducers that emits a high frequency sound pulse
perpendicular to the pipe wall and receives echo signals from the inner surface and the outer
surface of the pipe. The tool measures the time interval between the arrival of a reflected echo's
from inner surface and outer surface to calculate the wall thickness.

The purpose of pigging

It is important that pipelines are maintained?
Pipeline design for pigging
Driving a Pig Big difference between pigging natural gas
and liquid lines
– Pigs go with the flow in liquid lines
The optimal speed is 3-6 mph
– Not every pipeline operates at this flow rate
Unpiggable Pipeline
A pipeline that can’t be pigged, not all pipelines can be successfully pigged
– Companies strive to make their pigs work perfectly the first time.
– Achieve this 90% of the time.
Many pipelines were built before pigs were first used – In the 1970’s, only 30% of interstate gas
pipelines could be pigged.
What makes lines Unpiggable?
 Small diameters
 Flow and access
 Bends and Connections
 Older Pipelines
In-line inspection pigging
 Ch 8

Pigging Application in Corrosion Control

Ch 8