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An Investigation of External Gear Pump Efficiency and Stribeck Values

Article  in  SAE Technical Papers · September 2012

DOI: 10.4271/2012-01-2041

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 2012-01-2041

An Investigation of External Gear Pump Efficiency and Stribeck

Values
Paul Michael, Hassan Khalid, and Tom Wanke
Milwaukee School of Engineering, Fluid Power Institute

Copyright © 2012 SAE International

ABSTRACT
This paper presents an experimental study of external gear pump efficiency based upon an analysis of the Stribeck values. The
volumetric, mechanical, and overall efficiencies of a variety of external gear pumps were measured under steady state conditions.
Straight grade antiwear hydraulic fluids were evaluated at 50°C and 80°C. Stribeck values for mechanical, volumetric, and overall
efficiency were compared to classic pump efficiency curves. The experimental curves for pump volumetric and overall efficiency
were consistent with the classic pump efficiency model. Mechanical efficiency diverged from model behavior at low Stribeck
numbers; declining at low speeds and high pressures as contact conditions transitioned from the hydrodynamic to the mixed-film
lubrication regime. Lubrication of external gear pumps can be enhanced by using hydraulic fluids that optimize the Stribeck value. A
simple expression for relating the Stribeck number to volumetric and mechanical efficiency is presented.

Keywords: Hydraulic fluid, lubrication, friction.

INTRODUCTION
Pumps convert rotational power at an input shaft into fluid flow. Positive displacement pumps transfer a specific volume of fluid per
shaft revolution at a flow rate that is nominally independent of the pump outlet pressure. The most widely used positive displacement
machine is the external gear pump. [1] Gear pumps are suitable for a wide variety of fluid power applications because of their simple,
rugged, and economical design. Typical applications include dump trucks, hydraulic dock levelers, fan drives, backhoe loaders, and
hydrostatic charge pumps.

In external gear pumps, flow is produced by directing fluid around the perimeter of meshing gears as shown in Figure 1. Displacement
of the fluid that is enveloped by the meshing gears creates positive flow. Most external gear pumps use two identically-sized gears as
shown in Figure 2. The input shaft is mounted to the driving gear while the driven gear is supported by a bushing block on each side.
Positive displacement is ensured by a close-fit housing and pressure-balanced bushing blocks. The external gear pump design benefits
from a minimum of moving parts and a low initial cost. Gear pumps are, however, typically limited to applications that operate at less
than 250 Bar. In addition, gear pumps tend to be noisier than other pump designs due to pressure spikes created by rapid volume
changes between the meshing gears.

Page 1 of 12
 Figure 1 - Sectional view of an external gear pump

Figure 2 - Exploded view of an external gear pump

Numerous modeling and experimental investigations have been conducted to characterized the complex fluid-structure interactions
that affect pressure ripple (noise) and efficiency in external gear pumps. [2,3,4] Most gear pumps have an equal number of teeth on
both gears, silencing grooves machined into the bushing blocks, and high pressure fluid ported to the back side of the bushing block to
facilitate lateral alignment. [5] Manring and Kasaragadda [6] investigated the effect of varying the number of teeth on pump noise and
flow rate. The authors’ theoretical flow pulse solution indicated that the driving gear shapes the flow ripple characteristics of the
pump while the driven gear determines the pump displacement. It was shown that an asymmetric pump with a higher number of teeth
on the driving gear exhibits reduced flow pulse amplitude. Koç, Kurban, and Hooke analyzed the lubrication mechanisms of the
bush-type bearings in gear pumps. [7] Bushing blocks align the radial location of the gears within the pump casing. They also must
align with the end-face of the gears. Lateral alignment is accomplished by directing pump pressure to the back side of the bushing
blocks. The region over which the pressure acts is adjusted to balance hydrostatic forces and seal pre-load. They showed that outlet
pressure has a greater influence on the lateral gap height than speed.

Borghi, Paltrinieri, Zardin and Milani [8] analyzed the effects of hydrostatically balanced bushing block design on volumetric
efficiency. Their lumped parameter model related bushing tilt and balancing groove geometry to pump efficiency. Experimental
volumetric efficiency measurements varied from model behavior at high pressures due to an increase in the lateral gap height. This
expansion in lateral gap height accounts for the non-linear degradation in volumetric efficiency observed at high pressures.

Vacca and Guidetti [9] developed an experimentally validated numerical model to study steady state pump performance, pressure
ripple, and housing wear. High pump outlet pressures produce radial thrust on the gears that causes wear adjacent to the inlet port.
The average total force acting on the driven gear was shown to be higher than the force acting on the driving gear. Wear depth was
mainly affected by the outlet pressure and shaft speed. In [10], Borghi, Zardin and Specchia noted marked signs of wear on the
bearing blocks near the pump inlet port, particularly on the driven gear side. Dala Lana and DeNegri observed wear on pump
housings, gears, and bushing blocks in agricultural equipment. [4] The pump housings exhibited the highest level of surface loss.

Viscosity plays a critical role in the reliability of external gear pumps. A hydraulic fluid that is too low in viscosity will reduce pump
volumetric efficiency and increase wear due to surface contact. A hydraulic fluid that is too high in viscosity will reduce pump
Page 2 of 12
mechanical efficiency and increase the potential for cavitation damage to occur. [11] Herzog and Neveu have examined the effects of
hydraulic fluid properties on hydraulic pump efficiency. [12, 13, 14] These studies have determined that efficiency is affected by
temperature, fluid viscosity, and shear stability.

Pump volumetric efficiency (ηv) is the ratio of the effective output flow rate (qv) to the theoretical output flow rate (qvi). The
theoretical output flow rate can be determined by multiplying the theoretical pump displacement volume per revolution (Vi) by
rotational frequency or speed (n) as shown in Equation 1.

qV q
V   V
qVi Vi (n) (1)

Pump mechanical (torque) efficiency (ηT) is ratio of the theoretical torque (Ti) to the actual torque (T) required to rotate the pump. The
theoretical torque can be determined by multiplying the theoretical pump displacement volume per revolution (Vi) by differential
pressure (P) and dividing by 2π. (Equation 2)

Ti ( P)Vi
T  
T 2 T (2)

Pump overall efficiency is the ratio of the power transferred to the liquid (hydraulic output power, Ph) at its passage through the
pump, to the mechanical input power (Pm). This value is determined by multiplying mechanical efficiency by volumetric efficiency
as shown in Equation 3.
Ph
O   TV
Pm (3)

A classic pump efficiency curve is depicted in Figure 3. [15] The classic pump efficiency curve is similar to the bearing friction curve
that was published by Richard Stribeck in 1902. [16] Stribeck’s original paper described bearing friction characteristics as a function
of viscosity, speed, and load. Based upon the work of Hersey, this dimensionless group of parameters has evolved into the common
notation ZN/P where Z is viscosity, N is rotational speed and P is pressure. [17] As in a Stribeck curve, the abscissa for a pump
efficiency curve is the product of viscosity, speed, and reciprocal pressure. A classic pump curve differs from a Stribeck curve in that
the ordinate is efficiency. In modern engineering texts, the Stribeck number is sometimes described as dimensionless viscosity (
).

Figure 3 - Classic pump efficiency curve, adapted from Manring [10]

Pump efficiency models are based upon the principles of Newton, Petroff, and Poiseuille. According to Newton’s Law of Viscous
Flow, the shear stress ( ) across an oil film is proportional to the shear rate (Equation 4).

Page 3 of 12
  u 
  const  
 y  (4)

Viscosity, the proportionality constant in Newton’s law, varies from fluid to fluid but it is independent of shear rate. If a tangential
force (F) is applied over an area (A) the resulting velocity gradient across the fluid film, where U = velocity and h = film
thickness (Equation 5).
F U 
Z 
A h (5)

Petroff’s Law for friction in a concentric bearing (Equation 6) assumes Newtonian viscosity behavior and a uniform oil film equal to
half the diametrical clearance (h=C/2). This linear expression for the relationship between friction (f) and Stribeck number yields a
reasonable estimate of friction in lightly loaded bearings.

 D  ZN
f  2 2  
C P (6)

In the classic pump efficiency model, the same concentricity assumption is applied and hydrodynamic losses are modeled as a linear
function of dimensionless viscosity. Hydrodynamic losses or “viscous drag” increase the torque required to generate flow. As a result
the mechanical efficiency curve in Figure 3 has a negative slope. Mechanical efficiency (Equation 2) may be restated in terms of
hydrodynamic losses as shown in Equation 7. [18]

TI 1 1
T   
TI  f 1  f   D  ZN  
2
1   
 h  P  (7)

Poiseuille’s Law is the basis for modeling leakage losses (qL) in pumps. Poiseuille experimentally discovered that the rate of flow in a
horizontal capillary is proportional to the pressure gradient and the fourth power of the bore diameter. Using a modified Poiseuille
equation, leakage may be modeled as laminar flow through an orifice of length (L), height (h) and gap width (b) (Equation 8). [9]
1  bh3  P
qL   
12  L  Z (8)

Actual pump flow equals theoretical flow minus leakage flow (qV = qvi - qL). Restating volumetric efficiency in terms of leakage flow
yields Equation 9. [18]

qL   bh3   P 
V  1   1   
qVI  6VI L   ZN  (9)

As shown above, pump volumetric and mechanical efficiencies are to varying degrees viscosity dependent. Volumetric efficiency
tends to increase with viscosity because qL . Mechanical efficiency tends to decrease with viscosity because f Z.

Page 4 of 12
A variety of excellent efficiency models appear in the literature. Most of these models are used to elucidate the manner in which pump
design impacts efficiency. Manring presents useful equations for modeling pump efficiency in terms of pressure, viscosity, and speed
in [15]. Equation 10 is said to describe volumetric efficiency in terms of dimensionless viscosity and coefficients that account for
fluid compressibility effects and leakage flow within the pump (CL1) and low Stribeck number (high-Reynolds number) leakage flow
(CL2).

1
 P   P  2
V  1  CL1    CL 2  
 ZN   ZN  (10)

Equation 11 is said to describe torque efficiency in terms of dimensionless viscosity and coefficients that account for coulomb friction
(CH1), fluid shearing losses (CH2) and mixed film friction (CH3). Equations 10 and 11 are well suited for non-linear regression of pump
efficiency data. The present study seeks to provide insights into the effect of viscosity on efficiency by interpreting experimental data
in terms of Stribeck values.

1
 ZN   ZN  2
T  1  CH 1  CH 2    CH 3  
 P   P  (11)

PROCEDURE
Sixteen external gear pumps from seven manufacturers were evaluated using a modified ISO 4409 procedure. [19] In the modified
procedure, the measured pump flow rate rather than the effective flow rate was used in the volumetric efficiency determination.
Straight grade ISO VG32 and VG46 antiwear mineral oil hydraulic fluids were evaluated at 50°C and 80°C. The circuit load was
created by a pressure control valve mounted downstream from the pump outlet as depicted in Figure 4. Pumps with different
materials of construction, maximum pressure, and rotary speed ratings were evaluated. As a result, some pumps were evaluated at
higher pressures and greater angular velocities than others. The range of test conditions is listed below.

 Displacement: 31.8 to 56.5 cc

 Speed: 600 to 3300 rpm
 Differential pressure: 1.38 to 27.6 MPa

Figure 4 - Circuit diagram for pump efficiency tests

Page 5 of 12
An average of 114 data points were collected for each pump. Pump input power was measured using a Honeywell 1605 rotary
transformer torque sensor and tachometer. Output flow rates were determined using a Webtech CT-150 turbine flow meter. Wika
C10 transducers were used for pressure measurement and J type thermocouples with Wika T12.10 transmitters were used to monitor
the fluid temperature. Data was collected on a DashDaq multichannel oscilloscope. Based on the reduced sum of square method
specified in ISO 4409 Annex B, the uncertainties in volumetric efficiency and mechanical efficiency were determined to be ±0.75%
and ±0.07% respectively.

PUMP EFFICIENCY MEASUREMENTS

Pump flow rate was measured under conditions of steady state differential pressure and shaft speed. Typical data for one pump is
shown in Figure 5. In this example, flow was measured at nine differential pressure levels and five angular velocities. As expected,
flow rates for a given shaft speed declined as the outlet pressure was increased. In addition, pump flow rates for 50°C fluid were
greater than the flow rates measured for 80°C fluid. These results agree with the theory that an increase in fluid viscosity produces a
corresponding increase in pump flow.

Figure 5 - Typical flow versus pressure data for a gear pump test

The pump input torque was measured under conditions of steady state differential pressure and shaft speed. In the example shown in
Figure 6, torque was measured at nine differential pressure levels and five angular velocities. An increase in pump differential
pressure produced an increase in torque, as expected. The effect of temperature on mechanical efficiency was less pronounced than
the effect of temperature on volumetric efficiency.

Figure 6 - Typical torque versus speed data for a gear pump test

Data sets such as those shown in Figures 5 and 6 were collected for each pump at 50°C and 80°C with a straight grade ISO VG 32 or a
straight grade ISO VG 46 antiwear hydraulic fluid. Volumetric, mechanical, and overall efficiencies were calculated using Equations
1, 2, and 3 respectively. The average efficiency was determined for each pump throughout the range of rated operating pressures and
speeds. Average volumetric and mechanical efficiency values are shown in Figures 7 and 8.

Page 6 of 12
 Figure 7 - Average volumetric efficiency for 16 gear pumps

Figure 8 - Average mechanical efficiency for 16 gear pumps

In order to determine if differences in average efficiencies at 50°C and 80°C are statistically significant, an analysis of variance
(ANOVA) was conducted with temperature as a fixed factor and alpha set to 0.05. The p-value was less than 0.0005, indicating the
effect of temperature on efficiency was significant. The 95% confidence intervals for mean volumetric, mechanical and overall
efficiencies are shown in Figure 9. In all three instances the mean pump efficiency at 50°C was greater than the mean pump efficiency
at 80°C. The fluid viscosity was also approximately three times higher at 50°C. Since the same fluid was evaluated at 50°C and 80°C,
this difference in mean efficiencies is apparently due to the viscosity-temperature response of the fluid.

Page 7 of 12
 Figure 9 - 95% confidence intervals for the mean volumetric, mechanical, and overall efficiencies

Efficiency is not simply a function of oil temperature and viscosity. Pump differential pressure and rotational frequency are also
factors. For the pumps examined in this study, low volumetric efficiency corresponded with a rotational frequency ≤ 800 RPM,
pressure > 13 MPa, and a fluid temperature of 80°C. High volumetric efficiency corresponded with a rotational frequency ≥ 2400
RPM, pressure < 7 MPa, and a fluid temperature of 50°C. The same conditions that created high volumetric efficiency produced low
mechanical efficiency.

STRIBECK ANALYSIS
Stribeck values were determined for each data point. The Stribeck value in a pump efficiency curve is ZN/P, where Z is absolute
viscosity at the oil temperature in pascal seconds, N is the pump rotational frequency in radians/second, and P is the pump differential
pressure in pascals. The Stribeck curve for volumetric efficiency is shown in figure 10. At high Stribeck values the volumetric
efficiency asymptotically approaches 1.0. At low Stribeck values the volumetric efficiency precipitously decreases. Nonlinear
regression of the volumetric efficiency as a function Stribeck number using equation 10 produced the line shown in figure 10. As can
be seen in equation 12, both of the leakage coefficients (CL1 and CL2) are negative. These results are consistent with the classic
volumetric efficiency model.

Figure 10 - Scatter plot of volumetric efficiency versus ZN/P with curve fitted to Equation 11

1
 P  5  P 
V  1   6.8 10      2.0 10  
2
9
 (12)
 ZN   ZN 

Page 8 of 12
The Stribeck curve for mechanical efficiency is shown in Figure 11. Mechanical efficiency decreases in a linear manner with
increasing Stribeck value as represented in classic pump efficiency models. However at low Stribeck values, mechanical efficiency
plateaus. This plateau in mechanical efficiency at low Stribeck numbers is not observed in classic mechanical efficiency models.
Nonlinear regression of mechanical efficiency as a function of Stribeck number using Equation 11 produced the curved line in figure
11.

Figure 11 - Scatter plot of volumetric efficiency versus ZN/P with curve fitted to Equation 10

As can be seen in equation 13, Coulomb friction (CH1) and hydrodynamic friction (CH2) coefficients are negative. The thin film
friction (CH3) coefficient is positive. A positive value for CH3 is required to minimize the residuals and capture the low Stribeck
number plateau in the mechanical efficiency curve. Since C H3 is positive, this coefficient cannot arise from thin film friction.

1
 ZN   ZN  2
T  1  0.124  107000    73.78  
 P   P  (13)

Residual analysis was performed to evaluate the aptness of the fitted models. In residual analysis, differences between the observed
and predicted values are plotted. By plotting the residuals, linear trends in the data are removed. Histograms for the residuals from
volumetric and mechanical efficiency models are shown in figure 12.

Figure 11: Histograms of the difference between the observed and predicted values

The residuals for the volumetric efficiency model are narrowly distributed. The midpoint of the distribution is + 0.025. This offset in
the model can be observed in figure 10, as the curve generally lies below the plotted results. Modification of equation 10 by changing
1.0 to 1.025 would correct this offset. It would also obviate the physical meaning of equation 10.
Page 9 of 12
The residuals for the mechanical efficiency model are more widely distributed. There are two distinct peaks in the histogram. This
feature can be observed in the low Stribeck number region of figure 11 where data points are clustered above and below the fitted
curve. Pumps that generate points above the curve utilize designs that more effectively prevent bushing block tilt or loss of
concentricity at low Stribeck numbers. The complex interactions between the gears, bushing blocks, and housings in gear pumps
cannot be predicted with equation 11. Nonetheless equations 10 and 11 are useful expressions for relating the Stribeck number to
volumetric and mechanical efficiency.

In order to compare experimental results to classic pump efficiency curves, locally weighted scatterplot smoothing (Lowess
Smoothing) was used to plot curves through the data sets. As can be seen in Figure 13, volumetric efficiency exhibits classic
Poiseuille behavior. Mechanical efficiency declines in the region where volumetric efficiency precipitously decreases. This is a
departure from classic mechanical efficiency models based upon Petroff’s Law for concentric bearings. It is proposed that mechanical
efficiency declines at low Stribeck values as the lubrication conditions transition from the hydrodynamic to the mixed-film regime.
To varying degrees, depending upon pump design, low speeds and high differential pressures cause tilting of the bushing blocks and
loss of gear concentricity. The resulting reduction in gap heights produces wear on pump housings, gears, and bushing blocks. Wear
patterns reported in the literature [4,9,10] support the hypothesis that the lubrication conditions transition to the mixed-film regime at
low Stribeck values.

Volumetric, Mechanical, and Overall Efficiency Curves

100

90
Efficiency,%

80

70

60 Volumetric N=16
Mechanical n=1789
Overall
50
0 1 2 3 4
ZN/P*10^6

Figure 13 - Trend in volumetric, mechanical, and overall efficiency based upon locally weighted scatterplot smoothing (Lowess
Smoothing)

SUMMARY AND CONCLUSIONS

Sixteen external gear pumps from seven equipment manufacturers were evaluated experimentally. Straight grade ISO VG32 and
VG46 antiwear mineral oil hydraulic fluids were tested at 50°C and 80°C. The average volumetric, mechanical, and overall
efficiencies were higher at 50°C than 80°C. Stribeck values for mechanical, volumetric, and overall efficiency were compared to
classic pump efficiency curves. The experimental curves for volumetric and overall efficiency were consistent with the classic pump
efficiency model. Mechanical efficiency diverged from model behavior at low Stribeck numbers; plateauing at low speeds and high
pressures as lubrication conditions transitioned from the hydrodynamic to the mixed-film regime. This deviation from Petroff’s Law
is due to bushing tilt, loss of gear concentricity, and reduced gap heights. The lubrication of external gear pumps can be enhanced by
using hydraulic fluids that optimize the Stribeck value. A simple expression for relating the Stribeck number to volumetric and
mechanical efficiency is presented.

REFERENCES
1. US Census Bureau [Internet]. Current industrial reports, fluid power products for motion control, including aerospace. c2010 –
[Cited December 20, 2011]. available from http://www.census.gov/manufacturing/cir/historical_data/ma333n/index.html
2. Koç E, Hooke CJ. An experimental investigation into the design and performance of hydrostatically loaded floating wear plates
in gear pumps. Wear, 1997;209:184-192

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 3. Huang KJ, Lian WC. Kinematic flowrate characteristics of external spur gear pumps using an exact closed solution.
Mechanism and Machine Theory, 2009;44:1121-1131
4. Dala Lana E, DeNegri VJ. A new evaluation method for gear pump efficiency through temperature measurements, SAE 2006-
01-3503
5. Wang S, Sakurai H, Kasarekar A. The optimal design in external gear pumps and motors. IEEE/ASME Transactions on
Mechantronics, 2011;16(5):945-952
6. Manring ND, Kasaragadda SB. The theoretical flow ripple of an external gear pump, Journal of Dynamic Systems,
Measurement, and Control 2003; 125(3):396-404
7. Koç E, Kurban AO, Hooke CJ. An analysis of the lubrication mechanisms of the bush-type bearings in high pressure pumps.
Tribology International, 1997; 30(8):553-560
8. Borghi M, Paltrinieri F, Zardin B, Milani M. External gear pumps and motors bearing blocks design: Influence on volumetric
efficiency. In: Proceedings of the 51st National Conference on Fluid Power; 2008 Mar 11-15 Las Vegas, Milwaukee: NFPA;
2008. p. 557-571
9. Vacca A, Guidetti M. Modelling and experimental validation of external spur gear machines for fluid power applications.
Simulation Modelling Practice and Theory, 2011;19(9):2007-2031
10. Borghi M, Zardin B and Specchia E. External gear pump volumetric efficiency: numerical and experimental results, SAE
2009-01-2844
11. NFPA. Recommended practice – Hydraulic fluid power – Fluids – Viscosity selection criteria for hydraulic motors and
pumps. National Fluid Power Association, Milwaukee WI, T2.13.13; 2002.
12. Neveu CD, Cocks R, Hutchinson P. A study of the dependence of the volumetric efficiency of a vane pump on pressure and
viscosity. In: ISFL-2002, Proceedings of the Third International Symposium on Fluids and Lubricants; 2002 Oct 7-9 New Delhi,
India
13. Herzog S, Neveu CD. Relative impact of hydromechanical and volumetric losses on hydraulic pump efficiency at high and
low temperatures. In: Proceedings of the 52nd National Conference on Fluid Power; 2011 Mar 23-25 Las Vegas, p. 979-985.
14. Herzog S, Michael P. Hydraulic Fluid Viscosity Selection for Improved Fuel Economy. In: Proceedings of the 7th
International Fluid Power Conference; 2010 Mar 22-24 Aachen, Germany, 2:167-178
15. Manring ND. Hydraulic Control Systems. New York: John Wiley and Sons; 2005.
16. Stribeck R. Kugellager fu¨r beliebige Belastungen, Zeitschrift des Vereines deutscher Ingenieure 1901; 45(3):73–79 (pt I) &
45(4):118–125 (pt II)
17. Hersey MD. Theory and Research in Lubrication. New York: John Wiley and Sons; 1966
18. Stelson KA, Wang F. A Simple Model of Piston-Cylinder Gap Efficiency in Positive-Displacement Hydraulic Pumps and
Motors. In: Bath/ASME Symposium on Fluid Power & Motion Control; 2010 Sep 15-17, Bath, UK, p. 417-429.
19. ISO. Hydraulic fluid power – Positive displacement pumps, motors and integral transmissions – Methods of testing and
presenting basic steady state performance. Geneva, International Organization for Standardization, ISO 4409; 2007.

CONTACT INFORMATION
Kindly direct inquiries to Paul Michael; michael@msoe.edu

ACKNOWLEDGMENTS
The author is grateful to Professor Tom Labus of Milwaukee School of Engineering for his guidance in interpretation of the test
results. Support for this work was provided by the Milwaukee School of Engineering Fluid Power Institute.

DEFINITIONS/ABBREVIATIONS
displacement, theoretical (volume per
Vi
revolution)

T efficiency, mechanical

O efficiency, overall

V efficiency, volumetric

Page 11 of 12
qV flow rate, actual

qL flow rate, leakage

qVi flow rate, theoretical

f Friction

CH loss coefficient, hydrodynamic

CL loss coefficient, leakage

Ph power, hydraulic

Pm power, mechanical

P pressure (Pa)

N rotational frequency (rad/s)

ω rotational frequency (rad/s)

n rotational frequency (RPM)

T torque, actual

Ti torque, theoretical

Z viscosity (Pa s)

µ viscosity (Pa s)

U velocity

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