This international standard was developed in accordance with internationally recognized principles on standardization established in the Decision on Principles

for the
Development of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.

Designation: D8128 − 17

Standard Guide for

Monitoring Failure Mode Progression in Industrial
Applications with Rolling Element Ball Type Bearings1
This standard is issued under the fixed designation D8128; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (´) indicates an editorial change since the last revision or reapproval.

INTRODUCTION

Oil analysis is a part of condition based maintenance programs. Despite being widely used for
several decades, there is no systematic approach in selecting oil tests based on failure mode analysis.
Most users select tests primarily based on oil degradation criteria, minimizing the potential for
detecting surface damage and limiting the potential benefits of the oil analysis program. This guide
provides justification for oil analysis in industrial applications from a failure standpoint to include both
rolling element bearing wear and fluid deterioration.

1. Scope 2. Referenced Documents

1.1 This guide approaches oil analysis from a failure stand- 2.1 ASTM Standards:2
point and includes both the rolling element ball type bearing D445 Test Method for Kinematic Viscosity of Transparent
wear and fluid deterioration in industrial application. and Opaque Liquids (and Calculation of Dynamic Viscos-
1.2 This guide pertains to improving equipment reliability, ity)
reducing maintenance costs and enhancing the condition-based D664 Test Method for Acid Number of Petroleum Products
maintenance program primarily for industrial machinery by by Potentiometric Titration
applying analytical methodology to oil analysis program for D1500 Test Method for ASTM Color of Petroleum Products
the purpose of detecting specific failure modes. (ASTM Color Scale)
D6304 Test Method for Determination of Water in Petro-
1.3 This guide reinforces requirements for appropriate leum Products, Lubricating Oils, and Additives by Cou-
assembly, operation within the original design envelope as well lometric Karl Fischer Titration
as the need for condition-based and time-based maintenance.
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D6595 Test Method for Determination of Wear Metals and

1.4 This guide covers the principles of Failure Mode and Contaminants in Used Lubricating Oils or Used Hydraulic
Effect Analysis (FMEA) as described in Guide D7874 and its Fluids by Rotating Disc Electrode Atomic Emission Spec-
relationship to rolling element ball type bearing wear in trometry
industrial application and its fluid deterioration. D7042 Test Method for Dynamic Viscosity and Density of
1.5 This standard does not purport to address all of the Liquids by Stabinger Viscometer (and the Calculation of
safety concerns, if any, associated with its use. It is the Kinematic Viscosity)
responsibility of the user of this standard to establish appro- D7414 Test Method for Condition Monitoring of Oxidation
priate safety, health, and environmental practices and deter- in In-Service Petroleum and Hydrocarbon Based Lubri-
mine the applicability of regulatory limitations prior to use. cants by Trend Analysis Using Fourier Transform Infrared
1.6 This international standard was developed in accor- (FT-IR) Spectrometry
dance with internationally recognized principles on standard- D7483 Test Method for Determination of Dynamic Viscosity
ization established in the Decision on Principles for the and Derived Kinematic Viscosity of Liquids by Oscillat-
Development of International Standards, Guides and Recom- ing Piston Viscometer
mendations issued by the World Trade Organization Technical D7596 Test Method for Automatic Particle Counting and
Barriers to Trade (TBT) Committee. Particle Shape Classification of Oils Using a Direct

1
This guide is under the jurisdiction of ASTM Committee D02 on Petroleum
2
Products, Liquid Fuels, and Lubricants and is the direct responsibility of Subcom- For referenced ASTM standards, visit the ASTM website, www.astm.org, or
mittee D02.96.04 on Guidelines for In-Services Lubricants Analysis. contact ASTM Customer Service at service@astm.org. For Annual Book of ASTM
Current edition approved Oct. 1, 2017. Published October 2017. DOI: 10.1520/ Standards volume information, refer to the standard’s Document Summary page on
D8128-17. the ASTM website.

Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States

Copyright ASTM International

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 D8128 − 17
Imaging Integrated Tester
D7685 Practice for In-Line, Full Flow, Inductive Sensor for
Ferromagnetic and Non-ferromagnetic Wear Debris De-
termination and Diagnostics for Aero-Derivative and Air-
craft Gas Turbine Engine Bearings
D7690 Practice for Microscopic Characterization of Par-
ticles from In-Service Lubricants by Analytical Ferrogra-
phy
D7874 Guide for Applying Failure Mode and Effect Analy-
sis (FMEA) to In-Service Lubricant Testing
2.2 ISO Standards:3
ISO 4407 Hydraulic Fluid Power—Fluid contamination—
Determination of particulate contamination by the count-
ing method using an optical microscope
ISO 11500 Hydraulic Fluid Power—Determination of the
particulate contamination level of a liquid sample by
automatic particle counting using the light-extinction
principle
ISO 16232-7 Road Vehicles—Cleanliness of components of
fluid circuits—Part 7: Particle sizing and counting by
microscopic analysis
ISO 16700 Microbeam analysis—Scanning electron
microscopy—Guidelines for calibrating image magnifica-
tion
ISO 24597 Microbeam analysis—Scanning electron
microscopy—Methods of evaluating image sharpness
3. Terminology
3.1 Definitions:
3.1.1 bearing failure, n—the termination of the bearing’s
ability to perform its design function.
3.1.2 bearing failure initiation, n—the moment a bearing
starts to perform outside of its design function measured by
performance characteristics.
3.1.3 causes of failure, n—underlying source(s) for each
potential failure mode that can be identified and described by
analytical testing.
3.1.4 design function, n—function or task that the system or
components should perform.
3.1.5 detection ability number [D], n—ranking number that
describes the ability of a specific fluid test to successfully
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detect a failure mode’s cause or effects. A scale is used to grade
detection ability numbers.
3.1.6 dynamic viscosity [η], n—ratio of applied shear stress
and the resulting rate of shear.
3.1.6.1 Discussion—It is also sometimes called absolute
viscosity. Dynamic viscosity is a measure of the resistance to
flow of the liquid at a given temperature. In SI, the unit of
dynamic viscosity is the Pascal·second (Pa·s), often conve-
niently expressed as milliPascal·second (mPa·s), which has the
English system equivalent of the centipoise (cP).
3.1.7 effects of failure, n—potential outcome(s) of each
failure mode on the system or component.
3
Available from American National Standards Institute (ANSI), 25 W. 43rd St.,
4th Floor, New York, NY 10036, http://www.ansi.org.
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3.1.8 elastohydrodynamic lubrication (EHD), n—a condi-
tion where extremely high fluid interface pressure developed in
concentrated rolling element contact causes the viscosity of the
lubricant to increase by several orders of magnitude and for the
surfaces to deform them appreciably in proportion to the
thickness of a fluid film between the surfaces.
3.1.9 failure-developing period (FDP), n—period from
component’s incipient failure to functional failure.
3.1.10 failure mode, n—the physical description of the
manner in which failure occurs.
3.1.11 failure mode and effect analysis (FMEA),
n—analytical approach to determine and address methodically
all possible system or component failure modes and their
associated causes and effects on system performance.
3.1.11.1 Discussion—This approach can be used to evaluate
design and track risk-reducing improvements to equipment
reliability.
3.1.12 hydrodynamic lubrication (HD), n—lubrication re-
gime where the load carrying surfaces are separated by a
relatively thick film of lubricant formed by a combination of
surface geometry, surface relative motion, and fluid viscosity.
3.1.13 kinematic viscosity [ν], n—the ratio of the dynamic
viscosity (η) to the density of the fluid (ρ).
3.1.13.1 Discussion—In SI, the unit of kinematic viscosity
is m2/s, often conveniently expressed as mm2/s, which has the
English system equivalent of the centistoke (cSt).
3.1.14 severity number [S], n—ranking number that de-
scribes the seriousness of the consequences of each failure’s
modes, causes and effects on potential injury, component or
equipment damage, and system availability.
4. Summary of Guide
4.1 This guide is designed to assist users in the condition
assessment of rolling element ball type bearing applications by
selecting oil tests associated with specific failure modes, causes
or effects for the purpose of detecting the earliest stage of
failure development.
4.2 There are a number of different industrial systems with
rolling element bearings. A simple horizontal bearing housing
utilizing rolling element ball type bearings lubricated by oil
splash will be discussed. This is a typical arrangement for
many industrial overhang pump applications.
4.3 The focus of this guide is to select oil tests capable of
detecting and monitoring progression of specific rolling ele-
ment ball type bearing failure modes, their causes and effects
as well as lubricating oil deterioration related to these failures.
5. Significance and Use
5.1 This guide is intended as a guideline for justification of
oil test selection for monitoring rolling element ball type
bearing conditions in industrial applications. Continuous
benchmarking against similar applications is required to ensure
lessons learned are continuously implemented.
5.2 Selection of oil tests for the purpose of detecting rolling
element ball type bearing failure modes requires good under-
standing of equipment design, operating requirements and
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 D8128 − 17
surrounding conditions. Specifically, detailed knowledge is
required on bearing design configuration, dimensional
tolerances, load directions, design limitations, lubrication
mechanisms, lubricant characteristics, and metallurgy of lubri-
cated surfaces including bearing cages. Equipment criticality
and accessibility as well as application of other monitoring
techniques (for example, vibration, ultrasound or thermal
images) are also critical information in this analysis process. In
addition, detailed knowledge on the lubricating oil is para-
mount.
5.3 To properly apply the FMEA methodology users must
understand the changes the system may encounter during all
operating modes, their impact on design functions and avail-
able monitoring techniques capable of detecting these changes.
To assist this approach, Section 6 will provide extensive
descriptions on the rolling element ball type bearing failure
modes, their causes and effects.
5.4 It is recognized that in most industrial applications
vibration monitoring is the primary condition monitoring
technique applied to detect failure modes, causes and effects in
rolling element ball type bearings—while oil analysis is
primarily used to monitor the lubricating oil properties. In the
recent years, however, there is a trend toward using oil analysis
in order to provide earlier detection of some failures of rolling
element ball type bearings. This is particularly applicable to
complex dynamic systems such as compressors, gearboxes and
some gas turbines where obtaining vibration spectra and their
analysis may be more difficult.
6. Failure Modes and Their Effects for Rolling Element
Ball Type Bearing Applications
6.1 During normal operation, rolling element bearings op-
erate primarily in the elastohydrodynamic (EHD) lubrication
regime. However, in typical rolling element ball bearing
application the lubrication between the rolling element and
cage is usually controlled by the hydrodynamic (HD) lubrica-
tion principle.
6.2 The EHD oil film thickness depends on the elastic
deformation of the rolling materials, bearing size, rolling
speed, dynamic viscosity of the lubricating oil at operating
temperature and pressure, as well as the pressure-viscosity
coefficient.
6.3 The main failure modes of rolling element bearings are
rapid or slow deterioration of the EHD film.
6.4 The rapid breakdown of EHD film can be caused by a
sudden loss of lubricating oil available for splash lubrication, a
rapid change in bearing operating conditions that is outside the
original design basis, or accidental bearing material disintegra-
tion.
6.5 The slow deterioration of EHD oil film can be moni-
tored by permanent sensors mounted on the bearing housing or
by off-line, periodic oil sample analysis. Based on operating
experience several causes are linked to this failure mode.
6.6 Causes of Rolling Element Ball Type Bearing Failures:
6.6.1 Change in Dynamic Viscosity of the Lubricating
Oil—Although under the EHD theory dynamic viscosity value
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is reduced (approximately to the power 0.7), this oil property is
still one of the main factors controlling the oil film thickness.
In general, a reduction in dynamic viscosity will reduce oil film
thickness. Under severe transient conditions, reduction of the
oil film thickness may change the lubricating regime from
EHD to mixed or boundary, resulting in an increased the risk of
bearing surface contact and wear. Under the opposite condition
when the dynamic viscosity is too high, an increase in drag and
friction will result in local heat generation. This may increase
the rate of chemical reaction within the oil film. In condition-
based maintenance programs for industrial applications, kine-
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matic viscosity at 40 °C (or occasionally at 100 °C) is used to
measure this property. The assumption is that in most industrial
applications, lubricant density is not significantly changed in
the measured temperature of interest (for example, 40 °C or
100 °C) and trending kinematic viscosity can provide adequate
prediction of the lubricant’s ability to form a reliable and
sustainable EHD oil film. However, newer methods exist that
will measure dynamic viscosity directly (Test Method D7042).
These methods may in time become commonly used in this
approach.
6.6.2 Deterioration of Lubricating Oil Chemistry—The
EHD lubrication condition will also depend on the complex
relationship between properties of oil-to-metal adhesion and
oil-to-oil cohesion. Applying a constant shear stress on the
lubricating oil film may lead to physical damage to the
lubricant molecules. The presence of atmospheric oxygen may
initiate chemical reactions such as oxidation. High temperature
and pressure will accelerate these reactions and cause thermal
breakdown of lubricant molecules. Finally, lubricating oil will
also deteriorate by the additive depletion process (for example,
due to expected performance). The depletion rate would
depend on the additive type, applications, and operating
conditions. The consequences of these chemical changes will
influence several critical properties such as cohesion, adhesion,
surface tension, etc. Some visible changes might include an
increase in foaming characteristics, air release, sludge and
varnish formation, or reduced oil solubility characteristics.
6.6.3 Increase in Gaseous, Liquid, and Solid Particle
Contamination—All three contaminant types will affect the
EHD oil film but in different mechanisms.
6.6.3.1 An excessive amount of undissolved gas bubbles in
the oil may weaken the load carrying capacity of the lubricat-
ing film. If the gas is reactive it can promote chemical
degradation of the lubricant which may change the physical
characteristics of the oil.
6.6.3.2 A large amount of liquid contaminants, particularly
those having significantly different viscosity or density, may
influence the dynamic viscosity. In addition, some contaminant
may react with the lubricant affecting its performance charac-
teristics. An example is free water, which may not support the
external load acting on the bearing. It could also hydrolyze
some of the additives, affecting their performance or cause
rusting of bearing component.
6.6.3.3 The presence of solid particles is harmful in rolling
element bearing applications due to significantly smaller oil
film thickness and high interface pressure between rolling
elements and raceway. Solid particles usually cause damage to
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 D8128 − 17
rolling element surfaces by forming small indentations, which
change the local surface fatigue leading to bearing failure.
6.6.4 Abnormal Load in Contact Zones—This can be caused
by excessive thrust load, excessive internal preload, pinched
outer ring, outer or inner ring misaligned.
6.6.4.1 Excessive thrust load may occur when there is axial
overload from the machine resulting in very high stress which
can cause metal fatigue.
6.6.4.2 Excessive internal preload may occur when there is
no internal clearance in mounting bearing resulting in wider
contact in the stationary ring.
6.6.4.3 A pinched outer ring occurs when outer ring has
been forced out-of-run during installation resulting in rolling
elements making contact with the outer ring raceway in more
than one load zone. This may distort the housing which in turn
will pinch the outer ring.
6.6.4.4 The outer ring is misaligned when it is not perpen-
dicular to the centerline of the shaft. As a result, the outer ring
could be cocked out of alignment and may result in premature
bearing failure.
6.6.4.5 The inner ring misalignment may force the rolling
elements making contacts with both the inner and outer ring
raceways in a diagonal pattern on the sides of the raceways.
This causes very high stress which can result in metal fatigue
and premature bearing failure.
6.6.4.6 If the radial and axial loading of the ball bearing is
too light, this can lead to ball smearing.
6.6.5 Defective Bearing Seat on Shaft—This condition oc-
curs when the inner ring does not have a sufficient press fit on
a shaft allowing slight movement of low amplitude resulting in
fretting corrosion.
6.6.6 Defective Bearing Seat in Housing—This condition
occurs when the bearing outside diameter and the housing bore
do not make intimate contact allowing slight movements of
low amplitude. This will result in fretting corrosion forming a
reddish brown-black oxide and significant discoloration of
lubricating oil. If the bearing seat is too tight this condition can
cause overloading.
6.6.7 Improper Mounting—There are several conditions re-
sulting from improper mounting causing premature bearing
failures. These may include indentation at the top side of the
ball groove, spalled or fractured outer ring, scoring on the inner
ring raceway, misalignment, etc. All of these occurred during
bearing installation and will have significant impact on bearing
performance and life.
6.6.8 Manufacturing Defects—Due to significant improve-
ment in the rolling element ball bearing manufacturing process,
defects related to manufacturing processes have significantly
been minimized. However, this cause cannot be completely
eliminated from the root cause analysis although a typical oil
condition monitoring program is not the best approach to detect
this cause.
6.7 Effects of Rolling Element Ball Type Bearing Failures:
6.7.1 In addition to the presented different failure modes and
causes, there are several failure effects of rolling element ball
type bearings.
6.7.2 In technical literature there are several different clas-
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sifications of ball bearing wear mechanisms. For the purpose of
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this guide, Table 1 presents a simplified wear classification of
rolling element ball type bearings, which will be discussed in
this guide.
6.7.3 Bearing Surface Damage due to Subsurface Fatigue—
Subsurface fatigue is a form of wear that occurs after many
cycles of high-stress flexing of the metal. This causes cracks in
the subsurface of the metal, which then propagate to the
surface, resulting in a piece of surface metal being removed or
delaminated. It begins with inclusions or faults in the bearing
metal below the surface. Solid particles in the EHD oil film
which produce dents on the raceway may also initiate fatigue
damage for bearings in motion. These round-bottomed dents
often have a raised berm around their edges. The raised berm
of metal generates stress concentrations below the load carry-
ing surface, which after time causes crack. As the rolling
elements pass over the cracks, fragments of material break
away and this is known as flaking or spalling.
6.7.4 Bearing Surface Damage due to Surface Stress—If the
lubricating film between raceway and the rolling elements
become too thin, the peaks of the surface asperities will come
in contact and cause small cracks, which are usually micro-
scopic. They may, however, in severe conditions hasten the
formation of sub-surface fatigue cracks and thus shortening the
life of the bearing.
6.7.5 Bearing Surface Damage due to Abrasive Wear—This
wear is estimated to be one of the most common sources of
bearing wear. A roughened surface can cause cutting and
damage to a mating surface that is in relative motion. Particle
contamination can also cause similar damage. For example
three-body abrasion occurs when a relatively hard contaminant
of roughly the same size as the oil film thickness becomes
imbedded in one metal surface (for example cage) and
squeezed between the two surfaces. When the particle size is
greater than the fluid film thickness, scratching, ploughing or
gouging can occur. This creates parallel furrows in the direc-
tion of motion, like rough sanding. Mild abrasion by fine
particles may cause polishing with a satiny, matte, or lapped-in
appearance.
TABLE 1 Wear Classification of Rolling Element Ball Type
Bearings
Failure Mode Effects of Rolling Element Bearings
Wear Classification Effects
Fatigue
Subsurface fatigue
Surface distress
Abrasive
Wear
Adhesive
Overload
Plastic Deformation
Indentation
Moisture
Corrosion Fretting corrosion
False Brinelling
Electric erosion Craters
Fluting
Ring
Fracture and cracking
Cage
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 D8128 − 17
6.7.6 Bearing Surface Damage due to Adhesive Wear—
Adhesive wear is the transfer of material from one contacting
surface to another. This can occur when two inadequately
lubricated surfaces slide against each other under load. This
wear is also known as smearing, where the surfaces concerned
become scored. When smearing occurs, the material is gener-
ally heated to such temperature that re-hardening takes place.
This produces localized stress concentrations that may cause
cracking or flaking. An example of sliding in rolling element
bearing applications is a condition when the load is too light in
relation to the speed of rotation or when the rolling elements
are subject to severe acceleration on their entry into the load
zone. Scuffing usually refers to moderate adhesive wear, while
galling, smearing and seizing result from severe adhesion.
6.7.7 Bearing Surface Damage due to Indentation and
Overload—This manifests as indentations or depressions in the
race or rollers caused by impact or overloading. The surface
metal flows, causing irreversible plastic deformation. The
machining marks are still visible in the bottom of the dent. The
dents often have a raised lip which increases stresses and leads
to surface-initiated fatigue (surface cracks) and eventual pit
formation or adhesive wear.
6.7.8 Bearing Surface Damage due to Moisture—Moisture
initiates corrosion which causes material removal from the
surface. It is the dissolution of a metal in an electrically
conductive liquid by low amperage and may involve hydrogen
embrittlement. The process is accelerated by increased tem-
perature. No metal-to-metal contact is needed and can occur
with a full oil fluid film. Generally, an even and uniform pattern
of pits will result from this form of attack. Mild forms of
moisture corrosion result in surface staining or etching. More
severe forms are referred to as corrosive pitting, electro-
corrosion, corrosive spalling or rust.
6.7.9 Bearing Surface Damage due to Fretting Corrosion—
This is associated with bearing fit on the shaft and in the
housing. It occurs where there is not any large relative motion
between the mating parts such as between the shaft and the
inner ring and between the housing and the outer ring. Fretting
corrosion occurs due to many oscillating micro-movements at
contacting interfaces between loaded and mating parts in which
the lubricant has not been replenished. It usually appears as a
reddish-brown oxide color on steel or black on aluminum.
Metal wear debris flakes are created or shed off. As a result of
fretting corrosion, the bearing rings may not be evenly sup-
ported and this may have a detrimental effect on the load
distribution in the bearings.
6.7.10 Bearing Surface Damage due to False Brinelling—
False brinelling is usually associated with standby machinery
exposed to a local vibration environment. In this condition, the
wear appears at the ball or roller contacts with the race face at
exact same spacing as the rolling elements. The depressions in
the metal can appear shiny with black wear debris around the
edges. If the equipment is rotating, the wear appears as a gray,
wavy washboard pattern on the raceway. False brinelling
occurs due to micro-movements under cyclic vibrations in
either static or rotating boundary lubrication contacts. Mild
adhesion of the metal asperities is occurring. Shallow depres-
sions or dents are created in which the original machining
--`,,``````,`,,,,``,,`,``,`,`,`,-`-`,,`,,`,`,,`---
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marks are worn off and no longer visible due to the wearing
damage of the metal. False brinelling occurs on the rolling
elements and raceway, similar to small-scale plastic deforma-
tion or brinelling and hence the name “false brinelling.”
6.7.11 Bearing Surface Damage due to Electric Erosion—
This type of wear occurs when electric current passes between
two metal surfaces through the oil film. It is subdivided based
on the severity of the damage. Excessive voltage (electrical
pitting) is caused by a high electrical current or amperage
passing through only a few asperities on the metal. Voltage
builds up and then arcs, causing localized heating/melting and
vaporization of the metal surface. This causes deep, large
craters or pits in the metal surfaces, which may correspond to
the spacing between the rolling elements of the bearing. It may
also be referred to as electrical pitting, arcing or sparking.
Current leakage (electrical fluting) is a less severe form of
damage caused by a lower continuous electrical current. The
damage may be shallow craters that are closely positioned and
appear dark gray in color. If the electrical discharge occurs
while the bearing is in motion, with a full fluid film, a
washboard effect or grooves appear on the entire bearing
raceway and is called fluting or corduroying. Due to the heat of
the spark, any fluid in its path will undergo severe decompo-
sition.
6.7.12 Bearing Fracture due to Fracture and Cracking of
Bearing Rings—Cracks may form in bearing rings for various
reasons. The most common is the inadequate bearing assembly.
In general, this type of damage is better detected by other
techniques such as vibration monitoring.
6.7.13 Cage Bearing Damage—There are various reasons
for cage damage. Some of them may be initiated by external
vibration, excessive speed, inadequate lubrication or excessive
solid particles. Again, other monitoring techniques (for
example, vibration monitoring) are more efficient in detecting
this type of damage.
7. Application of FMEA to Rolling Element Ball Type
Bearings
7.1 Generic Introduction:
7.1.1 In accordance with Fig 1, FMEA Flowchart from
Guide D7874 , end users must first identify all lubricated
components in the selected equipment for this analysis. For
each selected component (there may be more than one ball
bearing in particular industrial machinery) end users must
identify all possible failure modes, causes and effects and apply
appropriate severity and occurrence numbers. The next step is
to prioritize the failure modes based on criticality number (for
example, product of each severity and occurrence numbers).
7.1.2 Table 1 from Guide D7874 should be used to deter-
mine if oil analysis testing is the preferable approach for
detecting early stages of bearing failure or other maintenance
strategy should be applied (for example, vibration monitoring,
inspection, and so forth).
7.1.3 For the selected failure modes end users should
identify all available oil analysis test methods, on-line debris
analysis or other sensors and assign appropriate detection
ability numbers. This step may also be used to justify purchase
of new instruments having better detection capability than the
existing one for the required parameters.
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 D8128 − 17
7.1.4 In cases where the existing oil test method has poor
detection capabilities, other condition monitoring techniques
(for example, vibration monitoring, thermal imaging) should
be considered. However, if all available condition monitoring
techniques have inadequate detection capability then end users
may accept the need for time-based maintenance (for example,
periodic inspection) or take the risk to operate the machine
with inadequate detection of a particular failure mode, cause or
effect.
bearing is lubricated by splash and the oil type is turbine rust
and oxidation inhibited formulated from API Group I base
stock.
7.2.2 Due to space limitation, there is no intention to present
all possible oil sampling port locations, sampling hardware and
procedures as well as available oil test methods or sensors for
each discussed failure mode, cause or effect. The selected
example should act as a model to generate a specific table.
7.2.3 Based on criticality numbers presented in Table 2, end

7.1.5 There are several factors affecting the effectiveness of
the presented methodology and end users must apply their own
judgment and experience in selecting appropriate severity,
occurrence and detection capability numbers. It is suggested to
generate a single table for all failure modes, causes and effects
associated with all considered oil tests and sensors so users can
recognize the strength and weakness of their condition moni-
toring program.
7.2 Example of FMEA Methodology for Bearing Housing
Applications:
7.2.1 The methodology will be demonstrated based on a
horizontal, medium size bearing housing with ball bearing. The
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users must apply judgment as to which failure modes, causes
and effects are good candidates for the condition monitoring
program. The chosen limit in Table 2 (that is, the value 6) is a
subjective number, which should take into account the past
operating experience, end user capability of applying
condition-based maintenance strategy or other inputs. Based on
this assumption only the following failure modes, causes and
effects have been selected for condition monitoring program:
change in dynamic viscosity, change in lubricant chemistry, oil
contamination, subsurface fatigue, surface distress, abrasive,
adhesive, overload, indentation, fretting corrosion, and false
brinelling.

TABLE 2 Determination of Criticality Numbers

Failure Causes and Effects of Ball Bearings Assigned Value Ranking
Change in Dynamic Viscosity Severity (S) 4
Occurrence (O) 2 2
S×O 8
Change in Lubricant Chemistry Severity (S) 3
Change in Oil Conditions Occurrence (O) 2 3
S×O 6
Contamination Severity (S) 3
Occurrence (O) 4 1
S×O 12
Subsurface Fatigue Severity (S) 4
Occurrence (O) 3 1
S×O 12
Fatigue
Surface Distress Severity (S) 4
Occurrence (O) 3 1
S×O 12
Abrasive Severity (S) 4
Occurrence (O) 3 1
S×O 12
Wear
Adhesive Severity (S) 3
Occurrence (O) 2 3
S×O 6
Overload Severity (S) 4
Occurrence (O) 2 2
S×O 8
Plastic Deformation
Indentation Severity (S) 4
Occurrence (O) 3 1
S×O 12
Fretting Corrosion Severity (S) 4
Occurrence (O) 3 1
S×O 12
Corrosion
False Brinelling Severity (S) 4
Occurrence (O) 3 1
S×O 12
Severity (S) 4
Electrical Erosion Occurrence (O) 1 Periodic Inspection
S×O 4
Ring Severity (S) 5
Occurrence (O) 1 Vibration Monitoring
S×O 5
Fracture & Cracking
Cage Severity (S) 5
Occurrence (O) 1 Vibration Monitoring
S×O 5

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7.2.4 Users should prioritize the list of the selected failures sensors having potential for earlier detection of specific failure
based on the ranking number from the highest to lowest and modes, causes and effects.
select possible oil test methods or sensors capable of detecting 7.2.6 The other remaining failure modes, causes and effects
them. not listed in Table 3 cannot be effectively monitored using oil
7.2.5 Table 3 provides the suggested list of oil tests and test methods or wear sensors. Other condition monitoring

TABLE 3 Example of FMEA Methodology for Ball Bearings in Circulating Oil System
Failure Mode of Ball Bearings Oil Test Option One Option Two Option Three
Test Method Viscosity Sensor Dynamic Visc@40C Kinematic Visc@40C
(D7483) (D7042) (D445)
Change in dynamic Sample Location Drain ~Oil Level Drain Oil Level Drain Oil Level
viscosity SxO 8 8 8 8 8 8
D – 5 5 5 4 4
RPN – 40 40 40 32 32
Test Method FTIR Acid Number Spectrochemical Analysis
(D7414) (D664) (D6595)
Change in lubricant Sample Location Drain Oil Level Drain Oil Level Drain Oil Level
chemistry SxO 6 6 6 6 6 6
D 3 4 2 3 1 2
RPN 18 24 12 18 6 12
Test Method FTIR Karl Fischer Laser Particle Count
(D7414) (D6304) (ISO 11500)
Sample Location Drain Oil Level Drain Oil Level Drain Oil Level
Contamination
SxO 12 12 12 12 12 12
D 4 4 4 3 4 3
RPN 48 48 48 36 48 36
Test Method
Sample Location Drain Oil Level Drain Oil Level Drain Oil Level
Subsurface Fatigue SxO 12 12 12 12 12 12
D – – – – – –
RPN – – – – – –
Test Method Analytical Ferrography Laser Net Wear Particle Sensor
(D7690) (D7596) (D7685)
Sample Location Drain Oil level Drain Oil Level Drain ~Oil Level
Surface Distress
SxO 12 12 12 12 12 12
D 3 4 3 4 – 2
RPN 36 48 36 48 – 24
Test Description Laser Particle Count Analytical Ferrography Wear Particle Sensor
Failure (ISO 11500) (D7690) (D7685)
Causes Sample Location Drain Oil Level Drain Oil Level Drain ~Oil Level
Abrasive
and SxO 12 12 12 12 12 12
Effects D 3 4 3 4 – 3
RPN 36 48 36 48 – 36
Test Description Analytical Ferrography SEM Wear Particle Sensor
(D7690) (ISO 16232 Part 7) (D7685)
Sample Location Drain Oil Level Drain Oil Level Drain ~Oil Level
Adhesive
SxO 6 6 6 6 6 6
D 2 3 3 4 – 2
RPN 12 18 18 24 – 12
Test Description Laser Particle Count SEM Wear Particle Sensor
(ISO 11500) (ISO 16232 Part 7) (D7685)
Sample Location Drain Oil Level Drain Oil Level Drain ~Oil Level
Overload
SxO 8 8 8 8 8 8
D 3 4 3 5 – 3
RPN 24 32 24 40 – 24
Test Description
Sample Location Drain Oil Level Drain Oil Level Drain Oil Level
Indentation SxO 12 12 12 12 12 12
D – – – – – –
RPN – – – – – –
Test Description Analytical Ferrography SEM ASTM Color
(D7690) (ISO 16232 Part 7) (D1500)
Sample Location Drain Oil Level Drain Oil Level Drain Oil Level
Fretting Corrosion
SxO 12 12 12 12 12 12
D 1 2 3 4 3 3
RPN 12 24 36 48 36 36
Test Description Analytical Ferrography SEM Laser Net
(D7690) (ISO 16232 Part 7) (D7596)
Sample Location Drain Oil Level Drain Oil Level Drain Oil Level
False Brinelling
SxO 12 12 12 12 12 12
D 2 3 3 4 2 3
RPN 24 36 36 48 24 36

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techniques (for example, vibration monitoring, thermal
imaging, etc.) or periodic inspection should be used to deter-
mine their presence.
7.2.7 The sampling location identified as “Drain” indicates
oil sample collected from the bearing housing drain valve via
extended vertical tube. The location “Oil Level” indicates oil
sample collected directly below the in-service oil level through
sampling tube, preferably located close to the rolling element
bearing.
7.2.8 In many industrial applications there are a number of
different options for collecting oil samples and all of them
should be considered in this analysis. It is important to gather
samples that are representative of the lubricant seen at the
bearing and not in “dead zone” where contaminants and wear
debris would be found in higher concentration. Utilizing good
sampling practices would minimize errors in oil analysis
results. A possibility of applying external re-circulation filtra-
tion units may also be considered. If samples are obtained from
in-line or off-line filtration devices, they need to be taken
upstream of the filter element. Contaminants collected from
external filters may provide valuable information on bearing
condition as well as maintaining clean environment.
7.2.9 In Table 3, Primary, Secondary and Tertiary Options
are simply examples of suggested test methods and do no
denote a preferential order.
7.2.10 Based on the calculated risk priority numbers (RPN),
end users can select the best oil test method or sensor to detect
and monitor progression of each selected failure modes, causes
BIBLIOGRAPHY
(1) Handbook of Lubrication and Tribology, Volume II, Theory and
Design, Edited by Robert W. Bruce, STLE, CRC Taylor & Francis
Group, 2012, ISBN 978-1-4200-6908-2.
(2) Guyer, R. A., Jr., Rolling Bearings Handbook and Troubleshooting
Guide, Hilton Book Company, Radnor, Pennsylvania, Tj1071. Bear-
ing Damage, Glacier, 1970.
(3) Tallian, T. E., Failure Atlas for Hertz Contact Machine Elements,
2nd Edition, ASME Press, ISBN 0-7918-0084-9 (hc.), TJ243.T35
1999.
(4) Harris, T. A., Kotzalas, M. N., Essential Concept of Bearing
Technology, CRC Taylor & Francis Group, 2007, ISBN 10: 0-8493-
7183-X, 13: 978-0-84937183-7.
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or effects. Based on suggested input, subsurface fatigue and
indentation cannot be effectively monitored by oil analysis or
wear sensors.
7.2.11 The end users’ judgment (based on their operating
experience) should be used to decide if the RPN is adequate to
provide early warning of the failure or if other instruments,
sensors or a different condition monitoring method should be
used.
7.3 Sampling Frequency:
7.3.1 Sampling frequency should be determined based on
the P-F interval for each monitoring failure mode, cause or
effect.
7.3.2 The P-F interval is usually estimated based on input
from component manufacturers and those with operating
experience in similar applications. In the presented case of
small bearing housings, a typical sampling interval varies
between 8 weeks to 13 weeks. However, the best option is
installation of sensors with the capability for continuous
monitoring of wear debris, viscosity, and acidity.
7.4 Summary:
7.4.1 In this Guide the values of FMEA parameters (for
example, severity, occurrence and detection ability) for other
system components such as other pump or motor components
may need separate FMEA templates.
7.4.2 Operating experience may provide new data which
can influence the selection of test methods and assigned values
for FMEA analysis. Therefore periodic review of the FMEA
templates is recommended to justify the oil test selection
process.
(5) Harris, T. A., Kotzalas, M. N., Advanced Concept of Bearing
Technology, CRC Taylor & Francis Group, 2007, ISBN 10: 0-8493-
7182-X, 13: 978-0-84937182-7.
(6) SKF Bearing Maintenance Handbook, SKF 1996, Publication 4100/I
E, Reg. 70-22000– 1996-04.
(7) Toms, L. A. and Toms, A. M., Machinery Oil Analysis – Methods,
Automation & Benefits, 3rd Edition, STLE, Park Ridge, IL, 2008,
ISBN: 978-0-9817512-0-7.
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