AGMA 1010 - Edition F14 August 8 2014 (PTTGC Internal Use Only)

ANSI/AGMA 1010-F14
(Revision of ANSI/AGMA 1010-E95)
C
T G
P T
American f
National Standard
n Natio
o
u t
ppear o
Appearance of Gear
Teeth t e - Terminology of
b u
Wear and Failure
W
u
i str
t d
n o
D o
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
ANSI/AGMA 1010-F14
Copyright American Gear Manufacturers Association Order Number: 02222469

Provided by IHS Markit under license with AGMA Sold to:PTT GLOBAL CHEMICAL PLC. [700166107362] - PUCHIT.D@PTTGCGROUP.COM,
No reproduction or networking permitted without license from IHS Not for Resale,2018-12-11 06:01:08 UTC
AMERICAN NATIONAL STANDARD ANSI/AGMA 1010-F14
American Appearance of Gear Teeth - Terminology of Wear and Failure

National ANSI/AGMA 1010-F14
Standard [Revision of ANSI/AGMA 1010-E95]
Approval of an American National Standard requires verification by ANSI that the
requirements for due process, consensus and other criteria for approval have been
met by the standards developer.
Consensus is established when, in the judgment of the ANSI Board of Standards
Review, substantial agreement has been reached by directly and materially affected
interests. Substantial agreement means much more than a simple majority, but not
necessarily unanimity. Consensus requires that all views and objections be
considered, and that a concerted effort be made toward their resolution.
The use of American National Standards is completely voluntary;y; their
the existence
th
ved the standards
does not in any respect preclude anyone, whether he has approved
roducts,
sst
C
oducts, processes
not, from manufacturing, marketing, purchasing or using products, p
or
or
procedures not conforming to the standards.
velop standards
The American National Standards Institute does not develop stand
sta
T Gand will in no
circumstances give an interpretation of any American
no person shall have the right or authority to issuee an interp T
n National Standard.
S Moreover,
interpretation of an American
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
National Standard in the name of the American rican Nati
f
Requests for interpretation of this standard should
N
P
National Standards Institute.
uld be addressed to the American
Gear Manufacturers Association.
CAUTION NOTICE: AGMA technicalnical
t o
al publi
publications are subject to constant
ou
improvement, revision or withdrawal al ass dictated
dictat
dicta by experience. Any person who
ublication
cation should
refers to any AGMA Technical Publication s be sure that the publication is the
ation
on on the
latest available from the Association th subject matter.
t
orting
ng sections
[Tables or other self-supporting
e sectio
sec may be referenced. Citations should read:
u
See ANSI/AGMA 1010-F14, F14,
4 Appearance
Appea of Gear Teeth - Terminology of Wear and
he American
Failure, published by the Americ Gear Manufacturers Association, 1001 N. Fairfax
b
andria Virginia 22314, http://www.agma.org.]
Street, Suite 500, Alexandria,
Approved August 8, 2014
rt u
ABSTRACT
i s
entifies and describes the classes of common gear failures and illustrates
This nomenclature standard identifies
degrees of deterioration.
t d
o
Published by
n
Manufactur
nufactu
American Gear Manufacturers
x Street, Suite
1001 N. Fairfax S
Association
500, Alexandria, Virginia 22314
D o
Copyright © 2014 by A
served.
serve
All rights reserved.
American Gear Manufacturers Association
p
No part of this publication may be reproduced in any form, in an electronic
retrieval system or otherwise, without prior written permission of the publisher.
Printed in the United States of America
ISBN: 978-1-61481-089-6
Copyright American Gear Manufacturers Association

Provided by IHS Markit under license with AGMA
©AGMA 2014 – All rights reserved Order Number: 02222469
Sold to:PTT GLOBAL CHEMICAL PLC. [700166107362] - PUCHIT.D@PTTGCGROUP.COM,
ii
Contents
Foreword ......................................................................................................................................................vii
1 Scope ..................................................................................................................................................... 1
2 Normative references............................................................................................................................. 1
3 Definitions .............................................................................................................................................. 1
3.1 Definitions...................................................................................................................................... 1
3.2 Classes and modes of failure ........................................................................................................ 2
4 Wear....................................................................................................................................................... 3
4.1 Adhesion ....................................................................................................................................... 3
4.1.1 Mild adhesion ............................................................................................................................ 4
4.1.2 Moderate adhesion ...................................................................................................................
. 4
4.1.3 Summary of methods to reduce the risk of adhesive wear ....................................................... .......
...... 5
C
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
4.2 Abrasion ........................................................................................................................................

..............
................
.. 5
4.2.1
4.2.2
4.2.3
G
Mild abrasion .............................................................................................................................
.................
...............
T
Moderate abrasion ....................................................................................................................
................
Severe abrasion ........................................................................................................................
................
..............
5
6
6
4.2.4
4.2.5
P T
Sources of particles that may cause wear ................................................................................
.................
..............
Methods for reducing abrasive wear .........................................................................................
.................
..........
8
8
4.3
4.3.1
o f
Polishing ........................................................................................................................................
..................
.............
Mild polishing.............................................................................................................................
................
............. 9
9
4.3.2
t
Moderate polishing ....................................................................................................................
.................
........ 9
ou
4.3.3 Severe polishing ........................................................................................................................
.................
............. 9
4.3.4 Summary of methods to reduce the risk off polishing polisishing
hing wear
w ..................................................... 10
e
4.4 Corrosion .....................................................................................................................................
.................
............ 10
4.4.1
4.5
Methods to reduce the risk of corrosion
osion
u t
on ..................................................................................
........ 11
Fretting ........................................................................................................................................
..................
............... 12
b
rt u
4.5.1 True brinelling..........................................................................................................................
................
............ 12
4.5.2 False brinelling ........................................................................................................................
.................
.............. 13
4.5.3 Fretting corrosion ....................................................................................................................
................
........... 13
4.5.4 Summary of methods ods
i s
ds to reduce
redu the risk of false brinelling and fretting corrosion .................. 13
4.6
4.7 White layer flaking
aking
t d
Scaling.........................................................................................................................................
..............
.......
ng .......................................................................................................................
.........
14
14
4.7.1
4.8
Summary
ary of metho
Cavitation
tion ..........
o
methods to reduce the risk of white layer flaking ............................................... 15
n
....................................................................................................................................
........ 15
4.9
4.10
4.10.1
Erosion
sion
o
n ........................................................................................................................................
..........
.........
Electric discharge
D
disc
dis
17
........................................................................................................................ 18
Summary of methods to reduce the risk of electrical discharge damage ........................... 21
Su
5 Scuffing ................................................................................................................................................ 21
5.1 Mild scuffing ................................................................................................................................ 21
5.2 Moderate scuffing ........................................................................................................................ 21
5.3 Severe scuffing............................................................................................................................ 23
5.3.1 Methods for reducing the risk of scuffing ................................................................................ 25
5.3.2 Summary of methods to reduce the risk of scuffing ................................................................ 26
6 Plastic deformation .............................................................................................................................. 26
6.1 Indentation................................................................................................................................... 26
6.2 Cold flow...................................................................................................................................... 27
6.3 Hot flow ....................................................................................................................................... 27
6.4 Rolling ......................................................................................................................................... 27

iii
6.5 Tooth hammer ............................................................................................................................. 27

6.6 Rippling ....................................................................................................................................... 27
6.7 Ridging ........................................................................................................................................ 30
6.8 Burr .............................................................................................................................................. 30
6.9 Root fillet yielding ........................................................................................................................ 31
6.10 Tip-to-root interference ................................................................................................................ 31
6.11 Tight mesh................................................................................................................................... 31
7 Hertzian fatigue .................................................................................................................................... 32
7.1 Macropitting ................................................................................................................................. 32
7.1.1 Nonprogressive macropitting .................................................................................................. 32
7.1.2 Progressive macropitting......................................................................................................... 34
7.1.3 Point-surface-origin macropitting ............................................................................................
.. 34
7.1.4 Spall macropitting ....................................................................................................................
.........
...... 37
7.2
C
Micropitting ..................................................................................................................................
................
................. 39
7.3
7.2.1 .................
...............
T G
Summary of methods to reduce the risk of micropitting .......................................................... 43
Subsurface initiated failures ........................................................................................................
.................
............. 44
7.3.1
7.3.2 .................
..........
P T
Inclusion origin failures ............................................................................................................
................
.............
Origins of nonmetallic inclusions .............................................................................................
44
44
7.4
7.4.1 Summary of methods to reduce the risk of subcase
o f
Subcase fatigue...........................................................................................................................
..................
.............
se fatigue ...................................................
..
. 46
45
t
ou
8 Cracking and other surface damage....................................................................................................
.................
........... 46
8.1 Hardening cracks ........................................................................................................................
.................
.......... 46
e
8.1.1 Thermal stresses .....................................................................................................................
................
............ 47
8.1.2
8.1.3
8.1.4
u t
Stress concentration ...............................................................................................................
................
...........
Quench severity ......................................................................................................................
.................
...........
Phase transformation ..............................................................................................................
.................
...............
47
47
48
8.1.5
b
Steel grades ............................................................................................................................
..................
......... 48
rt u
8.1.6 Part defects .............................................................................................................................
................
............ 48
8.1.7 Heat treating practice ..............................................................................................................
.................
............ 48
8.1.8
8.1.9 Summary of methods hodsds to red
i s
Tempering practice .................................................................................................................
................
...............
reduce the risk of hardening cracks................................................. 48
48
8.2 Grinding damage

ge
d
e .........................................................................................................................
.............
t
49
8.2.1
8.2.2
8.2.3
Grinding cracks
Overheating
eating
Summary
o
cks .......................................................................................................................
....
.....
ting due to grinding .................................................................................................... 49
mmaryy of m
n
methods to reduce the risk of grinding cracks .................................................... 50
49
8.3
8.3.1
Rim
D o
m and web
w cracks .................................................................................................................... 50
Summary of methods to reduce the risk of rim or web cracks ................................................ 50
Summ
Sum
8.4 Case/core separation .................................................................................................................. 52
8.4.1 Summary of methods to reduce the risk of case/core separation ........................................... 54
8.5 Fatigue cracks ............................................................................................................................. 54
9 Fracture ................................................................................................................................................ 55
9.1 Brittle fracture .............................................................................................................................. 55
9.1.1 Methods for reducing the risk of brittle fracture....................................................................... 58
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
9.2 Ductile fracture ............................................................................................................................ 58

9.3 Mixed mode fracture ................................................................................................................... 59
9.4 Tooth shear ................................................................................................................................. 59
9.5 Fracture after plastic deformation ............................................................................................... 59
©AGMA 2014 – All rights reserved

Order Number: 02222469
iv
10 Bending fatigue ............................................................................................................................... 61

10.1 Low cycle fatigue ......................................................................................................................... 62
10.2 High cycle fatigue ........................................................................................................................ 62
10.2.1 Morphology of fatigue fracture surfaces .............................................................................. 63
10.2.2 Summary of methods to reduce the risk of high-cycle bending fatigue .............................. 64
10.2.3 Root fillet cracks .................................................................................................................. 65
10.2.4 Profile cracks ....................................................................................................................... 65
10.2.5 Tooth end cracks ................................................................................................................. 66
10.2.6 Subsurface initiated bending fatigue cracks ....................................................................... 66
10.2.7 Tooth interior fatigue fracture, TIFF .................................................................................... 73
Annexes
Annex A Design considerations to reduce the chance of failure ................................................................ ....
.. 75
Annex B Bibliography ..................................................................................................................................
............
.. 79
C
Annex C Acknowledgements ......................................................................................................................
..............
................
.. 81
Tables
T G
Table 1 - Nomenclature of gear failure modes..............................................................................................
.................
........... 2
Table 4 - Differences between TIFF and subsurface initiated bending fatigue fatigue
fat
..................
................
P T
Table 2 - Failure modes that have subsurface origins ................................................................................
Table 3 - Fracture classifications ................................................................................................................
.................
..............
ue ..........................................
....
44
55
74
Figures
o f
.................
.............
t
Figure 1 - Moderate wear ..............................................................................................................................
Figure 2 - Severe wear..................................................................................................................................
..............
.......
3
4
ou
Figure 3 - SEM image - abrasion ..................................................................................................................
................
........... 6
Figure 4 - Mild abrasion near the tip of a ground gear ..................................................................................
.................
......... 6
Figure 5 - Severe abrasion............................................................................................................................
.................
............ 7
Figure 6 - Severe abrasion, enlarged view of Figure gure
t e
e 5 .................................................................................
........
...... 7
u
Figure 7 - Severe abrasion............................................................................................................................
.................
............ 7
Figure 8 - Severe polishing .........................................................................................................................
..................
............... 10
.................
.........
b
Figure 9 - Severe polishing ......................................................................................................................... 10
rt u
Figure 10 - Extensive corrosion ..................................................................................................................
................
............ 11
Figure 11 - Fretting corrosion ......................................................................................................................
.................
............. 12
Figure 13 - White layer flaking

.................
...............
................
............
i s
Figure 12 - Scaling ......................................................................................................................................
g ....................................................................................................................
14
15
Figure 14 - Cavitation damage
Figure 16 - SEM image
amage
.........
t d
age ....................................................................................................................
............
age ....................................................................................................................
.......
e - cavitation
cavita
cavitatio damage............................................................................................... 17
16
16

Figure 18 - Erosion
mage e - cavitation
on of a hi
Figure 19 - Electric
ectric
cavit
cav
hig
n o damage............................................................................................... 17
high speed helical gear ........................................................................................ 18
ric discharge
disch
disc damage due to a small electric current ....................................................... 19
Figure 20 - Severe electric
Figure 22 - SEM
im
e
ele
D o discharge damage due to an electric current of high intensity ........................ 19

- typical electric discharge crater .......................................................................... 20
EM image - remelted metal and gas pockets near edge of crater ......................................... 20
Figure 23 - SEM image - electric discharge damage .................................................................................. 21
Figure 24 - Mild scuffing .............................................................................................................................. 22
Figure 25 - SEM image - scuffing damage showing rough, torn, and plastically deformed appearance .. 22
Figure 26 - SEM image - scuffing damage showing crater formed when welded material was torn
from surface .............................................................................................................................. 23
Figure 27 - Moderate scuffing ..................................................................................................................... 23
Figure 28 - Severe scuffing ......................................................................................................................... 24
Figure 29 - Severe scuffing of a low speed gear lubricated with grease .................................................... 24
Figure 30 - Severe indentations .................................................................................................................. 27
Figure 31 - Hot flow ..................................................................................................................................... 28
Figure 32 - Plastic deformation by rolling.................................................................................................... 28
Figure 33 - Plastic deformation by tooth hammer ....................................................................................... 29
Figure 34 - Rippling ..................................................................................................................................... 29
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---

v
Figure 35 - Rippling ..................................................................................................................................... 29

Figure 36 - Rippling ..................................................................................................................................... 30
Figure 37 - Ridging...................................................................................................................................... 30
Figure 38 - Burr ........................................................................................................................................... 31
Figure 39 - Tip-to-root interference ............................................................................................................. 32
Figure 40 - Cross section through a tooth flank showing how a pit develops below the surface ............... 32
Figure 41 - SEM image - pitting damage caused by Hertzian fatigue, showing fatigue cracks near
boundary of pit .......................................................................................................................... 33
Figure 42 - Nonprogressive macropitting .................................................................................................... 33
Figure 43 - Progressive macropitting .......................................................................................................... 34
Figure 44 - Point-surface-origin macropitting .............................................................................................. 34
Figure 47 - Point-surface-origin macropitting on carburized helical gear at 1.5 × 107 cycles ..................... .... 36
Figure 48 - Point-surface-origin macropitting on carburized helical gear at 3.0 × 107 cycles less.....................
....... 36
Figure 49 - Point-surface-origin macropitting on carburized helical driven pinion ......................................
C .................
...............
Figure 50 - Point-surface-origin macropitting ..............................................................................................
.................
37
37
T G
Figure 51 - Spall macropitting .....................................................................................................................
.................
................
Figure 52 - Micropitting on misaligned carburized gear ..............................................................................
.................
.............
38
39
Figure 53 - Micropitting on induction hardened spur gear with crowned teeth
T
h ...........................................
..............
Figure 54 - Micropitting on nitrided and ground spur gear ..........................................................................
.................
..............
P
Figure 55 - Detail of tooth surface showing micropitting .............................................................................
..................
..........
39
40
40
Figure 56 - Detail of tooth surface showing micropitting at 1000X magnification
o f
magnificatio
gnificatio ....................................... 41
Figure 57 - Regularly distributed micropitting .............................................................................................
.................
......... 41
t
Figure 58 - Subcase fatigue ........................................................................................................................
.................
.............
Figure 59 - Crack at a forging defect ..........................................................................................................
.................
..........
45
46
ou
Figure 60 - Hardening cracks ......................................................................................................................
..................
............ 47
Figure 61 - Grinding cracks with a crazed pattern ......................................................................................
..................
.......... 49
Figure 62 - Rim crack ..................................................................................................................................
................
............ 51
Figure 63 - Rim cracks in through hardened annulus
Figure 64 - Fracture surface of rim crack shown
t e
ulus
us gear......................................................................... 51
wn in Figure 63 .................................................................... 52
b u
Figure 65 - Case/core separation ...............................................................................................................
.................
...............
Figure 66 - Case/core separation ...............................................................................................................
..................
............
52
53
rt u
Figure 67 - Bending fatigue crack ...............................................................................................................
..................
............. 54
Figure 68 - Brittle fracture ...........................................................................................................................
................
............. 56
s
Figure 69 - SEM image of transgranular grranular
anular brittle
br
brit fracture .............................................................................. 56
Figure 70 - SEM image of intergranular
Figure 71 - SEM image of ductile
erggranular
uctile
d i
ranular brittle
le fracture
fract
frac
b fracture ............................................................................... 57
.................................................................................................. 59
t
Figure 72 - Mixed mode fracture acture .....
................................................................................................................. 60
Figure 73 - Tooth shear ar...............................................................................................................................
............
.......... 60
Figure 74 - Fracture e after
Figure 75 - Two adjacent
Figure 76 - Bending
nding
afte
cent te
ing fatigue n o
fterr plastic
pla
plast deformation ............................................................................................. 61
teeth on a helical pinion that failed by bending fatigue ...................................... 63
fatig of spiral bevel tooth ........................................................................................ 64
o
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
Figure 77 - Bending fatigue

fa of two helical teeth .......................................................................................... 65
D
Figure 78 - Bending fatigue of several spur gear teeth ............................................................................... 66
Figure 79 - Bending
Bendi fatigue of two bevel pinion teeth ................................................................................. 67
Bend
Figure 80 - Fatigue of several teeth that were loaded on both flanks ......................................................... 68
Figure 81 - Profile cracks originating from severe pitting............................................................................ 69
Figure 82 - Broken tooth ends .................................................................................................................... 69
Figure 83 - Bending fatigue initiation from subsurface nonmetallic inclusion ............................................. 70
Figure 84 - Bending fatigue due to nonmetallic inclusion ........................................................................... 70
Figure 85 - Fracture surface of loose fragment showing nonmetallic inclusion .......................................... 71
Figure 86 - BSE image of fracture surface showing scanned areas 1, 2, and 3 ........................................ 71
Figure 87 - EDS spectrum of figure 86 area 1 showing chemistry of the inclusion .................................... 72
Figure 88 - EDS spectrum of figure 86 area 3 showing chemistry of the steel matrix ................................ 72
Figure 89 - TIFF failure on an idler gear ..................................................................................................... 73

vi
Foreword
[The foreword, footnotes and annexes, if any, in this document are provided for informational purposes
only and are not to be construed as a part of ANSI/AGMA 1010-F14, Appearance of Gear Teeth -
Terminology of Wear and Failure.]
This standard provides a means to describe the appearance of gear teeth when they wear or fail. The study
of gear tooth wear and failure has been hampered by the inability of two observers to describe the same
phenomenon in terms that are adequate to assure uniform interpretation.
The term “gear failure” is subjective and a source of considerable disagreement. For example, a person
observing gear teeth that have a bright, mirrorlike appearance may believe that the gears have “run-in”
properly. However, another observer may believe that the gears have failed by polishing wear. Whether the
gears should be considered failed or not depends on how much change from original condition is tolerable.
This standard provides a common language to describe gear wear and failure, and serves ves as
rves a a guide to
uniformity and consistency in the use of that language. It describes the appearance of gear tooth
modes and discusses their mechanisms, with the sole intent of facilitating identification ation
to
tion of gear
failure
ge wear and C
failure. The purpose of the standard is to improve communication between equipment quipment u users and gear
manufacturers for failure and wear analysis. Since there may be many different causes for each type of gear
tooth wear or failure, it is not possible in the standard to identify a single cause
e for each type
tty of wear or failure,
T G
nor to prescribe remedies.
110
1
AGMA Standard 110 was first published in 1943. A revised standard, AGMA 110.03, was published in 1979
P T
with improved photographs and additional material. AGMA 110.04 wass reaffirm
ANSI/AGMA 1010-E95 was a revision of AGMA 110.04. It was
reaffirmed by the members in 1989.
ass approv
approved
ppro by the AGMA Membership in
o f
andard
dard on December
March 9, 1995. It was approved as an American National Standard D 13, 1995.
t
ou
ANSI/AGMA 1010-F14 is a revision of ANSI/AGMA 1010-E95. 0-E95. It merges ANSI/AGMA 1010-E95 and
010-E95.
AGMA 912-A04. New failure modes and additional photoss were we added and the content was reorganized.
The description of failure mode morphology and mechanism
chanism was expanded, and methods to reduce the
he description
risk of a particular failure mode were added to the descript
descrip of many of the failure modes.
t e
The first draft of ANSI/AGMA 1010-F14 was
membership in June, 2014. It was approved
ved
d as an A u
as made in August, 2010. It was approved by the AGMA
b
American National Standard on August 8, 2014.
rt u
Suggestions for improvement of thiss standard
stand will be welcome. They may be submitted to
tech@agma.org.
i s
t d
n o
D o
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---

vii
PERSONNEL of the AGMA Nomenclature Committee
Chairman: Dwight Smith ..................................... Cole Manufacturing Systems

Vice Chairman: J.M. Rinaldo............................... Atlas Copco Comptec, LLC
ACTIVE MEMBERS
J.B. Amendola, III ................................................. Artec Machine Systems
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
K. Burris................................................................ Caterpillar, Inc.
R.L. Errichello ....................................................... Geartech
O.A. LaBath .......................................................... Gear Consulting Services of Cincinnati, LLC
M. Li...................................................................... Lufkin Industries, Inc.
P. Terry................................................................. P. Terry & Associates
C
T G
P T
o f
u t
o
t e
b u
tr u
i s
t d
n o
D o

viii
American National Standard -
Appearance of Gear Teeth - Terminology of

Wear and Failure
1 Scope
This standard provides nomenclature for general modes of gear tooth wear and failure.
ailure.
ure. It
I classifies,
identifies, and describes the most common types of failure and provides information
on that will,
wi in many
w
cases, enable the user to identify failure modes and evaluate the degree orr change from original C
condition.
This standard is based on experience with steel gears; however, many off the failure
failur modes discussed
failu
T G
may apply to gears made from other materials.
The solution to many gear problems requires detailed investigation
n and analysis
a
anal by specialists and is
P T
beyond the scope and intent of this standard.
This standard does not define “gear failure”. One observer's “failure”
ailure” is another
failure” a
o f
observer's “run-in”. There
ot a gear h
is no single definition of gear failure, since whether or not
t
has failed depends on the specific
ou
application.
The methods given for reducing the risk of a failure mode
ode are specific
sp to the failure mode considered, and
implementation may sometimes worsen, or create ate other fa
failure modes or unintended consequences.
t e
valuated prior to implementation and thoroughly tested
Therefore, it is imperative that any remedy be evaluated
u
and evaluated after implementation.
NOTE: “gear” throughout the standard means
b
anss gear or pinion unless the gear is specifically identified.
2 Normative references
rt u
The following documents contain n provision
pub
ublication
s
provisions which, through reference in this text, constitute provisions of
licatio the editions were valid. All publications are subject to revision,
this standard. At the time of publication,
i
dard are encouraged
and the users of this standard
ns listed:
editions of the publications
en
e
t d
to investigate the possibility of applying the most recent
AGMA 923-B05,
ANSI/AGMA
ational P
AGMA 901-A92, A Rational
5, Metallurg
etallurg
Metallurgical
A 1012-G05,
1012-G05
o
Procedure for the Preliminary Design of Minimum Volume Gears
n
Specifications for Steel Gearing
012-G05 Gear Nomenclature, Definitions of Terms with Symbols
MA/AWEA 6006-A03, Standard for Design and Specification of Gearboxes for Wind Turbines
ANSI/AGMA/AWEA
ANSI/AGMA
MA 6011-I03,
601
60
D o
Specification for High Speed Helical Gear Units
ANSI/AGMA 6013-A06, Standard for Industrial Enclosed Gear Drives
ANSI/AGMA 9005-E02, Industrial Gear Lubrication
ISO 14104, Gears - Surface temper etch inspection after grinding
3 Definitions
3.1 Definitions
The terms used in this standard, wherever applicable, conform to the definitions given in ANSI/AGMA
1012-G05 and AGMA 923-B05.
NOTE: The symbols and definitions used in this standard may differ from other AGMA Standards. The user
should not assume that familiar symbols can be used without a careful study of these definitions.
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---

1
3.2 Classes and modes of failure

Table 1 groups the common modes of gear failure into seven general classes and subdivides the general
classes into general and specific modes. It also includes commonly used, but non-preferred names.
Table 1 - Nomenclature of gear failure modes

Non-preferred
Class Clause General mode Specific mode or degree
terminology
Wear 4.1 Adhesion Mild Normal, running-in wear
Moderate Tearing, Microwelding
Severe (see scuffing) Scoring
4.2 Abrasion Mild, Moderate, Severe Scratching
Cutting
4.3 Polishing Mild, Moderate, Severe g
Burnishing
4.4 Corrosion
4.5 Fretting True brinelling
False brinelling C
4.6 Scaling
Fretting corrosion
T G
4.7
4.8
4.9
White layer flaking
Cavitation
Erosion
P T Arcing
Scuffing
4.10
5
Electrical discharge
Scuffing Mild, Moderate,
o f
e, Severe
evere Scoring
t Cold scuffing
Hot scuffing
ou
Welding, Microwelding
Galling
Seizing
Plastic 6.1
t
Plastic deformation
e Indentati
ndenta
Indentation Bruising
u
deformation Peening
Denting
b True brinelling
rt u
6.2 Cold flow Permanent deformation
6.3 Hot flow Overheating
6.4
6.5
i s Rolling
Tooth hammer
6.6
6.7
6.8
t d Rippling
Ridging
Burr
Fish scaling
6.9
.10
6.10
6.11
.11 n o Root fillet yielding
Tip-to-root interference
Tight mesh
Hertzian
fatigue
D o
7.1 Macropitting Nonprogressive
Progressive
Point-Surface-Origin
Contact fatigue, initial
Destructive
Arrowhead
Spall
7.2 Micropitting Frosting
Gray staining
Peeling
7.3 Subsurface initiated
failures
7.4 Subcase fatigue Case crushing
Cracking 8.1 Hardening cracks Quenching cracks
8.2 Grinding damage Grinding burn
8.3 Rim and web cracks
8.4 Case/core separation Internal rupture
8.5 Fatigue cracks
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---

2
Non-preferred
Class Clause General mode Specific mode or degree
terminology
Fracture 9.1 Brittle fracture Fast fracture
9.2 Ductile fracture Smearing
9.3 Mixed mode fracture Semi-brittle
9.4 Tooth shear
9.5 Fracture after plastic
deformation
Bending 10.1 Low-cycle fatigue
fatigue 10.2.3 High-cycle fatigue Root fillet cracks
10.2.4 Profile cracks
10.2.5 Tooth end cracks
10.2.6 Subsurface-initated Tooth flank fracture
bending fatigue cracks
10.2.7 Tooth interior fatigue
fracture (TIFF)
C
4 Wear
T G
Wear is a term describing change to a gear tooth surface involving the remo
material, due to mechanical, chemical, or electrical action.
remov
removal or displacement of
P T
Figures 1 and 2 show moderate and severe wear. They are not intended
Wear can be categorized as mild, moderate or severe. In some
nded to indicate
tended i
ome applications,
appl
f
the mode of wear.
o
no wear is acceptable.
However, in many other applications mild wear is considered
severe wear may be acceptable in some applications.
d normal.
red
t
norma Moderate and sometimes even
u
4.1 Adhesion
o
Adhesion is caused by transfer of material from
tearing.
m one too
t e
tooth surface to another due to microwelding and
toot
Adhesion can be categorized as mild or moderate

b u
derate if it is confined to surface films and oxide layers on the
tooth surface. If, however, the oxide layers
yers are disrupted and bare metal is exposed, the transition to
severe adhesive wear (scuffing) mayy occur. Scuffing
Sc
S
tr u
is discussed in clause 5.
i s
t d
n o
D o
Figure 1 - Moderate wear
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---

3
C
T G
P T
ear
Figure 2 - Severe wear
o f
t
ou
4.1.1 Mild adhesion
Mild adhesion typically occurs during running-in and usually
ually ssubsides after it has smoothed the tooth
calized wear.
surfaces by removing minor imperfections through localized w To the unaided eye, the tooth surface
appears undamaged and the original machining hining
ining
microplateaus can be seen between the machining
ning marks
ma
m
g furrows.
furrow
t eare visible. Microscopically, smooth
4.1.2 Moderate adhesion

b u
rt u
Adhesion is classified as moderate iff itt removes
remov
remove some or all of the original machining marks from the
rtain conditions,
active surface of the tooth. Under certain con adhesion may cause continuous removal of surface
n severe wear
films and oxide layers, resulting in w
s
[1].
i
d
When new gear units are firstst operated the contact between the gear teeth may not be optimum because
of manufacturing inaccuracies.
cies. If the
racies. t tribological conditions are favorable, mild adhesive wear occurs
during run-in and subsides
sides
es w
t
with time, resulting in a satisfactory lifetime for the gears. The wear that
occurs during run-in is beneficial
o
benefici if it creates smooth tooth surfaces (increasing the specific film thickness)
beneficia
and increases thee area
ea of co
ccordance n
ordance with the manufacturer’s recommendations. An effective run-in requires a proper
performed in accordance
contact by removing minor imperfections through local wear. Run-in should be
shed to remove
gearbox flushed
partia load
combination of partial
re
l
o
and sufficient time. Following run-in, the lubricant should be drained and the
wear debris, and the filter, if present, changed before refilling the gearbox with
ended lubricant. An alternate is to use an external purifier to clean the oil. See ANSI/AGMA
ende
the recommended
D
us 11.6.1, ANSI/AGMA 6011-I03 clause 6.4 and ANSI/AGMA/AWEA 6006-A03 clause 6.7.
6013-A06 clause
The amount of wear that is considered tolerable depends on the operating speed and expected lifetime
for the gears and on the requirements for the control of noise and vibration. The wear is considered
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
excessive when the tooth profiles wear to the extent that high dynamic loads are encountered, or the
tooth thickness is reduced to the extent that tooth failure by bending fatigue becomes imminent, or the
gears generate excessive noise or vibration. Many gears, because of practical limits on lubricant
viscosity, speed and temperature, must operate under boundary-lubricated conditions where some wear
is inevitable. Reference [1] indicates that highly-loaded, slow speed (less than 0.5 m/s pitch line velocity),
boundary-lubricated gears are especially prone to excessive wear. The problem can also affect gears
operating at up to 2 m/s pitch line velocity. Tests with slow-speed gears [1] have shown that nitrided
gears have good wear resistance whereas carburized and through-hardened gears have similar, lower
wear resistance. Reference [1] concluded that lubricant viscosity has a large influence on slow-speed,
adhesive wear. It found that high viscosity lubricants reduce the wear rate significantly. It also found that

4
some chemically aggressive additives that contain sulphur-phosphorous antiscuff additives can be
detrimental with very slow-speed (less than 0.05 m/s) gears, giving higher wear rates than expected. This
problem can also affect gears with up to 2 m/s pitch line velocity. In some cases with low speeds,
adhesion may look like polishing with a resulting mirrorlike finish. However, not all sulphur-phosphorous
containing additives are detrimental under these same conditions, consult your lubricant manufacturer to
ensure the proper lubricant application.
Some gear units operate under ideal conditions with smooth tooth surfaces, high pitch line speed, and
high lubricant film thickness. It has been observed, for example, that turbine gears that operated almost
continuously at 150 m/s pitch line speed still had the original machining marks on their teeth even after
operating for 20 years. Most gears however, operate between the boundary and full-film lubrication
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
regimes, under elastohydrodynamic lubrication (EHL) conditions. In the EHL regime, provided that the
proper type and viscosity of lubricant is used, the wear rate usually reduces during running-in and
adhesive wear virtually ceases once running-in is completed. If the lubricant is properly maintained (kept
cool, clean and dry) the gearset should not suffer an adhesive wear failure.
4.1.3 Summary of methods to reduce the risk of adhesive wear

C
- Reduce surface roughness
x Use smoother tooth surfaces;
T G
- Optimize geometry
rtial load;
x Run-in new gearsets by operating at least the first 10 hours at partial load
P T
f
w-speed
x Use high pitch line speeds if possible. Highly-loaded, slow-speed peed gears
gea
g are boundary lubricated
and especially prone to excessive wear;
- Optimize metallurgy
x Use nitrided gears if they have adequate capacity.
t o
ou
- Optimize lubricant properties
x Drain and flush the lubricant after the first 50 hoursours oof operation to remove wear debris from
nt, and install
running-in, refill with recommended lubricant, inst
inst a new filter element if there is one;
x For very slow-speed gears (less than 0.05 05 m/s
t
m/s)
e
m/s), use lubricants with additives that have been
u
oth surfaces;
proven not to be aggressive to the tooth surface
x Use an adequate amount of cool, clean and dry (free of water) lubricant of the highest viscosity
nditions;
ions;
permissible for the operating conditions;
b
perature
x Lower mesh lubrication temperature
rt u
ature with
wit improved cooling.
4.2 Abrasion
i s
d
Abrasion is the removal or displaceme
placeme of material due to the presence of hard particles: for example,
displacement
st,
metallic debris, scale, rust,t, sand, or
o abrasive powder, suspended in the lubricant or embedded in the
eth..
flanks of the mating teeth.
atches or
Abrasion causes scratches
ot
o gouges on the tooth surface that are oriented in the direction of sliding.
ation, the scratches
Under magnification, sc
s
n
appear as parallel furrows that are smooth and clean. See Figure 3.
NOTE: Damage
amage fro
components.
nce.
performance.
Abras
Abra
D o
from abrasion is not limited to gear teeth; it also can severely degrade bearings, seals, and other
ents. Abrasion can promote failures of gear teeth by causing misalignment due to reduced bearing
Two-body abrasion occurs when embedded particles or asperities on one gear tooth abrade the opposing
tooth surface. Abrasion due to loose contaminants is called three-body abrasion. It is generally much
less severe than two-body abrasion because the abrasive can roll, slide, and vary its approach angle.
Generally, two-body abrasion is much more damaging than three-body abrasion because the abrasive is
fixed in one body and it abrades directly on the other body.
Based on the severity of the damage, abrasion can be categorized as mild, moderate, or severe.
4.2.1 Mild abrasion

Abrasion is classified as mild if it consists of fine scratches that are not numerous or deep enough to
remove significant amounts of material from the tooth surface and some machining marks are visible on
the tooth surface. See Figure 4.

5
C
T G
article
rticle showing
The diagonal line is an abrasion furrow cut by a hard particle sshow
P T
smooth,
brasion
Figure 3 - SEM image - abrasion
o
onf
ginal grind
clean appearance. The vertical lines are the original grin marks.
t
ou
t e
b u
tr u
i s
t d
n o
D o
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
Figure 4 - Mild abrasion near the tip of a ground gear

4.2.2 Moderate abrasion
Abrasion is classified as moderate if remnants of the original machining marks are visible on the tooth
surface.
4.2.3 Severe abrasion
Severe abrasion removes all of the original machining marks from the active surface of the tooth. There
may be wear steps at the ends of the active face and in the dedendum. The tooth thickness may be
reduced significantly, and in some instances the tooth tip may be reduced to a sharp edge. See Figures
5, 6 and 7.

6
Figure 5 - Severe abrasion
C
T G
P T
o f
t
ou
t e
b u
re abrasion,
Figure 6 - Severe abrasio enlarged view of Figure 5
rt u
i s
d
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
ot
n
D o
Figure 7 - Severe abrasion

7
4.2.4 Sources of particles that may cause wear

Contamination enters gear units by being present at assembly, internally-generated, ingested through
breathers and seals, carried by the lubricant from an improperly cleaned lubrication system or
inadvertently added during maintenance.
Sand, scale, rust, machining chips, grinding dust, weld splatter or other debris may find their way into new
gear units. To remove built-in contamination, it is generally worthwhile to drain and flush the gearbox
lubricant after approximately 50 hours of operation, install a new oil filter, if there is one, and refill with the
recommended lubricant.
Internally-generated particles are usually wear debris from gears, bearings or other components due to
Hertzian fatigue, adhesive wear, and abrasive wear. The wear particles can be abrasive because they
become work hardened when they are trapped between the gear teeth. Internally-generated wear debris
can be minimized by using accurate, surface-hardened gear teeth (with high macropitting resistance),
smooth tooth surfaces and clean high viscosity lubricants.
4.2.5 Methods for reducing abrasive wear

C
Clean oil is absolutely essential to prevent abrasive wear. Foreign particles in
ed
n the oil are
d system.
gears, bearings and seals and will cause a decline in the integrity of the geared
ar damaging to
a
T G
Magnetic plugs may be used to capture ferrous particles that are present
during operation. Periodic inspection of the magnetic plug may be used
ent
nt at startup,
startu or are generated
ed to monitor
mon the development of
ferrous particles during operation. Magnetic wear chip detectors with alarms are also available.
P T
The lubrication system should be carefully maintained and monitored
adequate amount of cool, clean and dry (free of water) lubricant.
ored
nt. For
ed to ensure
ens
or circulating-oil
circ
o f
that the gears receive an
systems, fine filtration
helps to remove contamination. Filters as fine as 3 micrometers eters
t
rs have been used to significantly increase
ou
gear life, where the pressure loss across the filter can be e tolerated.
tolerat
tolera Offline filters (kidney-loop type
systems) may also be used to clean oil. They efficiently tly remove small (1-10 ȝm) particles because they
process only about 10% of the total flow rate and nd thereby
ereb allow finer filtration. They may utilize
electrostatic agglomeration systems to reduce the
through the filters. Other systems may be used
e amount
d to
moun of
o remove
t e
o very fine particles that normally would pass
remov water from the oil. Note that fine filtration may
remove some beneficial additives from some
regarding the filtration level and filter type.
me lubrican
u
lubricants, so the lubricant supplier should be consulted
b
rt u
The lubricant may have to be changed d or processed
proces
proce to remove water and maintain additive levels. For
oil-bath gear units, the lubricant should ould
uld be changed
ch frequently because that is the only way to remove
contamination. The lubricant should hould
uld be changed
c more frequently when the operating temperature is
above 225°F. In many cases the
months, whichever occurs first;
he e lubricant
i s
lubrican should be changed at least every 2500 operating hours or six
rst;; howev
however, the manufacturer’s recommendations should be followed. See
monitoring can be used

dditional
ANSI/AGMA 9005 for additionalditional iin
d to assess
as
t d
information. For critical gear units a regular program of lubricant
asses lubricant condition. The lubricant monitoring may include such items
as spectrographic and
Breather vents
nd ferrographic
ferrogra
sed filter elements
water content. Used
s are use
ele
n o
analysis of contamination along with analysis of acidity, viscosity, and
may be examined for wear debris and contaminants.
used on gear units to relieve internal pressure that occurs when air enters through
en the air
seals or when
ent should
breather vent
ai w
o
within the gearbox expands and contracts during normal heating and cooling. The
D
shoul be located in a clean, non-pressurized area and it should have a filter to prevent
ingression off airborne
airb contaminants and desiccant to remove water. In especially harsh environments,
the gearbox can sometimes be completely sealed, and the pressure variation can be accommodated by
an expansion chamber with a flexible diaphragm.
All maintenance procedures that involve opening any part of the gear unit or lubrication system should be
carefully performed in an environment as clean as possible to prevent contamination of the gear unit.
Unless the tooth surfaces of a surface-hardened gear are smoothly finished, they may act like files if the
mating gear is appreciably softer. This is the reason that a worm is polished after grinding before it is run
with a bronze worm wheel.
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---

8
4.2.5.1 Summary of methods to reduce the risk of abrasive wear

- Minimize contamination
x Flush unit thoroughly before initial operation;
x Remove built-in contamination from new gear units by draining and flushing the lubricant after
approximately 50 hours of operation. Refill with clean recommended lubricant and install a new
filter if there is one;
x Minimize internally-generated wear debris by using surface-hardened gear teeth, smooth tooth
surfaces and high viscosity lubricants;
x Minimize ingested contamination by maintaining oil-tight seals and using filtered breather vents
located in clean, non-pressurized areas;
x Minimize contamination that is added during maintenance by using good housekeeping
procedures;
acture
ctu
x For circulating-oil systems, use fine filtration in consultation with lubricant manufacturer;
x Use an offline (kidney loop) filter to remove very small particles;
x Use an agglomeration system to remove very fine particles; C
G
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
- Maintain lubricant
x Change or process the lubricant to remove water;
x For oil-bath systems, change the lubricant at least every 2500 hours
recommended by the manufacturer, or determined by lubrication
ours or every
T T
eve six months, or as
n sampling analysis;
x Monitor the lubricant with spectrographic and ferrographicc analysis
acidity, viscosity and water content. Oil sampling is the best
f
est method P
analys together with analysis of
metho for determining lubrication
4.3
changing intervals.
Polishing
t o
Polishing is fine-scale abrasion [2] that causes gear teeth
tooth surface may be smooth or wavy with local bumps. mp
ps.
th to have
s. Under
h
ou
a bright mirrorlike finish. The gear
Und magnification, the surface appears to be
o sliding.
covered by fine scratches that are oriented in the direction of
t e
u
rface,
When a hard surface mates with a soft surface,ce, polis
polishing is more likely to occur on the hard surface
urface
rface and create two-body abrasion on the hard surface.
because the abrasives embed in the soft surface
b
rt u
callyy aggres
Polishing can be promoted by chemically aggre
aggressive additives when the lubricant is contaminated with
verity,
erity, polis
fine abrasives [2]. Based on the severity, polishing can be categorized as mild, moderate, or severe.
4.3.1 Mild polishing

i s
typically occurs during running-in
tooth surface.
unning-in
ning-in and
t d
Polishing is classified as mild if it is confined to the peaks of the surface asperities. Mild polishing
a ceases before the original machining marks are removed from the
4.3.2 e polishing
Moderate olishing
n o
Polishing is classified as
surface.
4.3.3 D o
a moderate if remnants of the original machining marks are visible on the tooth
re polishing
Severe
Severe polishing removes all of the original machining marks from the active surface of the tooth. The
polished surface may be wavy and there may be wear steps at the ends of the active face and in the
dedendum. If extreme, polishing might reduce tooth thickness to where the topland is a knife-edge. See
Figures 8 and 9.
The gear teeth may polish to a bright, mirrorlike finish if the antiscuff additives in the lubricant are too
chemically aggressive, and a fine abrasive is present [2]. Although the polished gear teeth may look
good, polishing wear can be undesirable if it reduces gear accuracy by wearing the tooth profiles away
from their ideal form. Antiscuff additives that contain sulfur or phosphorous are used in lubricants to
prevent scuffing (see 5.3). They function by forming iron-sulfide and iron-phosphate films on areas of
gear teeth where high temperatures occur. Ideally, the additives should react only at temperatures where
there is a danger of welding. If the rate of reaction is too high, and there is a continuous removal of the
surface films caused by very fine abrasives in the lubricant, polishing wear may become excessive [2].

9
C
T G
P T
ng
Figure 8 - Severe polishing
o f
t
ou
t e
b u
tr u
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
i s
t d
Polishing wear can
an be prevented
pre n o Figure 9 - Severe polishing
by using less chemically active additives [3] and clean oil. The antiscuff
cuff additives,
some antiscuff addit
additi
ap
o
ould be appropriate
additives should for the service conditions. The use of any dispersed material, such as
should be monitored since it may precipitate or be filtered out. The abrasives in
D
shou be removed by using fine filtration or frequent oil changes.
the lubricant should
4.3.4 Summary of methods to reduce the risk of polishing wear

- Use a less chemically aggressive additive system;
- Remove abrasives from system, see 4.2.5 for methods.
4.4 Corrosion
Corrosion is the chemical or electrochemical reaction between the surface of a gear and its environment.
The tooth surfaces may appear stained or rusty and there may be reddish-brown deposits of rust. If the
loose corrosion products are removed, rough irregular etch pits may be revealed. Corrosion commonly
attacks the entire tooth surface and it may proceed intergranularly by preferentially attacking the grain
boundaries of the tooth surfaces. See Figure 10.

10
C
T G
P T
osion
on
Figure 10 - Extensive corrosion
o f
Identification of metal corrosion products is an indication of corrosion.
Į-Fe2O3 H2O by X-ray diffraction on pitted steel is evidence
e off rusting.
rusting
rustin
t
rrosion. For example, the identification of
ou
Etch pits from corrosion on the active flanks of gear teeth
th cause stress concentrations that may initiate
macropitting fatigue cracks. Etch pits on the root filletss of gear
g teeth may become initiation sites for
bending fatigue cracks.
Water is detrimental to lubricant properties and
t
d reduces fatigue
f elife.
The particles of rust are hard and they can
n cause abrasive
ab
b u
wear of the gear teeth.
rt u
Corrosion is often caused by contaminants nts in the
inants th lubricant such as water, or by changes in the lubricant
pH. Overly reactive additives can also so cause corrosion especially at high temperatures. Corrosive wear
s
caused by contamination or formation
rmation ofo acids in the lubricant can be minimized by monitoring the
lubricant acidity, viscosity and water content
At times, gear tooth surfaces
ces
con
cont
d i
and by changing the lubricant when required.
chemically attacked during processing in the factory, for example, when
es are che
copper plating is stripped
ed from a gear
surface temper from grinding.
g
ding. Proper
P
ot
after carburizing, or when acid is used as an etchant to inspect for
processing procedures must be carefully followed to avoid damage
cesses.
when using such processes.
n
4.4.1
A gear lubricant
ods
s to reduce
Methods
ricant should
baseline value
sh
D o
red the risk of corrosion
be changed if the neutralization number increases more than 75% over the
ue of the unused product, the water content is greater than 0.1%, or the viscosity increases or
h next ISO viscosity grade.
decreases to the
Corrosion easily occurs in gear units not properly protected during storage. If the gear unit must be
stored, special precautions should be applied to prevent rusting of the components. Condensation occurs
when humid air is cooled below its dew point and the air-water mixture releases water, which collects in
the form of droplets on exposed surfaces. It may occur where there are frequent, wide temperature
changes. To prevent condensation gearboxes should be stored indoors where humidity is controlled and
temperature changes are minimized. For long term storage, it is best to completely fill the gear unit with
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
oil and plug the breather vent. This minimizes the air space above the oil level and minimizes the amount
of condensation. Where this is not practical, all exposed metal parts, both inside and outside, should be
sprayed with a heavy duty water displacing rust preventative that has been proven to be compatible with
the gear oil to be used in the gearbox. To be effective, the rust preventative must reach all bearings and
stagnant areas. If stored outdoors, the gear unit should be raised off the ground and completely enclosed
by a protective covering such as a tarpaulin. Plastic is not recommended because it accumulates

11
condensation on its underside. The gears should be rotated periodically to distribute oil to the gears and
bearings. If the gearbox has a circulating lubrication system, it should be activated periodically. It may
also be necessary to periodically remove bearing caps, spray the bearings with oil, and replace the caps
to ensure adequate protection.
4.5 Fretting
Fretting is localized wear of contacting gear and bearing surfaces caused by minute vibratory motion. It
occurs between contacting surfaces that are pressed together and subjected to cyclic, relative motion of
extremely small amplitude. Under these conditions, lubricant squeezes from between the surfaces, and
motion of the surfaces is too small to replenish the lubricant. Natural, oxide films that normally protect
surfaces are disrupted, permitting metal-to-metal contact and causing adhesion of surface asperities.
Fretting commonly occurs in joints that are bolted, keyed, or press-fitted and in splines or couplings. It
whe
might occur on gear teeth and bearing raceways and rollers under specific conditions where e the gears
and bearings are not rotating and subjected to structure-borne vibrations such as those hose
os encountered
e
during transport, or in parked wind turbines [4, 5].
C
lubr
lubric
Fretting can occur as two mechanisms; false brinelling and fretting corrosion. For lubricated
adhes
under fretting conditions, false brinelling begins an incubation period of mild adhesive
s
boundary lubrication. If the contact becomes starved for lubrication, it may be subjected
G
contacts,
T
wear under
to severe
adhesive wear known as fretting corrosion. See Figure 11.
nelling.
True brinelling is a separate failure mode that is unrelated to false brinelling.
P T
4.5.1 True brinelling
o f
True brinelling occurs in contacts that are subjected to Hertzian
t
tzian str
stress that is high enough to cause
ou
permanent plastic deformation of the contacting surfaces. es. It is characterized
c by plastic deformation,
without loss of material or change of surface texture re that occ
occurs during a single load event. True
brinelling is characterized by dents that have raisedd shoulders.
shoulder
ulde For example, true brinelling of a rolling
e
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
otating
ting and
element bearing occurs when the bearing is not rotating a subjected to an impact load great enough to
plastically deform the raceway. The dents in the
u t
he raceway
racewa occur at roller spacing, have raised shoulders,
icroscopica
scopica in the bottoms of the dents.
and the original grinding marks are visible microscopically
b
rt u
d is
ot
n
D o
Figure 11 - Fretting corrosion

12
4.5.2 False brinelling

Fretting begins with an incubation period during which the wear mechanism is mild adhesion that is
confined to the natural oxide layer that covers steel. The wear debris is the iron oxide magnetite (Fe3O4),
which is black and highly magnetic. Magnetite discolors the lubricant surrounding the contact and forms
a black, greasy film. Damage during incubation is false brinelling [4], and it has distinctly different
morphology than true brinelling. False brinelling is characterized by dents that do not have raised
shoulders. Furthermore, the original machining marks within the dents are worn away by mild adhesive
wear. The dents are created by the wearing off of pre-existing and continually reforming oxide films [4].
Generally, the damage caused by false brinelling is negligible and the wear rate is low. False brinelling
occurs on gear teeth and bearing components when they are not rotating but oscillating through
extremely small angles.
4.5.3 Fretting corrosion

Wear debris from false brinelling accumulates in the oil meniscus surrounding the contact.tact.
ct. If the amount
is sufficient to dam lubricant from reaching the contact area, the lubricating regime egime changes
cha
ch
boundary lubrication to unlubricated. Once the lubricant within the contact area iss depleted by oxidation
from
C
are formed between the asperities of the parent iron components and damage
rough.
ough. The
the wear rate increases dramatically until the natural oxide layer is broken through. Then strong welds
amage escalates
es to fretting
T G
corrosion. Relative motion breaks strongly-welded asperities and generates nerates extremely
particles that oxidize to form the iron-oxide hematite (Į-Fe2O3); a non-magnetic
on-magneti
ex
n-magne powder that has the
P
abrasiv and is in fact the same
abr
fineness and reddish-brown color of cocoa. The wear debris is hard and abrasive,
T
small wear
composition as jeweler’s rouge [4, 5], and polishing wear [2] (fine ne scale abrasion)
olors
around the periphery of a fretting corrosion scar. Hematite discolors
a
s the lubricant
lu
o f
is frequently found
surrounding the contact
t
colored
lored with
and forms rouge-colored paste. Usually, the wear scar is discolored wit black or reddish films.
operation, damaged gears and bearings might generate e sharp, h

rosion
through the contact areas. For example, fretting corrosion
ha
u
Fretting corrosion damages gear and bearing surfaces by forming ruts along lines of contact. During
hammering noise as the wear scars pass
o
n can occur when gears are in mesh under load
e
en the ruts
and vibrating without significant relative rotation. When r are severe, the gears may be noisy when
they rotate.
ress
ess conce
Pits from fretting corrosion create local stress conc e
concentrations
u t
that might cause macropitting or initiate
ress areas,
fatigue cracks, which if in high tensile stress
nificantly.
cantly.
corrosion reduces fatigue strength significantly.
are
b
might propagate to failure. Generally, fretting
u
manner, fretting corrosion can an
adequate
dequate to stop relative motion between the inner ring and shaft, or
If rolling element bearing fits are inadequate
using,
between the outer ring and housing,sing, fretting
n also o
fretti
frett
s tr
corrosion might develop at these interfaces. In a similar
i
occur between a gear bore and shaft if there is inadequate
interference.
alse
The best way to avoid false e brinelli
brinell
t d
brinelling and fretting corrosion is to stop the vibration, rotate the components
to entrain fresh oil, orr both.
and the wear regime
nd how
lubricant type and
oth. EEa
o
Each time the components entrain fresh oil, the incubation period restarts,
me shifts tto mild adhesive wear. The length of the incubation period depends on the
w eas
ea
n
easily lubricant reaches the contact.
ated contacts,
For unlubricated con
o
te may be high from the beginning.
the wear rate
contac there is no incubation period, and fretting corrosion may start immediately and
D
4.5.4 ma of methods to reduce the risk of false brinelling and fretting corrosion
Summary
- Stop the vibration, rotate the components to entrain fresh oil, or both;
- For reciprocating systems such as yaw drives or actuators, ensure the angular motion is sufficient to
wipe fresh lubricant into the contact;
- Avoid parking wind turbines for extended periods;
- Avoid dithering of wind turbine blades; vary pitch angle enough to entrain fresh oil and pitch blades
frequently;
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
- Ensure adequate interference fit between shafts and couplings, gears, bearing rings, and other
interference-fit components;
- Use case hardening or surface hardening to obtain adhesion-resistant surfaces (nitriding is best);
- Use physical or chemical vapor deposition (PVD or CVD) hard coatings to obtain adhesion-resistant
surfaces;

13
- Use cold work, case hardening, or shot peening to induce compressive residual stresses.
- Use a lubricant with antiwear additives;
- Use oil rather than grease and use a high-pressure jet to flood the contact and flush away wear
debris;
- Store the gearbox in a vibration-free environment;
- Support the gearbox on vibration isolators;
- Ship the gearbox with shafts locked to prevent any motion;
- Ship the gearbox on an air-ride truck.
4.6 Scaling
Scaling can appear as patchy raised areas on the tooth flanks that are due to oxidation during heat
treatment. Integral quench controlled atmosphere and vacuum heat treatments do not exhibit this
condition. When running under load, the tooth force is initially transmitted by way of these
ese raised areas
that rapidly acquire a metallic sheen. See Figure 12.
Scaling is an issue only on gears that are not finished after heat treatment and only
nlyy if the oxide
ox layer is
C
overly thick. With normal processing, the oxide layer (as opposed to hardening scale)
and it usually does not affect gear performance.
cale) is thin
th and uniform,
T G
4.7 White layer flaking
nitr
White layer flaking occurs when the compound layer (white layer) on nitrided gears chips off leaving
P T
e fingernail.
shallow scars that have a white appearance and can be felt with the
f
ngerna See Figure 13.
o
t
ou
t e
b u
rt u
i s
t d
n o
D o
Figure 12 - Scaling
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---

14
C
T G
P T
o f
t
Figure 13 - White layer flaking
aking
ou
ength. Therefore, it is often removed by grit
The compound layer is generally detrimental to fatigue strength.
ted polishi
blasting, grinding, honing, lapping or chemically assisted polishin
polishing. However, for some applications the
compound layer is left on the gears and there is a risk off white
whit layer flaking. The risk is greater for thick
compound layers such as those that are developed
stage gas nitrided gears and ion nitrided gears.
ped
rs. Generally
Genera
t e
ed on single-stage
sing
s gas nitrided gears and less on two-
Genera the risk of white layer flaking is higher when
psilon
the compound layer consists of both the epsilon on phas
when the compound layer consists solelyy of the more m u
phase and gamma-prime phase iron nitrides and less
bductile gamma-prime phase. As a general rule,
rt u
en the compound
white layer flaking is likely to occur when com layer is greater than 13 ȝm and unlikely when the
compound layer is less than 10 ȝm.
4.7.1
s
Summary of methods to reduce the risk of white layer flaking
i
-
-
Remove the white layerr with
Use two-stage nitriding
10 ȝm.
ding
t d
h grit blasting,
b grinding, honing, lapping, or polishing;
g or ion nitriding and keep the thickness of the compound layer less than
4.8 Cavitation
n o
Cavitation can
ween a solid
motion between
vapor-filled bubbles
s
D o
n occur in the lubricant film between mating gear teeth [6]. Cavitation is caused by relative
so surface and a liquid. Relative motion causes a pressure drop that nucleates
bubble within the liquid. When the bubbles travel into a region of high pressure, they
bubb
hey change state from gas to liquid. The implosion of the bubbles transmits localized forces
collapse as they
to the surface and causes plastic deformation, work hardening, and ductile fracture of the surface
asperities. This may cause damage in the gear tooth surface that appears to the unaided eye to be rough
and clean as if it were sand blasted. Microscopically, the craters caused by cavitation are deep, rough,
clean, and have a honeycomb appearance. See Figures 14 through 17.
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---

15
C
T G
P T
ge
o f
t
ou
t e
b u
tr u
i s Fig
t d
n o
D o
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---

16
C
T G
P T
o f
t
ou
Figure 16 - SEM image - cavitatio
avitatio damage
cavitation
t e
bu
rt u
i s
t d
n o --`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
D o
Figure 17 - SEM image - cavitation damage
4.9 Erosion
Erosion is the loss of material from a gear tooth surface due to the relative motion of a high velocity fluid.
Figure 18 shows a high speed helical gear with erosion at tips of teeth caused by impingement of
lubricant from oil nozzles. This may occur with clean fluids, but damage is much worse if there are solid
contaminants in the fluid.

17
C
T G
P T
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
o f
t
ou
gh speed helical
Figure 18 - Erosion of a high h gear
4.10 Electric discharge

Gear teeth can be damaged if an electric current
t e
ent passes
passes through the gear mesh. An electric current can
also damage bearings and should be avoided
ud in
insulation, induction effects, or improper grounding
n geared
geare systems. Electric currents may result from faulty
grounding.
b
rounding The electric discharge damage is caused by an
m between
electric arc discharge across the oil film tween the active flanks of the mating gear teeth. The electric
rt u
rces,
current may originate from many sources, es, including:
includ
- electric motors;
-
i s
mentation;
entation;
electric clutches or instrumentation;
-
-
accumulation of static charge
t
ding
during electric welding d
ge and subsequent discharge;
g on or near
n the gear unit if the path to ground is not properly made around the
-
gears rather than
n o
n through
ough them;
ng strikes on
during lightning
th
t
o wind turbines.
o
rc discharge
An electric arc ischarg across the oil film between mating gear teeth produces temperatures that may
ough to lo
be high enough loc
locally melt the gear tooth surface. To the unaided eye, a surface damaged by electric
D
ppears as an arc burn similar to a spot weld. Microscopically, the damage appears as small,
ppea
discharge appears
hemisphericall craters.
ccr The edges of the craters are smooth and they may be surrounded by rounded
particles that were once molten.
A metallurgical section taken transversely through the craters and acid etched may reveal austenitized
and rehardened areas in white, bordered by tempered areas in black. Sometimes very small cracks are
found near the craters. The damage to the gear teeth is proportional to the number and size of the points
of arcing. Depending on its extent, electric discharge damage can be destructive to the gear teeth. If
electric discharge damage is found on the gears, all associated bearings should be examined for similar
damage.
See Figures 19 through 23.

18
C
T G
P T
Figure 19 - Electric discharge damage due to
o f
o a small electric
e current
t
ou
t e
b u
tr u
i s
t d
n o
D o
Figure 20 - Severe electric discharge damage due to an electric current of high intensity
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---

19
C
T G
P T
o f
t
ou
t e
ge - typica
b u typical electric discharge crater
rt u
d is
ot
n
D o
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
Figure 22 - SEM image - remelted metal and gas pockets near edge of crater

20
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
C
T G
P T
o f
discharg
scha
u t
c discharge
Figure 23 - SEM image - electric damage
ctrical discharge
4.10.1 Summary of methods to reduce the risk of electrical d damage
o
e
- Provide adequate electrical insulation;
-
-
Provide adequate grounding;
dures are used.
Ensure proper welding grounding procedures u
u t
u b
tr
5 Scuffing
Scuffing is severe adhesion that
welding and tearing. The damage mage
age typically
typic
typi
s
at causes transfer of metal from one tooth surface to another due to
i
occurs in the addendum, dedendum, or both, away from the
row or broad
operating pitch line, in narrow broa
es if it is due
occur in localized patches
matte texture. Under magnification,
magnificati
agnifica
d
bro bands that are oriented in the direction of sliding. Scuffing may
t
du to load concentrations. The scuffed areas appear to have a rough or
the scuffed surface appears rough, torn, and plastically deformed.
The term “scoring”g” which was
w
scratching and is now classified
clas
n o
incorrectly used in earlier gear nomenclature for scuffing, is in reality
as a form of abrasive wear.
Scuffing is not a fatigue
Based on the
D o
fatigu phenomenon and it may occur instantaneously.
fatig
severity of the damage, scuffing can be categorized as mild, moderate, or severe.
e sev
seve
5.1 Mild scuffing

Scuffing is classified as mild if it occurs only on small areas of the teeth and is confined to the peaks of
the surface asperities. It is generally nonprogressive.
See Figures 24, 25 and 26.
5.2 Moderate scuffing

Moderate scuffing occurs in patches that cover significant portions of the teeth. If the operating
conditions do not change, moderate scuffing may be progressive. See Figure 27.

21
C
T G
P T
o f
cuffing
ffing
Figure 24 - Mild scuffing
t
ou
e
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
t
bu
rt u
i s
t d
n o
D o
Figure 25 - SEM image - scuffing damage showing rough, torn,
and plastically deformed appearance

22
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
C
T G
Figure 26 - SEM image - scuffing damage showing
P T
g crater formed
fo when
rface
welded material was torn from surface
o f
t
ou
t e
b u
tr u
i s
t d
n o
D o
Figure 27 - Moderate scuffing
5.3 Severe scuffing

Severe scuffing occurs on significant portions of the gear tooth (for example, the entire addendum, the
entire dedendum, or both). In some cases the surface material may be plastically deformed and
displaced over the tip of the tooth or into the root of the tooth. Unless corrective measures are taken,
severe scuffing is usually progressive. See Figures 28 and 29.
Scuffing can occur in gear teeth when they operate in the boundary lubrication regime. If the lubricant
film is insufficient to prevent significant metal-to-metal contact, the oxide layers that normally protect the
gear tooth surfaces may be broken through, and the bare metal surfaces may weld together. The sliding
that occurs between gear teeth results in tearing of the welded junctions, metal transfer and damage.

23
C
T G
P T
ffing
Figure 28 - Severe scuffing
o f
t
ou
t e
b u
tr u
i s
t d
n o
D o
Figure 29 - Severe scuffing of a low speed gear lubricated with grease
In contrast to Hertzian fatigue and bending fatigue, which only occur after a period of running time,
scuffing may occur immediately upon start-up. In fact, gears are most vulnerable to scuffing when they
are new and their tooth surfaces have not yet been smoothed by running-in. It is recommended that new
gears be run-in under partial load to reduce the surface roughness of the teeth before the full load is
applied. The gear teeth can be coated with iron-manganese phosphate or plated with copper or silver to
reduce the risk of scuffing during the critical running-in period. The use of an oil with an antiscuff additive
may be useful during running-in to both help prevent scuffing and to promote polishing. However, if a
different oil is used for running-in, at the end of the running-in period the gearbox should be completely
drained and flushed.
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---

24
The basic mechanism of scuffing is not clearly understood, but there is general agreement that it is
caused by frictional heating generated by the combination of high sliding velocity and intense surface
pressure. Critical temperature theory [7] is often used for predicting scuffing. It states that scuffing will
occur in gear teeth that are sliding under boundary-lubricated conditions, when the maximum contact
temperature of the gear teeth reaches a critical magnitude.
For mineral oils without antiscuff additives, each combination of oil and gear tooth material has a critical
scuffing temperature that is constant regardless of the operating conditions [8]. The critical scuffing
temperature may not be constant for synthetic lubricants and lubricants with antiscuff additives, and
should be determined from tests that closely simulate the operating conditions of the gears or with in-situ
tests on the actual gears.
Most antiscuff additives are sulfur-phosphorus compounds, which form boundary-lubricating films by
chemically reacting with the metal surfaces of the gear teeth at local points of high temperature. Antiscuff
ng ttrue metal-to-
films help prevent scuffing by forming solid films on the gear tooth surfaces and inhibiting
metal contact. The films of iron sulfide and iron phosphate have high melting points, s, allowing
allow them to
remain as solids on the gear tooth surfaces even at high contact temperatures.
C
The rate of reaction of the antiscuff additives is greatest where the gear tooth contact temperatures
highest. Because of the sliding action of the gear teeth, the surface films are
reformed. In effect, scuffing is prevented by substituting mild corrosion in n its place
tem
te
T G are
e repeatedly scraped off and
place. Antiscuff additives
may promote micropitting. Some antiscuff additives may be too chemically
wear (see 4.3). This may necessitate a change to less aggressive
ally active
e antisc
P T
activ and promote polishing
antiscuff additives that deposit a
Use caution in the lubrication of gear units that have friction plate
nt specialist
boundary film without reacting with the metal. Consult with a lubricant
te clutc
clut
o f
specialis
specia for further guidance.
clutches or backstops, since some
additives may change the coefficient of friction. Always consult
nsult wit
bricant
t
with the gearbox manufacturer and
cant to another.
lubricant supplier before making any changes from one lubricant an
For mineral oils without antiscuff additives, the critical
creased
eased scuffing
viscosity, and ranges from 150°C to 300°C. The increased sc ou
al scuffing temperature increases with increasing
resistance of high-viscosity lubricants
compos
omposition
it
is believed to be due to differences in chemical composition
e
rather than increased viscosity. However, a
t
scuffing by increasing EHL film thickness and reducing
viscosity increase also helps reduce the risk of scuffing
metal contact.
contact temperature generated by metal-to-metal
According to [7], the critical temperature is:
conta
b u
Tc Tb Tf
rt u (1)
where
i s
Tc
Tb
is total contact temperature;
perature;
ature;
is gear bulk temperature;
mperature;
rature;
t d
Tf is flash temperature.
The bulk temperature
meshing zone.
rature
perature.
ature.
n o
th equilibrium temperature of the surface of the gear teeth before they enter the
e is the
flash temperature is the local and instantaneous temperature rise that occurs on the
e. The flas
5.3.1 Methods
o
gear teeth due to the ffrictional heating as they pass through the meshing zone.
D
hods for reducing the risk of scuffing
Anything that reduces either the bulk temperature or the flash temperature will reduce the total contact
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
temperature and lessen the risk of scuffing. Higher viscosity lubricants or smoother tooth surfaces help
by increasing the specific film thickness, which in turn reduces the frictional heat, and therefore the flash
temperature.
The lubricant performs the important function of removing heat from the gear teeth. The lubricant must
be supplied to the gear teeth such that it removes heat rapidly and maintains a low bulk temperature. A
heat exchanger can be used with a circulating oil system to cool the lubricant before it is sprayed at the
gears [9].
Scuffing resistance may be increased by optimizing the gear geometry such that the gear teeth are as
small as possible, consistent with bending strength requirements, to reduce the temperature rise caused
by sliding. The amount of sliding is proportional to the distance from the pitch point and is zero when the

25
gear teeth contact at the pitch point, and largest at the ends of the path of action. Profile shift can be
used to balance and minimize the temperature rise that occurs in the addendum and dedendum of the
gear teeth. The temperature rise may also be reduced by modifying the tooth profiles with slight tip relief,
root relief, or both to ease the load at the start and end of the engagement path where the sliding
velocities are the greatest. Also, the gear teeth should be accurate, held rigidly in good alignment, and
provided with lead modification to minimize the tooth loading and temperature rise.
The gear materials should be chosen with their scuffing resistance in mind. Steels that have been
nitrided are generally found to have high resistance to scuffing. Nitriding steels containing aluminum
have the highest resistance to scuffing. Some stainless steels may scuff even under near-zero loads.
The thin oxide layer on these stainless steels is hard and brittle and it breaks up easily under sliding
loads, exposing the bare metal, thus promoting scuffing. Anodized aluminum and titanium also have low
scuffing resistance. Hardness alone does not seem to be a reliable indication of scuffing resistance.
reco
rec
The initial run-in of gearing can be critical to ensuring long term service life. It is strongly recommended to
follow the run-in procedure recommended by the manufacturer. For more information ormation
mation on run-in
procedures see ANSI/AGMA 6013-A06 clause 11.6.1, ANSI/AGMA 6011-I03
C
03 clause 6.4 and
G
ANSI/AGMA/AWEA 6006-A03 clause 6.7.
5.3.2 Summary of methods to reduce the risk of scuffing

- Use smooth tooth surfaces produced by careful grinding, honing, polishing or
T T
o chemically assisted
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
-
-
polishing;
Run-in new gearsets following manufacturer’s recommendations;
Protect the gear teeth during the critical run-in period by use
f s;
e of a special
spec
sp
P
lubricant, coating (such as
-
t o
iron-manganese phosphate), or by plating (such as copperr or silver);silver)
onditions;
itions
Use lubricants of adequate viscosity for the operating conditions;
ou
- Use lubricants that contain antiscuff additives;
- Cool the gear teeth by supplying an adequate amount mount
nt of co
cool lubricant. For circulating-oil systems,
use a heat exchanger to cool the lubricant;
-
t
sma
Optimize the gear tooth geometry by using small
e
allll teeth,
teet profile shift and profile modification;
u
- mountings
Use accurate gear teeth, rigid gear mountings,untings and lead modification to obtain uniform load
distribution during operation;
- inum,
Avoid use of stainless steel, aluminum,
b
m, or titanium
t alloys since they greatly increase the risk of
rt u
scuffing;
- ffing
Use nitriding for improved scuffingg resistance.
resista
i s
6 Plastic deformation
on
t
Plastic deformation is permanent d
rmanent deformation that occurs when the stress exceeds the yield strength of
the material. It may occur
n o
cur at th
Hertzian stress, orr at the root
tthe surface or subsurface of the active flanks of the gear teeth due to high
roo fillets of the gear teeth due to high bending stress (see 9.5).
6.1
D o
Indentation
ation
on
The active flanks of gear teeth may be damaged by indentations caused by foreign material that becomes
ween mating teeth. See Figure 30.
trapped between
Depending on the number, size, and severity of the indentations, the damage may or may not initiate
other types of failure. If plastic deformation associated with the indentations causes raised areas on the
tooth surface, it creates stress concentrations that may lead to subsequent Hertzian fatigue. For gear
teeth subjected to Hertzian stresses greater than 1.8 times the tensile yield strength of the material, local,
subsurface yielding may occur. The subsurface plastic deformation causes grooves (true brinelling, see
4.5.1) on the surfaces of the active flanks of the teeth corresponding to the lines of contact between the
mating gear teeth. High Hertzian stress might result from large loads or gear tooth impact (tooth hammer,
see 6.5) caused by vibration.

26
C
T G
P T
o f
entations
ations
Figure 30 - Severe indentations
t
ou
6.2 Cold flow
Cold flow is plastic deformation that occurs at a temperature
mperature lower than the recrystallization temperature.
erature lo
Note, for steel this temperature ranges from 450°C to 900°C, depending on severity of plastic
ation,
n, temperature
deformation, grain size prior to plastic deformation, tempe
temp
t e
at which plastic deformation occurs, time
for which the plastically deformed metal is heated
undissolved elements [28].
ated to a
u
attain recrystallization, and presence of dissolved or
b
6.3 Hot flow
rt u
s
Hot flow is plastic deformation that
at occurs at a temperature higher than the recrystallization temperature.
hat
hot flow.
emperat
mperature
See Figure 31. At extreme temperatures,ur
i
black ferrous oxide, wustite (FeO), forms, and is indicative of
d
6.4 Rolling
n may occ
Plastic deformation
ot
occur on the active flanks of gear teeth caused by high Hertzian stresses in
combination withh both
n
h the rolling and sliding action of the gear mesh. Displacement of surface material
The surface
Figure 32.
roove along
may form a groove
e material
o
alon the pitch line and burrs on the tips and in the roots of the driving gear teeth.
materia of the driven gear may be displaced toward the pitch line forming a ridge. See
D
6.5 Tooth hammer
Local, subsurface yielding may occur on gear teeth that are subjected to high contact stresses such as
those caused by “tooth hammer” (vibratory impact with intermittent tooth contact separation). The
subsurface plastic deformation causes shallow grooves (true brinelling, see 4.5.1) on the surfaces of the
active flanks of the gear teeth along lines of contact between mating teeth. See Figure 33.
6.6 Rippling
Rippling is periodic, wavelike undulations [10] of the surfaces of the active flanks of gear teeth. The
peaks or ridges of the undulations run perpendicular to the direction of sliding. The ridges are wavy along
the length of the tooth, creating a fish scale appearance. Rippling is caused by plastic deformation at the
surface or subsurface. It usually occurs under high Hertzian stress and boundary-lubricated conditions.
See Figures 34, 35 and 36.
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---

27
C
T G
P T
o f
Figure 31 - Hot flow
ow
t
ou
t e
bu
rt u
i s
t d
n o
o
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
D
Figure 32 - Plastic deformation by rolling

28
C
Figure 33 - Plastic deformation by tooth hammer
T G
P T
o f
u t
o
t e
b u
tr u
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
is
Figure 34 - Rippling
t d
n o
D o

29
C
T G
P T
g
o f
t
ou
6.7 Ridging
Ridging is the development of pronounced ridges and nd grooves
groove on the active flanks of gear teeth. It
orm
m or hypoid
frequently occurs on slow speed, heavily-loaded worm hypo gear teeth. See Figure 37.
6.8 Burr
t e
Burrs are rough, often sharp, extensions formed
re also
high friction, rolling, or scuffing. Burrs are also som
so u
rmed on the edges of components caused by heavy loading,
b
sometimes caused by the manufacturing process.
rt u
i s
t d
n o
D o
Figure 37 - Ridging
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---

30
A pronounced burr can be seen at the tip of the worm thread's working flank in Figure 38. This burr was
generated by plastic deformation due to the pressure and the sliding action along the active surface of the
flanks.
6.9 Root fillet yielding

Gear teeth may be permanently bent if the bending stress in the root fillets exceeds the yield strength of
the material.
The bending deflection at initial yielding is small and there is a margin of safety before gross yielding
causes significant gear tooth spacing error. If the teeth have sufficient ductility, initial yielding at the root
fillets redistributes the stress and lowers the stress concentration. Hence, root fillet yielding may only
result in rougher running and a higher noise level. However, if the yielding causes significant spacing
errors between loaded teeth that are permanently bent and unloaded teeth that are not, subsequent
rotation of the gears usually results in destructive interference between the pinion and gear ar teeth.
te
6.10 Tip-to-root interference

C
Plastic deformation, adhesion, abrasion and pitting may occur on the roots of one
errors in the profiles of the gear teeth, engagement below the form diameter,
ne gear and
tips of the mating gear teeth due to tip-to-root interference. The interference may be caus
an in the tooth
a
caused by geometric
r, inadequa
inadeq
inadequate tip or root relief,
T G
spacing errors, or insufficient center distance. See Figure 39.
As gear teeth approach one another near the start of engagement, the e corners
corne of o teeth on the driven gear
P T
contact on areas with damage from tip-to-root interference might
oads
are very close to the dedendum flanks of the driving teeth. High loads ds might
p-to-root
o-root interference.
mesh and close the gap between incoming teeth, resulting in tip-to-root in f
migh deflect the teeth already in
o Subsequent cyclic
ht lead tto Hertzian fatigue [11]. Note that
ure or
operating with tip-to-root interference can result in tooth failure
t
o catastrophic blank failure (typically
ou
through the rim).
6.11 Tight mesh

ng will appear
Typically when the mesh is running tight, scuffing app
ap
t e
on the load flank as well as the coast flank
on the mating gear.
b u
rt u
d is
ot
n
D o
Figure 38 - Burr
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---

31
C
T G
P T
o f
t
terference
rference
Figure 39 - Tip-to-root interference
7 Hertzian fatigue
ou
Repeated Hertzian stresses may cause surface
material fragments from the gear tooth surface.
t e
e or subsurface
subsur
su fatigue cracks and the detachment of
7.1 Macropitting
b u
rt u
Macropitting may occur when fatigue cracks cks initia
initiate either at the surface of the gear tooth or at a shallow
usu
depth below the surface [12]. The crack usually propagates for a short distance in a direction roughly
e turning
parallel to the tooth surface before urning or
o branching to the surface. When the cracks have grown long
i s
enough to separate a piece off the surface
surfac material, a macropit is formed. The edges of a macropit are
d
usually sharp and angular. Cracksacks may
ma be found near the boundary of the macropit and fatigue “beach
marks” (see clause 10) may ayy be evident
evid
evide on the crater bottom. See Figures 40 to 51.
Based on the nature and
ot
d sever
seve
severity of the damage, macropitting can be categorized as nonprogressive,
surface-orig
rface-or
progressive, point-surface-origin (PSO), or spall.
7.1.1 rogressive n
gressiv macropitting
Nonprogressive
D o
ssive macropitting
Nonprogressive mac normally consists of small macropits that occur in localized areas. They
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
alized areas and tend to redistribute the load by removing high asperities. When the load is
occur in localized
dis
more evenly distributed, the macropitting stops. See Figure 42.
NOTE: The sharp edges of nonprogressive macropitting may wear over time and become smooth due to wear.
Figure 40 - Cross section through a tooth flank showing how a pit develops below the surface

32
C
T G
P T
o f
t
ou
ed
d by Hertzian
Figure 41 - SEM image - pitting damage caused
t e
oundary
Hert
H
ndary o
boundary of pit
fatigue, showing fatigue cracks near
b u
rt u
i s
t d
n o
D o
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
Figure 42 - Nonprogressive macropitting

33
C
T G
P T
cropitting
ropitting
Figure 43 - Progressive macropitting
o f
t
ou
7.1.2 Progressive macropitting
Progressive macropitting normally consists of macropitspits that
hat grow
gro at an increasing rate until a significant
portion of the tooth surface has macropits of variouss shapes and
a sizes. See Figure 43.
7.1.3 Point-surface-origin macropitting

t e
The fatigue crack extends from an origin
onsists
sists of m
Point-surface-origin (PSO) macropitting consists
b
gin at the surface
s
u
macropits that are relatively shallow but large in area.
of the tooth in a fan-shaped manner until thin
rt u
flakes of material break out and form a triangula
triangular crater [11]. See Figures 44 through 50.
i s
t d
n o
D o
Figure 44 - Point-surface-origin macropitting

--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---

34
C
T G
P T
n macrop
Figure 45 - Point-surface-origin
o
macropit
f
macropitting
t
ou
t e
b u
tr u
i s
t d
n o
D o
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---

35
C
T G
P T
o f
t
ou
n carburized
Figure 47 - Point-surface-origin macropitting on arburiz helical gear at 1.5 × 107 cycles
carburiz
t e
bu
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
rt u
i s
t d
n o
D o
Figure 48 - Point-surface-origin macropitting on carburized helical gear at 3.0 × 107 cycles

36
C
T G
P T
burized
rized helical
Figure 49 - Point-surface-origin macropitting on carburized he
o f driven pinion
t
ou
t e
b u
tr u
i s
t d
n o
D o
7.1.4 Spall macropitting

--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
Spall macropitting is progressive macropitting that occurs when macropits coalesce and form irregular
craters that cover a significant area of the tooth surface. See Figure 51.
There is no endurance limit for Hertzian fatigue, and macropitting occurs even at low stresses if the gears
are operated long enough. Because there is no endurance limit, gear teeth must be designed for a
suitable, finite lifetime.

37
C
T G
P T
o
tting
g
Figure 51 - Spall macropitting f
7.1.4.1 Methods for reducing the risk of macropitting
t
ou
To prolong the macropitting life of a gearset, the designer gner
er must keep the Hertzian stress low, material
strength high, material relatively free of inclusions, and the he lubricant
lub
lu specific film thickness high. There
e
are several geometric variables such as diameter,, face ce width,
width number of teeth, pressure angle, and helix
angle that may be optimized to lower the Hertzian
to obtain hard tooth surfaces with high strength,
resistance is obtained with carburized gear ear
ian
gth, t
n stress.
stress Material alloys and heat treatment are selected
u
h, such as
ar teeth
a carburizing or nitriding. Maximum macropitting
teeth because they have hard surfaces, and carburizing
induces beneficial compressive residuall stresses
b
esses that
t effectively lower the shear stresses. High lubricant
rt u
sing smooth
specific film thickness is obtained by using smo tooth surfaces and an adequate supply of cool, clean
at has high viscosity and a high pressure-viscosity coefficient.
and dry (free of water) lubricant that
Macropitting might initiate at the
gear teeth, macropits are most
i s
e surface or
o at a subsurface defect, such as a nonmetallic inclusion. With
st often surface-initiated because the EHL film thickness is usually low,
at defects, such as nicks,

gh
resulting in a relatively high
cks,
s, furrows,
t d
h degree of metal-to-metal contact. Interaction between asperities and contact
furrow or dents creates surface-initiated, rather than subsurface initiated
pitting
cracks. PSO macropitting g is ofte
For high-speed gearss with smooth
s
oft
n o
often caused by geometric stress concentration (GSC) [11].
tooth surfaces, EHL film thickness is greater and subsurface initiated
her than surface-initiated macropitting, might predominate. In these cases, macropitting
macropitting, rather
ts at a s
usually starts sub
ose produced
such as those
of inclusions.
produ
D o
subsurface inclusion, which acts as a point of stress concentration. Cleaner steels
by vacuum remelting, increase macropitting life by reducing the size and number
Contamination from water in lubricant promotes macropitting, and solid particles in lubricant promote
macropitting by indenting tooth surfaces, causing stress concentrations and disrupting the lubricant film.
At present, the influence of lubricant additives on macropitting is unresolved.
7.1.4.2 Summary of methods to reduce the risk of macropitting

- Reduce Hertzian stresses by reducing loads or optimizing gear geometry;
- Use clean steel, properly heat treated to high surface hardness, preferably by carburizing;
- Use smooth tooth surfaces produced by careful grinding, honing, or polishing;
- Use an adequate amount of cool, clean and dry (free of water) lubricant of adequate viscosity;
- For surface hardened gearing, ensure adequate surface hardness and case depth after final
processing. Note that excessive surface hardness may lead to other problems, such as risk of
grinding cracks, see 8.2.1.
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---

38
7.2 Micropitting
Micropitting is Hertzian fatigue caused by cyclic Hertzian stresses and plastic flow on the asperity scale
[1, 13, 14, 15, 16, 17]. It results in ultra-small cracks at the surface and formation of micropits, resulting in
loss of material. Ultra small cracks are different from microcracks as defined in AGMA 923-B05. See
Figures 52 through 57.
C
T G
P T
o f
t
ou
t e
ng on mis
Figure 52 - Micropitting misaligned carburized gear
b u
rt u
i s
t d
n o
D o
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
Figure 53 - Micropitting on induction hardened spur gear with crowned teeth

39
C
T G
P T
o f
t
ou
rided
ed and g
Figure 54 - Micropitting on nitrided ground spur gear
t e
bu
rt u
i s
t d
n o
D o
Figure 55 - Detail of tooth surface showing micropitting

--`,,,,````,`,,``,,,,`,`-

40
C
T G
P T
itting
ng at 10
Figure 56 - Detail of tooth surface showing micropitting
o f
1000X magnification
t
ou
e
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
u t
u b
i s tr
t d
n o
D o
Figure 57 - Regularly distributed micropitting

Micropitting is influenced by:
- Operating conditions during run-in and service
x Load
x Speed
x Temperature

41
- Gear properties
x Macrogeometry (basic tooth dimensions)
x Microgeometry (tooth modifications)
x Surface topography (texture)
x Surface metallurgy
x Surface chemistry
- Properties of run-in and service lubricants
x Rheology
x Chemistry
x Cleanliness
In addition to Hertzian stress due to normal loading, sliding between gear teeth causes traction forces that
subject asperities to shear stresses. The first 104 to 106 cycles of stress occurring during
ng
g run-in are an
incubation period during which damage consists primarily of plastic deformation on
n at asperities.
Macroscopically, surfaces appear glazed or glossy.
C
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
achining marks
Microscopically, surface asperities appear plastically deformed and original-machining ma
m might be
ate plastic deformation on
partially or totally obliterated. Cyclic Hertzian and shear stresses accumulate
res
re
asperities and at shallow depths below asperities. Plastic flow produces tensile residual
T
stresses, and
G
with sufficient cycles, fatigue cracks initiate.
P
Period inspection of gear tooth
After incubation, micropits rapidly nucleate, grow, and coalesce. Periodic T
damage can be extreme after only 106 cycles.
adyy rate of
surfaces with a gear tooth inspection machine discloses a steady
f
o surface deterioration and
o
ed,, frosted
To the unaided eye, micropitted surfaces appear dull, etched,
t
frosted, matte, or stained with patches of
ou
gray.
The inclined crater floors reflect light preferentially. Therefore, use intense directional lighting to disclose
efore, u
micropitting. Try different lighting angles to emphasize e features.
size feature
Under magnification, the surface appears to be
e covered
cover ed by
overed
t e
b very fine pits that are typically less than 10 -
20 ȝm deep.
Metallurgical sections cut transversely through
b u
ough micropits
mi show fatigue cracks start at or near the gear
rt u
ypically 10
surface and grow at a shallow angle (typically 1 - 30°, but sometimes as steep as 45°) to the surface.
The cracks typically extend deeperr than
han the vvisible micropits and subsurface crack networks are usually
much more extensive than would d be implied
implie from surface features. A micropit forms when a branch crack
connects the subsurface main n crack w
i s
with the surface and separates a small piece of material. The
0 - 20 ȝm
resulting pit might be only 10
opitting
ȝm deep
ting cra
Like macropitting, micropitting
t
d
d and not resolved by the unaided eye.
cracks grow opposite to the direction of sliding at the gear tooth surface.
directions above and

tions
Because slide directions s reverse
reve
rever
d below the
cernible
e bec
line readily discernible be
n oas the pitch line is crossed, micropitting cracks grow in opposite
t pitch line. If micropitting grows across the pitch line, it makes the pitch
because the opposite inclinations of the floors of micropit craters scatter light in
re susceptible
All gears are
ctions abov
opposite directions
susce
th all
can occur with
o
above and below the pitch line. See Figure 55.
Dto micropitting including external, internal, spur, helical, and bevel. Micropitting
al heat treatments including through hardened, carburized, nitrided, flame hardened, and
a
induction hardened. See Figures 52 through 54. Micropitting might occur more frequently on surface
hardened gear teeth than on through hardened gear teeth because loads are usually higher on surface
hardened teeth. Ground teeth are especially vulnerable to micropitting. Experiments [1] have shown that
flame-hardened and induction-hardened gears have less resistance to micropitting than carburized gears
of the same hardness. This might be due to the lower carbon content of the surface layers of flame-
hardened and induction-hardened gears.
Gear teeth dedenda are vulnerable to micropitting, especially along the start of active profile (SAP) and
the lowest point of single tooth pair contact (LPSTC). However, micropitting can occur anywhere on the
active flanks of gear teeth [13].
There can be micropitting only on the pinion, only on the gear, or on both. Generally, the gear with the
roughest surface causes micropitting on the mating gear, especially if it is harder than the mating gear.

42
Micropitting might not cause catastrophic failure. It might occur only in patches and might arrest after the
tribological conditions improve after running-in. Mild polishing might remove micropits and smooth tooth
surfaces due to wear. However, arrest is unpredictable, and micropitting generally reduces gear tooth
accuracy, increases noise, and can escalate to full-scale macropitting or other failure modes such as
scuffing or bending fatigue [1,ௗ14, 15].
Lubricant specific film thickness is an important parameter that influences micropitting. Damage occurs
most readily on gear teeth meshing with teeth that have rough surfaces, especially when they are
lubricated with low-viscosity lubricants. Surface roughness is the most important parameter and it has a
stronger influence than EHL film thickness. Gear pairs finished with special grinding wheels [16] or other
processes to mirrorlike finish have effectively eliminated micropitting.
Slow-speed gears are prone to micropitting because their EHL film thickness is low. Therefore, to prevent
micropitting, maximize specific film thickness by using smooth gear tooth surfaces, high-viscosity
mm
lubricants, and if possible, high pitch line velocity. ANSI/AGMA 9005-E02 gives recommendations for
viscosity as a function of pitch line velocity.
ation,
on, contacts
Run-in is critical because it is the incubation period for micropitting. During incubation, C
conta between
cause of micropitting. In addition, adhesion and abrasion at asperities generate

asperities
asperitie the principle
asperities on opposing surfaces occur frequently, causing plastic deformation of asperities;
T G
te wear debris.
de
Using a series of increasing loads allows progressive reduction of roughness
adhesion and limited plastic deformation. This controlled run-in minimizes
ities.
ness through
nimizes
ies. M
limiting adhesion and abrasion to the iron oxide layer covering asperities.
pl
p
P T
throu the action of mild
imizes plastic deformation while
Mild adhesion consists of small
o f
roughness
ughness If adhesion remains mild,
junctions that generate wear particles smaller than the surface roughness.
deformation
rmatio and subsequent deformation
asperities are eventually flattened by adhesion and plastic deformation,
elastic deformation.
t
omplete, asperities carry the load solely by
remains elastic for that particular load. Then, when run-in is complete,
de layers,
If adhesion causes strong bonds that break through oxide
ugher rather
wear particles are generated, and surfaces become rougher ra ou
laye adhesion escalates to scuffing, large
than smoother.
t
lubric
e
bricant
ant chemistry,
The run-in properties are likely to depend on lubricant c temperature, and sliding velocity, so
u
experiments on actual gears are necessary to determ
determi
determine a good run-in lubricant. Experiments [17] have
DTP) antiwear
shown that zinc dialkyldithiophosphate (ZnDTP)
b
antiw additives can be detrimental to run-in.
rt u
ropitting
Water contamination promotes micropitting tting in gears and bearings, and significantly reduces the
nd
d fric
anticorrosion, EHL film formation, and friction
tion reducing
r properties of lubricants.
7.2.1
i s
s to reduce the risk of micropitting
Summary of methods
t
evable
able or a
measure might be achievable
ppropriate.
opriate
implemented when appropriate.
d
mariz methods for mitigating and preventing micropitting. Not every
The following guidelines summarize
applicable for a given application, but as many as possible should be
-
x Increase n o
cificc film thickness
Maximize specific
se oil film th
thi
th
thickness
D
o Run geao
o Use highes
high
highest practical oil viscosity;
gears at high speed if possible;
o Cool gear teeth;
o Review lubricant operating viscosity and change lubricants to achieve higher operating film
thickness. Consult both the gearing manufacturer and lubricant supplier before switching
lubricants.
x Reduce surface roughness
o Avoid shot-peened flanks unless the flank surface is finished after shot peening;
o Hone or polish gear teeth, or burnish by running gears against a hard, smooth master;
o Make the hardest gear as smooth as possible;
o Coat teeth with iron-manganese phosphate, copper, or silver to limit adhesion and scuffing
risk;
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
o Run-in with a special lubricant without ZnDTP antiwear additives;

o Pre-filter lubricant and use a fine filter ( 6 μm) during run-in;
o Keep oil cool during run-in;

43
Run-in gears using a series of increasing loads and appropriate speed;

o
Drain lubricant and flush gearbox after run-in, change the filter if there is one, and fill with the
o
service lubricant.
- Optimize gear geometry
x For parallel axis gears, use at least 20 teeth in the pinion to increase micropitting resistance;
x Use non-hunting gear ratio, especially for gears with low specific film thickness [29];
x Use helical gears with axial contact ratio mF 2.0; Use aspect ratio, also known as face width to
diameter ratio, ma 1.0 for spur and single-helical gears (see AGMA 901);
x Use aspect ratio, also known as face width to diameter ratio, ma 2.0 for double-helical gears;
x Minimize Hertzian stress by specifying high accuracy and optimizing center distance, face width,
pressure angle, and helix angle;
x Use profile shift to minimize specific sliding;
x Use proper profile and lead modification;
C
x Avoid tip-to-root interference.
x Maximize pinion hardness;
x Make pinion 2 HRC points harder than gear;
T G
-
x Use approximately 20% retained austenite.
Optimize lubricant properties
x Use oil with high micropitting resistance as determined by tests ts on actual
sts actu gears;
a
P T
x Use oil with low traction coefficient;
x Use oil with high pressure-viscosity coefficient;
o f
x Avoid oils with aggressive antiscuff additives;
t
ou
x Avoid oils with viscosity index improvers;
x Keep oil cool;
x Keep oil clean of solid contaminants;
x Keep oil free of water.
t e
7.3 Subsurface initiated failures
b u
rt u
Table 2 shows failure modes that have subsurface
ubsurfac origins.
7.3.1 Inclusion origin failures

Nonmetallic inclusions are often
enn the root
i s
roo cause of cracks that result in failure modes such as the ones
shown in Table 2. Harmful effects
quantity of the inclusions,
inclusions. With case hardened
d
ects of nonmetallic inclusions depend on the chemistry, size, location, and
strength of the steel and residual stresses immediately adjacent to the
s, tensile st
t
ardene gears, many failures initiate at inclusions below the case/core boundary,
where residual stresses
such as calcium
especially damaging,
es from case hardening are tensile (see 10.2.6). Hard, nondeformable inclusions
sses
m aluminates,
ging, whereas
maging, n o
uminate single-phase alumina, spinels, titanium nitride, and some silicates are
aluminate
wh
w manganese sulfide inclusions are regarded as being the least potent
stress concentrators.
7.3.2
entrators. S
entrators
gins of
Origins
D o
See [18].
o nonmetallic inclusions
Steel is refined in several stages during manufacture. Calcium or magnesium oxide slags are used during
the initial melting process to remove oxidized impurities from the molten metal. Subsequently, in the
ladle, aluminum, silicon, and calcium are injected into the molten steel to promote further deoxidation and
desulfurization.
Table 2 - Failure modes that have subsurface origins

Failure mode Clause
Subcase fatigue 7.4
Case/core separation 8.4
Subsurface initiated bending fatigue cracks 10.2.6
Tooth interior fatigue fracture, TIFF 10.2.7
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---

44
Indigenous nonmetallic inclusions result from the deoxidation that occurs during steelmaking. Most
inclusions originate in the melt at high temperatures, some form during solidification, and some to a lesser
extent after solidification. Aluminum and silicon form inclusions of aluminum oxide, Al2O3 and silicon
dioxide, SiO2. Most of the oxides float off the melt into the slag. Argon gas stirring or inductive stirring
are used to encourage the inclusions to float out of the melt. Typical concentrations of aluminum in the
solidified steel are in the range of 0.02%-0.04% by weight. Manganese desulfurizes steel by forming
manganese sulfide, MnS. Calcium has a strong affinity for sulfur and is added to the melt to affect the
composition, size, and distribution of sulfide inclusions. The inclusions that do not separate from the melt
into the slag remain in the material and can affect the performance of the material in service depending
on their type, size, shape, quantity, location, residual stresses immediately adjacent to the inclusions, and
the stresses imposed on the final part.
Exogenous nonmetallic inclusions arise from slag entrapment, contamination from fragments of refractory
material that separate from furnace linings, ladles, runners, risers, and ingots that the molten steel comes
in contact with, and also from oxidation by the air when molten steel is poured without isolation
sola from the
environment.
C
7.4 Subcase fatigue
Subcase fatigue may occur in surface hardened gears (for example, carburized,
T G
arburized, nitrided, induction
arburized
hardened, and flame hardened). The origin of the fatigue crack is below the surface
the transition zone between the case and core where cyclic shear stresses
ank
ses
es exceed
nk before
Typically, the crack runs parallel to the surface of the gear tooth flank
T
surfac of the gear teeth in
excee shear fatigue strength.
P
befo branching to the surface.
The branched cracks may appear at the surface as fine longitudinal
surface cracks join together, long shards of the tooth surface may f
inal cracks on only a few teeth. If the
o
ay break
bre
brea away. Resulting craters are
t
cular
ular edges.
longitudinal with a relatively flat bottom and sharp, perpendicular edge Fatigue beach marks may be
evident on the crater bottom formed by propagation of the main n crack.
crac See Figure 58.
crack
ou
Subcase fatigue is influenced by Hertzian stresses, residualsidual stresses and material fatigue strength. The
ual stres
stre
subsurface distribution of residual stresses and fatiguetigue strength
stren
stre depends on the case hardness, case
when designing case depth to ensure finished

t e
depth and core hardness [19]. The maximum grind ind stoc that
nd stock
ed case depth
de
th will be removed should be accounted for
is adequate. To prevent subcase fatigue,
steels must have adequate hardenability to
b u o obtain
important to use clean steel because inclusions
btain optimum
op case and core properties. It is especially
clusions may initiate fatigue cracks if they occur near the
esidual
ual stress.
case/core interface in areas of tensile residual str
stre
rt u
i s
t d
n o
D o
Figure 58 - Subcase fatigue

--`,,,,````,`,,``,,,,`,`-`-``,

45
Overheating gear teeth during operation or manufacturing, such as surface temper from grinding, may
lower case hardness, alter residual stresses, and reduce resistance to subcase fatigue. See 8.2.2 for
discussion of surface temper from grinding.
References [19] through [24] give methods for analyzing the risk of subcase fatigue.
7.4.1 Summary of methods to reduce the risk of subcase fatigue

- Reduce Hertzian stresses by reducing loads or optimizing gear geometry;
- Use clean steel with adequate hardenability to obtain acceptable case and core properties;
- Achieve acceptable values of case hardness, case depth and core hardness to maximize resistance
to subcase fatigue;
- Avoid overheating gear teeth during operation or manufacturing;
- Use analytical methods to ensure that subsurface stresses do not exceed subsurface fatigue
strengths.
C
8 Cracking and other surface damage
Aside from cracks in the gear tooth root fillets caused by bending fatigue, cracks
cks may
ma occur
oc
T G
elsewhere on
T
the gear due to mechanical stress, thermal stress, material flaws (for example,
example
exam e, see Figure 59), or
improper processing.
8.1 Hardening cracks

f P
hing..
Cracking in heat treatment usually occurs during or after quenching.
Hardening cracks are generally intergranular with the crack running
t o
nning fro
from the surface toward the center of
ou
or to tempering,
mass in a relatively straight line. If the cracking occurs prior te the fracture surfaces will be
discolored by oxidation when the gear is exposed to o the
e furnace
furna atmosphere during tempering. See
Figure 60.
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
t e
b u
rt u
i s
t d
n o
D o
Figure 59 - Crack at a forging defect

46
C
T G
P T
acks
Figure 60 - Hardening cracks
o f
Cracking in heat treatment occurs because of excessive localized
t
calized stresses.
s These may be caused by
ou
nonuniform heating or cooling, or by volume changes due phase transformation. Stress risers will
ue to ph
p
make the part more susceptible to cracking.
Crack formation may be related to some of the
overheated steels.
sam factors that cause intergranular fracture in
he same
t e
Cracks resulting from stress induced by heat
a period of time or in operation.
eat
u
treatment
at treatme
treatm
b
e usually appear immediately, but may appear after
8.1.1 Thermal stresses

rt u
i s
Thermal stresses are caused by tempera
temperature differences between the interior and exterior of the gear,
and increase with the rate off temperatu
temperature
emperat change. Cracking can occur either during heating or cooling.
The cooling rate is influenced
t
and temperature of the quenchan d
nced by the geometry of the gear, the agitation of the quench, quench medium,
quenchant.
uenchan The temperature gradient is higher and the risk of cracking greater
8.1.2
n o
with thicker sections, asymmetric
ymmetr gear blanks and variable thickness rims and webs.
asymmetr
Stress concentration
concentrat
entra
Features such
ch as sharp
uch
abrupt changes
cracking.
D o sha corners, the number, location and size of holes, deep keyways, splines, and
sh
nges in section
s thickness within a part cause stress concentrations, which increase the risk of
Surface and subsurface defects such as nonmetallic inclusions, forging defects such as hydrogen flakes,
internal ruptures, seams, laps, and tears at the flash line increase the risk of cracking.
8.1.3 Quench severity

Quenching conditions and severity should be designed considering size and geometry of the gear,
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
required metallurgical properties, and hardenability of the steel.

Quench severity and the risk of cracking are greater with vigorously agitated, caustic, or brine quenchants
and much less with quiescent, slow-oil or polymer quenchants. Therefore, quenching should be only as
severe as required.
Hardening cracks may occur after quenching if the gear is allowed to stand without proper tempering
since hydrogen may diffuse to an inclusion where it can initiate a crack.

47
8.1.4 Phase transformation

Transformation of austenite into martensite is always accompanied by expansion, and may result in
cracking. See [24].
8.1.5 Steel grades

In general, the carbon content of steel should not exceed the required level; otherwise, the risk of
cracking will increase. The suggested average maximum carbon content for fast quenches such as
water, brine, and caustic quenching are given below:
Induction hardening:
Complex shapes 0.40%
Simple shapes 0.60%
Furnace hardening:
Complex shapes 0.35%
Simple shapes 0.40%
C
8.1.6
Very simple shapes (such as bars)
Part defects
0.50%
T G
Surface defect or weakness in the material may also promote cracking, for example,
or nonmetallic stringers in both hot-rolled and cold-finished bars. Other
er problems
probl
P T
ex mp deep surface seams
example
are inclusions and steel
stamp impressions. Forging defects in small forgings, such as seams,
as well as in heavy forgings such as hydrogen flakes and internal
some casting defects such as porosity, may promote cracking.
al ruptures,
f
s, laps, flash
ams, f line or shearing cracks
upture aggravate cracking. Similarly,
o
t
ou
8.1.7 Heat treating practice
Through hardening alloy steels should be normalized ed prior
ior to hardening or any other high-temperature
treatment, such as forging or welding, to produce grain-refined microstructure and relieve stresses.
uce grain-re
Carburizing alloy steels should be normalized orr normalized
Improper heat treating practices, such as
ormaliz quenched and tempered prior to carburizing.
normalize
t e
nonuniform heating or cooling, contribute to cracking.
s nonunifor
Hardening can cause cracking if the steel iss not properly
u
prope processed.
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
rt u
8.1.8 Tempering practice
As-quenched martensite is brittle e and high tensile residual stresses are produced by the volumetric
expansion associated with the transformation
kept at a temperature between
transforma
transforma
en room te s
of austenite to martensite. Therefore, the longer steel is
i
temperature (20°C) and 100°C after quenching, the more likely the
occurrence of quench cracking.
cking..
Although the parts should
ould
t d
tempered as soon as possible to avoid quench cracking, care must be taken
d be tem
te
to ensure that sufficient
tempering practices
ces can lead
n o
ent time is permitted for large parts to fully transform through to the center. Two
cient
lea to cracking problems:
-
-
If the parts
the core
ts are tem
rts
e can induce
Superficial
o
tempered too soon, before full transformation has taken place, later transformation of
temp
indu sufficient stress due to the volumetric expansion to crack the surface;
ial or
D
o “snap tempering” of the surface may not reduce the internal stresses sufficiently to
prevent cracking.
ra This problem is particularly severe if rapid heating methods such as induction,
flame, or molten salt baths are used, which can induce additional thermal stresses between the
surface and the core.
8.1.9 Summary of methods to reduce the risk of hardening cracks

- Optimize geometry:
x Design the gear blanks to be as symmetric as possible and keep section thickness uniform;
x Minimize stress risers such as abrupt change in cross section, holes, keyways, sharp corners,
and steel stamp marks. Use chamfers or radii on all edges, especially at the ends of the teeth
and at the edges of the gear tooth toplands;

48
- Optimize metallurgy:
x Select steel type carefully;
x Minimize surface and subsurface flaws such as nonmetallic inclusions, forging flaws such as
hydrogen flakes, internal ruptures, seams, laps, and tears at the flash line;
x Design the quenching method, including the agitation, type of quenchant and temperature of the
quenchant, for the specific gear and hardenability of the steel;
x Temper the gear immediately after transformation to martensite has finished;
x Limit carbon content to that shown in 8.1.5 for alloys intended to be quenched by water, caustic,
and brine quenchants.
8.2 Grinding damage
8.2.1 Grinding cracks

racks are usually
Cracks may develop on the tooth surfaces of gears that are finished by grinding. The cracks
d, mesh pattern.
shallow and may appear as a single crack, a series of parallel cracks, or in a crazed, pa
p
cracks may appear immediately after grinding, during subsequent handling or storage, or after time in
The
C
service. Magnetic particle or dye penetrant inspection can be used to detect
Figure 61.
ect grinding
grindin cracks. See
T G
8.2.2 Overheating due to grinding
Localized overheating may result from grinding. This overheating can
an result
resu in over tempering or phase
P T
as occurred
transformation. Areas of the tooth surface where overheating has occurre
occu
red areas
temper etch inspection, see ISO 14104. After etching, tempered reas appear
a
o f
can be detected by surface
brown or black on a light
artensite
brown or gray background. Areas where untempered martensite ensite has
h
t
formed appear as white areas
ou
surrounded by black, tempered areas.
NOTE: Barkhausen inspection (measurement of sudden dden transit
transitions of magnetism of the tooth surface) is
ding
ng.. If che
sometimes also used to detect overheating from grinding. chemically enhanced surface improvement is used,
in some cases overheating may also be detected.
t e
u
Cracks may be caused by the grinding technique
ique
ue if the grinding cut is too deep, grinding feed is too high,
incorrect grinding speed, grinding wheel grit
rit or hard
har
hardness is incorrect, or flow of coolant is insufficient.
rmation
tion of
Grinding cracks may result from transformation
b
o retained
r austenite to martensite in response to the heat
rt u
generated by grinding. Grinding cracks cks may also be possible from the transformation of retained
austenite to martensite caused by the
e pressu
pressur
pressures of grinding. See [18].
i s
t d
n o
o
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
Figure 61 - Grinding cracks with a crazed pattern

49
Steels with hardenability provided by carbide-forming elements such as chromium are prone to grinding
cracks. This is especially true for carburized gears with a case that has high carbon content, particularly if
there are carbide networks. Surface hardness above 60 HRC increases the risk of cracking. To avoid
cracking during grinding, the case microstructure should consist primarily of tempered martensite with
evenly distributed retained austenite [18] and be free of carbide networks. Recommendations for retained
austenite limits vary depending on application. For bending fatigue resistance, a maximum of 20% is
recommended. For Hertzian fatigue resistance, higher levels may be necessary.
8.2.3 Summary of methods to reduce the risk of grinding cracks

- Control grinding technique to avoid local overheating;
- For carburized gears, control carbon content and ensure that case microstructure consists primarily of
tempered martensite with a controlled amount of evenly distributed retained austenite and is free of
carbide networks;
- For carburized gears, limit surface hardness to 60 HRC maximum. Depending on grindingrindin
indi technique,
-
higher values of hardness may be acceptable;
Use surface temper etch inspection to detect surface temper on ground surfaces C
ess , see ISO 14104;
- ect grinding
Use magnetic particle or dye penetrant inspection of ground surfaces to detect grindin cracks.
G
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
8.3 Rim and web cracks
sst
If the gear rim is thin, it may be subjected to significant alternating rim bending stresses T T
that are additive
to the gear tooth bending stresses. These stresses may result in fatigue gue
ue cracks
crac in the rim.
f P
o
Rim cracks are similar to tooth bending fatigue cracks, except thatt rim cra
ccracks usually propagate radially
pagate
through the gear rim, whereas bending fatigue cracks propagategate across
acro
ac the base of the teeth. Rim
cracks may grow into the web of the gear.
t
ou
ibrating
ating loads
Web cracks may be caused by cyclic stresses due to vibrating loa near a natural frequency of the gear
e gear
blank. A fatigue crack may originate in the web of the ar and
an may grow into the rim of the gear.
concentr
concen
t e
Rim and web cracks generally originate at stresss concentrations. These concentrations may arise from
otches in the root fillets, keyways, splines, holes, shrink
one or more of the following: sharp corners or notches
de:
Other causes of rim or web cracks include:
llurgical
lurgical defects
fits, web-to-rim or hub-to-web fillets or metallurgical de
b u such as inclusions.
-
-
tip to root interference, operation
rt u
n in tight mesh;
m
aterials in fabricated
use of lower strength web materials f blanks;
- ures,
incorrect welding procedures,
i s
es, particularly
partic
particu inadequate stress relieving;
- ificant
gear blanks with significant nt changes
cha
ss that overloads
redistribution of stress ove
t d in section thickness that lead to changes in stiffness and a
the adjacent thin (weaker) section;
- impact loading.
Rim or web crackscks may ca
propaga
propag n o
cause catastrophic failure in high speed gears if centrifugal forces cause the
fatigue cracks to propagate in a brittle fracture mode, opening the rim. See Figures 62, 63 and 64.
article or dye
Magnetic particle
o
d penetrant inspection should be used to ensure that the gear tooth fillets, gear rim
D
eb are ffree of flaws.
and gear web
8.3.1 Summary of methods to reduce the risk of rim or web cracks

- Use adequate rim thickness;
- Design the gear blank such that its natural frequencies do not coincide with the excitation
frequencies;
- Pay attention to details that cause stress concentrations such as keyways, splines, holes and web-to-
rim fillets;
- Use magnetic particle or dye penetrant inspection to ensure that the gear tooth fillets, gear rim and
gear web are free of flaws;
- Control manufacturing to avoid notches in the root fillets;
- Control operating center distance, tooth clearance, and avoid tip-to-root interference.

50
C
T G
P T
ck
Figure 62 - Rim crack
o f
t
ou
t e
b u
rt u
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
i s
t d
n o
D o
Figure 63 - Rim cracks in through hardened annulus gear

51
C
T G
P T
o
Figure 64 - Fracture surface of rim crack shown f
own in
i Figure 63
8.4 Case/core separation

t
ou
Case/core separation may occur in case hardened gear ar teeth when internal cracks occur near the
case/core interface near tips of teeth. The internall cracks
cks m
may propagate causing corners, edges, or
entire tips of the teeth to separate. The cracks may ay appear
appe immediately after heat treatment, during
t e
ervice. See
subsequent handling or storage, or after time in service. S Figures 65 and 66.
b u
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
rt u
i s
t d
n o
D o
Figure 65 - Case/core separation

52
C
T G
Figure 66 - Case/core separation
sile
Case/core separation is believed to be caused by high residual tensile
P T
e stresses
stresse
stress at the case/core interface
and tips of teeth might separate explosively. If conditions are

o
re less f
tility is
when a case is very deep. If residual tensile stress is high and ductility i low,
ss severe,
sev
lo brittle fracture might occur
cracks might arrest before
t
reaching the tooth surfaces. Hydrogen might accumulate at internal flaws and cause brittle fracture or
ou
stresses in service might cause cracks to grow by fatigue.
Because cracks follow the case/core interface, tips ps off teeth have concave fracture surfaces, and
faces. Chevron
remaining portions of teeth have convex fracture surfaces. C marks may be apparent on fracture
rkss are
surfaces if the fracture was brittle. These marks
t eare helpful
nd on fracture
Beach marks or fretting corrosion may be found fract
he
h because they point to the failure origin.
surfaces if cracks grew by fatigue. Inclusions
When case/core separation is suspectedcted

hen
en they occur
promote case/core separation especially when
b u
d as the
o
oc near the case/core interface.
th cause of failure, intact teeth should be sectioned to
acks
cks near the
determine if there are subsurface cracks
rt u
h at the tip can
On carburized gears, case depth
th tips of the teeth.
c be controlled by:
- s;
avoiding narrow toplands;
i s
- masking the toplands
d
ds with copper
co plate or stop off paint to restrict carbon penetration during
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
-
carburizing;
zed
remove carburized
ot
d toplands
topland by machining after carburizing but before quenching to harden.
n
ture resistance
Steels with high fracture rre have less risk of case/core separation. Material toughness depends
D o
compositio
mpositio heat treatment, and mechanical processing. Many alloying elements increase
on elemental composition,
ty of stee
hardenability steel, but decrease toughness. Exceptions are nickel and molybdenum, which increase
hardenabilityy while
whi improving toughness. Diesburg and Smith [25] tested impact fracture resistance of
eels and found the following:
eel
carburized steels
- High-hardenability steels have greater fracture toughness than low-hardenability steels;
- High nickel content does not guarantee good fracture resistance, but nickel and molybdenum in the
right combination give high fracture resistance;
- High chromium and high manganese content give low fracture resistance.
The best toughness properties are obtained with 3%NiCrMo steels with core hardness in the range of
30-40 HRC [18]. Toughness can be maximized by using vacuum-melted steel and keeping carbon,
phosphorus, and sulfur content as low as possible.
Most material properties are improved when grain size is uniform and fine. This is especially true for
toughness; fine-grained steel has increased toughness and lower transition temperature. Steel-making
practice, alloying elements, mechanical treatment, and heat treatment influence grain size. Steels

53
containing nickel and molybdenum resist grain coarsening during austenitizing better than plain carbon
steels. Aluminum, vanadium, or niobium are added to the steel melt to produce fine grain size.
Shot peened flanks increase risk of case/core separation because in addition to increasing compressive
residual stresses at surfaces of teeth, shot peening increases tensile residual stresses near the case/core
interface.
For carburized gearing, cold treatment can be used to reduce retained austenite. However, it increases
risk of case/core separation by decreasing toughness and fatigue strength. Cold treatment may also
increase the risk of microcracks within martensite platelets or needles, see AGMA 923.
To minimize risk of case/core separation, gears should be tempered immediately after quenching and
also after any cold treatment. Generous chamfers or radii on edges of gear teeth help avoid stress
concentrations.
8.4.1 Summary of methods to reduce the risk of case/core separation

- Control case depth especially at tips of gear teeth. On carburized gears, avoid narrow to
mask toplands of teeth to restrict carbon penetration or remove excessive case se
toplands and
e depth from
fro toplands
C
-
by machining after carburizing and before hardening;
Use steels with high nickel content. Nickel and molybdenum in the right
toughness of carburized gears. Do not use steels with high chromium mium
ght combination
combin
um and manganese
m
T
maximizes G
content.
-
Keep carbon, phosphorus, and sulfur content as low as possible;
Use vacuum-melted steel;
P T
-
-
Use fine-grained steel. Nickel and molybdenum steels resist grain
Specify core hardness of 30-40 HRC;
n coarsening
coarse
coars
o f during austenitizing;
- Do not shot peen flanks;

t
ou
- Do not cold treat;
- Temper gears immediately after quenching and also so after any
an cold treatment;
- Use generous chamfers or radii on edges of gear ar teeth to avoid stress concentrations.
8.5 Fatigue cracks

t e
he materia
that are below the tensile strength of the
u
Fatigue cracks are cracks that propagate under the influence of repeated alternating or cyclic stresses
b
material. These cracks can appear in tooth flanks and in tooth
rt u
e fracture, see clause 10.
root fillets. See Figure 67. For fatigue
i s
t d
n o
D o
Figure 67 - Bending fatigue crack

--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---

54
9 Fracture
When a gear tooth is overloaded because it is under-designed or the local load is too high, it may fail by
plastically deforming or fracturing. If it fractures, the failure may be a ductile fracture preceded by
appreciable plastic deformation, a brittle fracture with little prior plastic deformation, or a mixed-mode
fracture exhibiting both ductile and brittle characteristics.
Fatigue failures usually culminate in a fracture when the fatigue cracks grow to a size where the
remaining tooth section can no longer support the load. In this sense the remaining material is
overloaded; however, the fracture is a secondary failure mode that is caused by the primary mode of
fatigue cracking.
Gear tooth fractures without prior fatigue cracking are infrequent, but may result from shock loads. The
shock loads may be generated by the driving or driven equipment. They may also occur when foreign
eth or operate
objects enter the gear mesh, or when the gear teeth are suddenly misaligned and jam together
in tight mesh after a bearing or shaft fails.
pic and microscopic
Fractures are classified as brittle or ductile depending on their macroscopic m
C
characteristics, as listed in Table 3.
9.1 Brittle fracture

T G
Brittle fractures are characterized by rapid crack propagation without
deformation. Brittle fractures have a bright, granular appearance. The
thout
hout appreciable
he frac
ap
appr gross plastic
fracture surface is generally flat
P T
and perpendicular to the direction of the maximum tensile stress. Radialdial ridge
e crack.
be present on the fracture surface pointing toward the origin of the
ridg
f
ridges or a chevron pattern may
o
On a microscopic level, brittle fracture typically consists of transgranular
facets. See Figures 68, 69 and 70.
ransgranula
t
nsgranula cleavage facets or intergranular
- Material toughness;
th to brittle
Three primary factors control the susceptibility of gear teeth br
bri
ou
fracture:
- Material flaws;
t e
- Operating or residual tensile stress level.
b u
Brittle fracture occurs when combinationss of tensile stress and flaw size create a critical stress intensity
rt u
for a particular material toughness. Partt shape, machining marks, and material flaws may lead to stress
br
concentration, which usually plays a role in brittle fracture. The critical stress intensity is a function of the
material toughness.
i s
d
Table
Tab 3 - Fracture classifications
Characteristic
fracturee surface
ure surfac
surfa
ot
istic of
teristic Brittle fracture Ductile fracture
light reflection
ction
on
n bright
shiny
gray (dark)
dull
texture
ure
D o crystalline
grainy
rough
silky
matte
smooth
coarse fine
granular fibrous (stringy)
orientation flat slant or flat
square angular or square
pattern radial ridges shear lips
chevrons
plastic deformation (necking or negligible appreciable
distortion
microscopic features cleavage (facets) shear (dimples)
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---

55
C
T G
T
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
f P
t o
ou
ttle fractur
Figure 68 - Brittle fracture
t e
bu
rt u
i s
t d
n o
D o
Figure 69 - SEM image of transgranular brittle fracture

56
C
T G
P T
ular
ar brittle fracture
Figure 70 - SEM image of intergranular
o f
The toughness of a gear material depends on many factors ctors
t
especially temperature, loading rate and
rs espec
esp
ou
constraint (state of plane stress or plane strain) at the location
cation ofo flaws. Many steels have a transition
temperature where the fracture mode changes from ductile-to-brittle
m ductile-to
ctile-to as temperature decreases. The
transition temperature is influenced by the loading rate te and coconstraint. The ductile-to-brittle transition can
be detected with the Charpy V-notch impact test.
steels do not exhibit a transition temperature
st. Some h
ure behavio
t e
high strength, alloyed, quenched and tempered
behavior. For low temperature service, the transition
temperature is of primary importance, and
ature.
temperatures below the service temperature. e. Typi u
nd gear materials should be chosen that have transition
b
Typically, alloy steels with a core hardness above 40 HRC
rt u
have limited fracture toughness. The he complia
compliance of shafts and couplings in a drive system helps to
cushion shock loads and reduce the e loading rate during impact. Gear drives with close-coupled shafts
s
compliance If drive systems with low compliance must be used in
complianc
and rigid couplings have less compliance.
applications where overloads are re expected,
vels. Oth
with reasonable stress levels.
expec
expe
Othe
d i
the gears should be large enough to absorb the overloads
Otherwise, gears should be isolated from shock loads by using load-
dropped.
ying
limiting couplings employingng slip clutches
ations
ons such
used in critical applications su
cl
tor shear devices. However, load-limiting couplings cannot be
suc as hoists where slip or shear devices could result in the load being
o
Flaws or notches s create
ate sst
n
stress concentrations that elevate the stress locally ahead of the notch. Adjacent
notch in the
ower stress,
material, at lower
he mat
ductility of the ma
st
dist o
stres constrains and limits plastic deformation. For wide-face gears with a flaw or
e root dis
distant from the end face, triaxial tensile stresses can develop at that point and reduce
D
material by decreasing shear stresses.
The toughness of a material depends on its elemental composition, heat treatment and mechanical
processing. Many alloying elements that increase the hardenability of steel also decrease its toughness.
Exceptions are nickel and molybdenum that increase hardenability while improving toughness. Tests on
the impact fracture toughness of carburized steel have found the following, see [25]:
- High-hardenability steels have greater impact fracture toughness than low-hardenability steels;
- High nickel content, above 3%, does not guarantee good impact fracture toughness, but nickel and
molybdenum in the right combination results in high impact fracture resistance;
- High chromium and high manganese contents tend to give low impact fracture toughness.
Toughness can be optimized by keeping the carbon, phosphorus and sulfur content as low as possible.
The microstructure of steel depends on initial microstructure, hardenability, and heat treatment.
Tempered martensite gives the highest toughness. Microstructures consisting of ferrite, pearlite, or
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---

57
bainite have lower fracture toughness. For maximum toughness, steel should have sufficient
hardenability so that its heat-treated microstructure consists primarily of tempered martensite. Avoid
embrittlement by selecting steel in which the desired hardness is achieved without tempering in the range
of 250°C - 400°C.
Most material properties are improved when grain size is uniform and fine. This is especially true for
toughness; fine-grained steel has increased toughness and a lower transition temperature. Steel-making
practice, alloying elements, mechanical treatment, and heat treatment influence grain size. Steels
containing nickel and molybdenum resist grain coarsening during austenitizing better than plain carbon
steels. Aluminum, vanadium, or niobium is alloyed with steel to produce fine grain size.
Fracture initiates at flaws that cause stress concentrations. The flaw may be a notch, crack, surface tear,
surface or subsurface inclusion, or porosity. The flaw size may be small initially, but it may initiate a
fatigue crack that can grow until a critical size is reached, at which point the crack may extend in a brittle
fracture. The critical flaw size is not constant, but depends on the geometry of the part, par shape and
orientation of the flaw, applied stress, and the fracture toughness of the material rial
al at the service
temperature and loading rate.
C
bending stresses are highest. Clean materials increase fracture resistance.
locat
T G
locatio where tooth
The root fillets of gear teeth are especially vulnerable to fracture because this is the location
The gear tooth geometry should be selected to reduce the tensile bending
the gears are to be finished by shaving or grinding, protuberance tools ols

ls should
P T
ng stress in the root fillets. The
gear teeth may be cut with full-fillet tools to obtain large root fillets with minimum sstress concentrations. If
hou be used to reduce the risk
of notching the root fillets. Case hardening by carburizing or nitriding
hardening processes may induce compressive residual stresses
o f
triding
ing can be beneficial because these
sses that reduce
r the net tensile bending
stresses. Also, controlled shot peening can be used to increase ase
t
e compressive
compre residual stresses.
ou
9.1.1 ure
Methods for reducing the risk of brittle fracture
- Optimize design
x Reduce tensile bending stresses by improving
t eoving
ving gear
ge tooth geometry;
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
x Reduce loading rates by using compliant ant shafts and

a couplings;
b u
x Protect gears from impact loads by using load loa limiting couplings;
rt u
nliness;
x Use materials with high cleanliness; ess
x Use materials and heat treatments atments that give high toughness, such as steel with sufficient
using steel in which the

i s
microstru
hardenability to obtain a microstructure
he desired
desire
desir
of primarily tempered martensite. Avoid embrittlement by
hardness will be achieved without tempering in the range of
250°C to 400°C;
x Do not use steels
t d
els at servic
service temperatures below their transition temperature;
combination
content.
n o
x Use steels with high n
on gives m
nickel content. For carburized gears, nickel and molybdenum in the right
maximum toughness. Do not use steels with high chromium and manganese
t. Keep the carbon, phosphorus and sulfur content as low as possible;
x Avoid
x Use
D o
d core hardness
h
hard
e fine grained
gra
above 40 HRC;
steel;
mize flaws, especially in the root fillets of gear teeth. Use magnetic particle or dye penetrant
x Minimize
inspection to detect flaws;
x Use case hardening, or shot peening, or both to increase compressive residual stresses.
9.2 Ductile fracture

Ductile fractures are characterized by tearing of metal accompanied by gross plastic deformation. Ductile
fractures have a gray, fibrous appearance. The fracture surface may have a flat or slant orientation to the
direction of the maximum tensile stress. The fracture surface may terminate with a shear lip that extends
along the nonworking side of the gear tooth.
Microscopically, ductile fractures are characterized by numerous dimples that are formed by the
nucleation and growth of microvoids. See Figure 71.

58
C
T G
P T
o f
tile fracture
Figure 71 - SEM image of ductile ractur
Gear tooth failures that occur solely by ductile fracture aree relatively
t
elative infrequent because most fractures
ou
occur at a pre-existing flaw which tends to promote brittlee behavior.
behavior If the following factors are present, a
fracture is more likely to be ductile rather than brittle:
e
- high material toughness;
-
-
high gear tooth temperature;
slow loading rate;
u t
- no significant material flaws;
b
rt u
- ess;
low operating or residual tensile stress;
- high shear stress.
i s
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
Under these conditions gearr teeth
eeth yield
yie
yiel when the bending stresses exceed the yield strength of the
material, and subsequently shear
9.3 Mixed mode fracture

acture
ure
t d
with significant plastic deformation before ductile fracture.
ear off w
A local area of a fracture

n o
racture ssurface may exhibit both ductile and brittle characteristics. Under these
conditions, the fracture
re is termed mixed mode. This is not to be confused with a fracture surface having
causing a ductile frac
9.4
su
o
features that suggest successive crack propagation by different mechanisms, for example a fatigue crack
fracture. See Figure 72.
Tooth sh
shear D
When teeth are sheared from gears, the appearance of the sheared surfaces is similar to that of
machined surfaces. Tooth shear is almost always caused by a single severe overload, see Figure 73.
9.5 Fracture after plastic deformation

These fractures begin with gross plastic deformations of the teeth before final breakage. See Figure 74.
Usually, all the teeth suffer damage that occurs because the material is unable to support the applied
load:
- when the stress due to load exceeds the material strength (cold flow followed by fracture);
- when the gear material is weakened by overheating during operation (hot flow followed by fracture).

59
C
T G
P T
o
acture
Figure 72 - Mixed mode fracture
f
t
ou
e
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
u t
b
rt u
i s
t d
n o
D o
Figure 73 - Tooth shear

60
C
T G
P T
Figure 74 - Fracture after plastic
o f
c deformation
deform
deforma
t
10 Bending fatigue
Fatigue is a progressive failure consisting of three distinct
tinct stages:
stag ou
- Stage 1, Crack initiation (plastic deformation
t e
on occurs at stress concentrations leading to microscopic
-
cracks);
Stage 2, Crack propagation (cracks grow
b u
w perpendicular
perpen
perpe to maximum tensile stress);
rt u
- rows
Stage 3, Fracture (when a crack growsws large enough, it causes sudden fracture).
Most of the fatigue life is occupiedd by stages 1 and 2 until the cracks grow to critical size where sudden
fracture occurs in stage 3. The
toughness of the material and d the
he magnitude
magn s
he fracture may be ductile, brittle or mixed mode depending upon the
i
of the applied stress.
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
eeth
yielding of the gear teeth th occurs.
occur
occ
t d
During stage 1 the peakk bending stress is less than the yield strength of the material and no gross
However, local plastic deformation may occur in regions of stress
concentrations or areas
inclusions. The cyclic,
maximum shear
as of structural
c, plast
s
n o
discontinuities such as surface notches, grain boundaries, or
plastic deformation usually occurs on slip planes that coincide with the direction of
ar stress. The cyclic slip continues within the slip planes of a few grains, usually near the
ere the st
surface where
maximum shear stre
p
stre
The stage 2 propagation D o

stress is highest, until very small cracks are initiated. The cracks grow in the planes of
stress and coalesce across several grains until they form a major crack.
phase begins when the crack turns and grows across grain boundaries
(transgranular) in a direction approximately perpendicular to the maximum tensile stress. During the
propagation phase, the plastic deformation is confined to a small zone at the leading edge of the crack,
and the surfaces of the fatigue crack usually appear smooth without signs of gross plastic deformation.
Under the scanning electron microscope, contours, called fatigue striations, may be seen on a fatigue
cracked surface. They are thought to be associated with alternating blunting and sharpening of the crack
tip and correspond to the advance of the crack during each stress cycle. The orientation of the striations
is at 90° to the crack advance.
If the crack propagates intermittently, it may leave a pattern of macroscopically visible “beach marks”.
These marks correspond to positions of the crack front where the crack stopped because stress
decreased. The origin of the fatigue crack is usually on the concave side of curved beach marks and is
often surrounded by several concentric beach marks. Beach marks may not be present, especially if the
fatigue crack grows without interruption under cyclic loads that do not vary in magnitude. The presence

61
of beach marks is a strong indication that the crack was due to fatigue; but not absolute proof, because
other failure modes may leave beach marks (for example, stress corrosion under changing environment).
If there are multiple crack origins, each producing separate crack propagation zones, ratchet marks may
be formed. They are caused when adjacent cracks, propagating on different crystallographic planes, join
together to form a step. Ratchet marks are often present on fatigue cracked surfaces of gear teeth
because the stress concentration in the root fillet frequently initiates multiple fatigue cracks.
There are several geometric variables, such as diameter, face width, number of teeth, pressure angle,
helix angle, and profile shift that may be optimized to lower the bending stress and increase the bending
fatigue life. The gear tooth geometry should be designed to reduce the tensile bending stress in the root
fillets. The gear teeth should be cut with full-fillet tools to obtain large radius root fillets with minimum
stress concentrations. If the gears are to be finished by shaving or grinding, they should be finished
without notching the root fillets.
10.1 Low cycle fatigue

Low cycle fatigue occurs when macroscopic plastic strain occurs in every cycle andd the number
C
numb of cycles
G
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
xcept for instances

to failure is less than 10,000. It is an uncommon failure mode for gear teeth except iins where
T
gear teeth are overloaded because they are under-designed, severely misaligned, or the load is
unexpectedly high.
sss important
Surface conditions of a gear tooth subjected to low-cycle fatigue are less importan
h stress concentrations
fatigue loading because cyclic, plastic deformation tends to relax both co
P T
importa than under high-cycle
and residual
life is spent initiating rather than propagating cracks. f

e surface,
stresses. Cracks might initiate within gear teeth, as well as on the urface, a
o
and a smaller fraction of the
egarding
arding fa
Maximize ductility and toughness (see discussion in 9.1 regarding
t
factors that promote toughness) to
ou
ds the following
extend low-cycle fatigue life. Reference [24] recommends follo
follow methods to increase toughness
of carburized gears:
- Use steels that contain nickel as a major (more than 1%)%) alloying
a element;
-
- Temper as-quenched case hardness from rom
stenite
Quench to produce 15% to 30% retained austenite
t
m 58-62e
enite in th
the case microstructure;
58-62 HRC down to 51-55 HRC. Avoid tempering
temperatures of 250ºC - 400ºC because
nst low-cycle
Exercise caution when designing against low-cy
b u
e this temp
tem
temperature range can cause embrittlement of the core.
low-cyc fatigue because many of the recommendations that
reducing stresses.
ase
e high-cycle
improve low-cycle fatigue life decrease
rt u
high-cy fatigue life. It is better to avoid low-cycle fatigue by
10.2 High cycle fatigue

i s
les
and the number of cycles
ned
ed as fatigue
High cycle fatigue is defined
t d
fatig
fati
s to failure
failur
fa
where the cyclic stress is below the yield strength of the material
is high. Most gear tooth bending failures are due to high cycle fatigue
NOTE: Fretting
e fatigue.
rather than low cycle
n o
atigue.
g on the fracture
fra surface indicates high cycle fatigue. See Figure 75.
Cracks usually
initiating rathero
lly
ly initiate a
sile strength
ultimate tensile
mu
teeth is optimum.
str
s
at the surface of the gear tooth root fillets and a large fraction of the life is spent
ather than propagating cracks. High-cycle fatigue life can be extended by maximizing the
D of the material and ensuring that the microstructure of the surface of the gear
Reference [24] recommends the following methods to increase the resistance to
high-cycle bending fatigue of carburized gears:
- Eliminate bainite, pearlite, and network carbides from the case microstructure;
- Eliminate all cracks especially near the surface of the root fillets;
- Maximize residual compressive stress in the case by using a steel with the lowest possible carbon
content;
- Eliminate defects on the surfaces of the root fillets.
Case hardening by carburizing or nitriding can be beneficial because these hardening processes may
induce compressive residual stresses that reduce the net tensile bending stresses. Also, controlled shot
peening can be used to increase compressive residual stresses. For carburized gears there are optimum
values of case hardness, case depth and core hardness [18] that give the best balance of residual
stresses and fatigue strength to maximize gear tooth resistance to bending fatigue.

62
C
T G
P T
Figure 75 - Two adjacent teeth on a helical pinion thatt faile
o f
failed by bending fatigue
10.2.1 Morphology of fatigue fracture surfaces

t
ou
ncentration
Ratchet marks - High tensile stresses or high stress concentration entration might initiate several fatigue cracks on
different planes. A ratchet mark forms where the cracks rackss join to form a common plane. Ratchet marks
e
help locate the crack origins. If there are no ratchet chett ma
marks
k it indicates there was a single crack origin.
marks,
One or more ratchet marks indicate there were
acute the stress concentration is, the more likely
u tre multiple
multiple crack origins. The higher the stress, or more
kelyy there will
w be multiple ratchet marks.
stopped because the load decreased. If the range

b
ntermittent
ermitten
Beach marks - If a fatigue crack grows intermittently, marks form along lines of arrest where the crack
rang of cyclic load remains constant, there will be no beach
the crack origin and show the directionction

rt u
marks. Fine, closely-spaced beach marks indicate indi
ind
on of crack
cra growth.
slow growth. Beach marks surround, and help locate
Case/core origins - Case hardened

i s
dened
ened gears
gea have tensile residual stress below the case/core boundary.
d
Subsurface fatigue cracks mayy initiate at flaws such as nonmetallic inclusions if the flaws are near the
case/core boundary in an area of high hig
hi tensile residual stress.
ot
Polished areas - If a fatigue
urfaces
compression, the surfaces
fatigu crack opens and closes repeatedly under alternating tension and
faces of
o the crack may become polished. Polished areas are often found around
subsurface fatigue
n
ue origins
rigins caused
c by nonmetallic inclusions or other flaws.
o
osion
Fretting corrosion n - Fre
Fret
Fretting corrosion often occurs on a fracture surface when the faces of the fatigue
ogether during
crack rub together du
d slow, high-cycle fatigue growth. Fretting corrosion is often found on the oldest,
D
smoothest, and la
atig
Size of the fatigue
larg
largest fatigue zone.
zones on adjacent teeth - The first tooth to fail usually has the largest, smoothest
fatigue zone because the tooth unloads as the crack grows and the tooth loses stiffness; decreasing the
bending stress and the crack growth rate. Due to the loss in load sharing, adjacent teeth take on more
load and crack sooner; have faster crack growth rate, and a rougher fracture surface. Adjacent teeth may
have secondary distress such as macropitting.
Ratio of fatigue/fracture surface area - A large fatigue zone and a small fracture zone indicates the
nominal stress was low, whereas a small fatigue zone and a large fracture zone indicate the nominal
stress was high. The size of the final fracture zone is an indication of the magnitude of the stress at final
fracture.
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
Figure 75 shows two adjacent teeth that failed by bending fatigue. The lower tooth in Figure 75 failed
first. It has a single crack origin, the largest, smoothest fracture surface, and extensive fretting corrosion.
The adjacent tooth failed next and it has a smaller, rougher fracture surface. Ratchet marks formed on

63
the adjacent tooth because the bending stress was higher and more fatigue cracks initiated. See
Figure 76.
10.2.2 Summary of methods to reduce the risk of high-cycle bending fatigue

- Optimize geometry
x Use full fillet roots, the root shape has a strong influence on bending stress;
x Ensure that the surfaces of the root fillets are free from significant notches and tool marks;
x Reduce bending stresses by reducing loads;
x Use larger module;
x Use larger center distance or face width;
x Use cleaner steels, properly heat treated by carburizing;
x Use case hardening, or shot peening, or both with proper process control ntrol
trol to increase
compressive residual stresses. For carburized gears, maximize residual compressive
the case by using steel with the lowest possible core carbon content;
ompressiv
C
mpressi stress in
x For case hardened gears specify values of case hardness, case depth
maximize resistance to bending fatigue;
pth
th and core
cor
G
co hardness to
T
T
x Use steel with sufficient hardenability to obtain a microstructure off primarily
prim y tempered
t martensite
in the gear tooth root fillets;
x Avoid embrittlement by using a steel in which the desired hardne
tempering in the range of 250°C to 400°C; P
hardness will be achieved without
f
x For carburized gears, make sure that the microstructure
o
re of the case
cca is essentially free of bainite,
t
pearlite, network carbides and especially microcrackss within martensite
AGMA 923);
m
ma platelets or needles (see
ou
x Use fine-grain steel;
x Ensure that the surfaces of the root fillets arere free
e from
fro significant cracks, nonmetallic inclusions,
x Use vacuum (low pressure) carburizing

dation,
ation, or other
decarburizing, corrosion, intergranular oxidation,
t
ng to prevent
prev e o potential stress risers;
decarburizing, intergranular oxidation, and
uneven case depth.
b u
rt u
d is
ot
n
D o
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
Figure 76 - Bending fatigue of spiral bevel tooth

64
10.2.3 Root fillet cracks

Although bending fatigue cracks may occur elsewhere, they usually initiate in the root fillet on the tensile
side of the gear tooth. The geometry of the root fillets might cause significant stress concentrations,
which combined with a high bending moment, might result in high bending stress and fatigue cracking.
See Figure 77 through Figure 80.
10.2.4 Profile cracks

Fatigue cracks may initiate on the active surface of the gear tooth if there are stress concentrations
caused by macropits, material flaws, or pre-existing cracks from hardening or grinding. See Figure 81.
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
Figure 77 - Bending fatigue of two helical teeth

65
C
T G
P T
ral
al spur g
Figure 78 - Bending fatigue of several
o f
ge teeth
gear
t
ou
macropittin
acropitt
If the origin is at the tooth flank surface in an area with macropitting, micropitting, corrosion, or fretting
itiated
ated from one of these primary failure modes. If
corrosion, the crack might be a secondary failure that initiated
the origin is subsurface near the case/core boundary, y, and d there
ther are several parallel cracks on the flank,
the profile crack might be a secondary crack that at was caused
caus by the primary failure mode of subcase
fatigue.
t e
b u
pparent near
In contrast, if no other failure modes are apparent
ce or subs
failure that initiated from either a surface
n
ne
e the origin, the profile crack might be a primary
subsurface flaw such as an inclusion, hardening crack,
rt u
omplete
plete hardening
grinding crack, grinding temper, or incomplete ha pattern.
10.2.5 Tooth end cracks

Fatigue cracks may initiate at an
i s
n end of the gear tooth if the load is concentrated at the tooth end. Stress
See Figure 82.

t d
ws at the
concentrations or material flaws tth ends of the teeth may also be responsible for tooth end cracks.
e initiated
10.2.6 Subsurface
o
nitiated bending fatigue cracks
n
usionss are often the root cause of cracks that result in failure modes such as subcase
Nonmetallic inclusions
D o
/core separation,
fatigue, case/core separ
nding fatigue
Classic bending
However, when
fati
or bending fatigue. See 7.3.1 for discussion of inclusions.
failures initiate at the surface of the root fillet on the tensile side of the gear tooth.
hen a bending fatigue crack initiates at a location significantly above the root fillet, where the
nominal bending stress is much lower than at the root fillet, it is likely that the root cause of failure is a
material flaw such as a nonmetallic inclusion, see Figure 83. Hard undeformable inclusions such as
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
calcium aluminate have a lower thermal expansion coefficient than steel and they develop tensile residual
stresses concentrated around each inclusion as a result of hardening heat treatments. The tensile
residual stresses from the inclusions and the existing tensile residual stresses below the case/core
boundary add to the nominal bending stress from the applied load. Therefore, a nonmetallic inclusion can
shift the location of the crack origin from the surface of the root fillet to below the case/core boundary or
other areas. Consequently, nonmetallic inclusions are often the root cause of bending fatigue cracks that
initiate at a subsurface location below the case/core boundary. In some instances the severe stress-
raising effects of an inclusion might even initiate cracks on the compression side of the gear tooth.

66
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
o f
u t
o
e
Figure 79 - Bending fatigue of two bevel pinion teeth

67
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
T T
f P
t o
n
D o F
Figure 80 - Fatigue of several teeth that were loaded on both flanks

68
C
T G
P T
Figure 81 - Profile cracks originating from
f
m severe pitting
o
p
t
ou
t e
u
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
u b
i s tr
t d
n o
D o
Figure 82 - Broken tooth ends
10.2.6.1 Metallurgical analysis for nonmetallic inclusions

Figure 83 is an example of nonmetallic inclusion failure of a carburized bevel gear (the arrow points to the
inclusion). An example of a nonmetallic inclusion failure from a parallel axis gear is shown in Figure 84
through Figure 88. Figure 84 shows a fractured tooth with the loose fragment set in place on the gear
body to show the position of cracks on the drive flank. The red dot marks the axial location of the
subsurface inclusion. Whenever the crack origin is high on the tooth flank it indicates the root cause is
not classic bending fatigue but due to a metallurgical flaw.

69
C
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
T G
P T
nonm
o f
ace nonmetallic
Figure 83 - Bending fatigue initiation from subsurface inclusion
u t
o
t e
b u
tr u
i s
t d
n o
D o
Figure 84 - Bending fatigue due to nonmetallic inclusion

70
C
T G
P T
o f
t
ou
gment
ent showing
Figure 85 - Fracture surface of loose fragment sho nonmetallic inclusion
t e
bu
rt u
i s
t d
n o
D o
Figure 86 - BSE image of fracture surface showing scanned areas 1, 2, and 3

--`,,,,````,`,,``,,,,`

71
C
T G
mistry of the
Figure 87 - EDS spectrum of figure 86 area 1 showing chemistry th inclusion
P T
f
to
ou
t e
b u
tr u
i s
t d
Figure 85 shows
DS sp
Figure 88 - EDS
ws the fracture
frac
spec
spectrum
n o
of figure 86 area 3 showing chemistry of the steel matrix
surface of the loose fragment with the subsurface nonmetallic inclusion
located about
surrounded
utt 5 mm be
d by a smooth
ly tig
of the initially
smo
tigh
D o
below the gear tooth load flank, which is shown at the bottom of Figure 85. It is
fracture surface that was developed by rubbing of the opposing fracture surfaces
tightly closed subsurface crack. Beach marks delineate successive arrests of the crack
propagation as the crack expanded with an elliptically shaped crack front. Once the crack broke through
to the surface of the load flank, the crack growth rate increased, then slowed as the crack reduced gear
tooth stiffness and allowed the cracked tooth to bend away from the load and shed load to neighboring
gear teeth.
For helical gears with relatively large axial contact ratio, the growth rate near the exit end of the fatigue
zone can be quite low and result in a very small overload zone of final fracture as shown by the less than
1 mm ligament at the top of Figure 85. In contrast, a spur gear with transverse contact ratio less than two
usually has a much higher fatigue crack growth rate due to less load sharing. It typically has a larger
overload zone of final fracture because a single tooth pair is subjected to a shock load when the lead pair
of teeth leaves contact. Furthermore, helical gears tend to be more robust because they share load over
more pairs of teeth and bending fatigue cracks tend to remove only ends of teeth, whereas spur gears
usually fracture abruptly across the full-face width.
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---

72
Figure 86 shows a scanning electron microscopy (SEM) image using the back scatter electron (BSE)
imaging mode. BSE is a high-contrast mode that shows the inclusion in the dark areas and the steel
matrix in the light areas. The three red rectangles denoting areas (1, 2, and 3) were scanned with energy
dispersive spectroscopy (EDS) to identify chemistry at each location.
Figure 87 shows an EDS spectrum of area 1 that shows high concentration of aluminum (Al) and calcium
(Ca) that indicates the inclusion is calcium aluminate (CaO-Al2O3); the most dangerous type. Area 2
shows similar concentration.
Figure 88 shows an EDS spectrum of area 3 of the background matrix that shows only the expected
elements of the steel alloy and no traces of aluminum or calcium.
10.2.7 Tooth interior fatigue fracture, TIFF

References [26, 27] describe tooth interior fatigue fracture (TIFF). TIFF failures that initiated from
inclusions have been reported [26], but TIFF failures typically occur at moderate stress ess levels
l where
inclusions are less damaging. At high stress levels, it is more likely to have a crack rack
ack initi
ginate
initia
nate with
surface of the root fillet (see 10.2.3) than in the interior [27]. TIFF failures originate
C
initiating at the
within the tooth
interior and have a flat plateau near the centerline of the tooth and a terrace near ea
formed where the main core crack turns to follow the case/core boundary towards
might have a lifetime of only 105 - 106 cycles [26].
eac
ards the roo
T G
each flank that is
roots. TIFF failures
Reference [26] concludes:
P T
f
- TIFF has been observed in case hardened idlers;
- The failure surface of a TIFF has a characteristic shape with distinct plateau in the center at
th a dis
d
approximately a mid-height position of the tooth;
t o
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
- The mechanical driving forces of the crack are residual tensile nsile stresses
stre in the interior of the tooth and
ou
alternating stresses due to the idler usage of the gear; r;
- An analysis technique based on finite element computations tations for the study of TIFF is presented;
mputations
- The analysis shows that alternating stress due to the idler usage of a gear wheel and tensile stresses
-
due to case hardening lead to potential fatigue
t eue initiation
initiatio in a large region in the interior of the tooth;
The risk of fatigue initiation in the interior of the tooth is increased by idler usage of the gear wheel as
compared to single stage usage.
b u
rt u
d is
ot
n
D o
Figure 89 - TIFF failure on an idler gear

73
Reference [27] concludes:

- TIFF is a possibility at loads lower than the load where tooth root bending fatigue is achieved and at
loads higher than the load where contact fatigue occurs;
- By using the gear wheel as an idler instead of as a single stage gear, the risk of TIFF is increased by
20%;
- The more slender the tooth (greater whole depth) and the higher the load, the greater the risk of TIFF;
- The influence of the carburizing depth on TIFF is small, and the risk of TIFF is lower for a high
carburizing depth than for a low carburizing depth.
10.2.7.1 Comparison of TIFF to subsurface initiated bending fatigue

Subsurface initiated bending fatigue (10.2.6) failures differ significantly from TIFF failures and exhibit the
following features:
- Cracks initiate near the pitch diameter and have subsurface origins about 1.5-2.5 times mes the
t effective
-
case depth;
C
generat during or
Cracks usually originate at a nonmetallic inclusion. Very small cracks might be generated
shortly after case hardening or initiate by fatigue due to the stress concentration
inclusion; G
centration caused by the
T
-
the tensile stress field in the core of the tooth;

he unloaded
unload
T
Following initiation, the fatigue crack grows slowly towards the load flank restrained by the
compressive residual stress in the case and more rapidly towards the unloade flank accelerated by
P
-
- White-etching areas (WEAs), which are evidence of intense
o f 5° to the
The trajectory of the fatigue crack is typically at an inclination of 45°
ense plastic
th load flank;
plast deformation, might be found
parallel to the flank surface within the case zone.
t
ou
ubsurface
Table 4 summarizes the differences between TIFF and subsurface urface iinitiated bending fatigue. It shows that
significa
signific
the morphology and operating conditions of TIFF are significantly different from subsurface initiated
bending fatigue. Furthermore, the load levels at whichwhich the twotw failure modes occur, their lifetimes, and
t e
definitions, and TIFF should be reserved forr the
rent.
ent. Therefore,
their sensitivity to nonmetallic inclusions are different. There
Th
e failure
failur
the two failure modes deserve separate
failur mode described by reference [27], whereas
ween
u
subsurface initiated bending fatigue should be reserved for the failure mode described by 10.2.6.
b
en TIFF and subsurface initiated bending fatigue
Table 4 - Differences between
Parameter rt u Tooth interior fatigue Subsurface initiated bending
Fracture plane
i s Plate
fracture, TIFF
Plateau perpendicular to tooth
fatigue
45° to surface of load flank
Inclusion at origin
t d ce
centerline
Not necessarily Yes
Stress magnitude
White Etching Areas,
n o
s, WEAs
WEA
Moderate
Unlikely
105 - 106 cycles
High
Not necessarily
Often >> 106 cycles
o
Lifetime
D
--`,,,,````,`,,``,,,,`,`-`-``,```,,

74
Annex A
Design considerations to reduce the chance of failure
[The foreword, footnotes and annexes, if any, are provided for informational purposes only and should not be
construed as a part of ANSI/AGMA 1010-F14, Appearance of Gear Teeth - Terminology of Wear and Failure.]
A.1 General design considerations

As stated in the scope, the methods given for reducing the risk of a failure mode are specific to the failure
mode considered. There are many things that will reduce the chance of one type of failure while
increasing the risk of another failure mode. Since design changes may have unintended consequences,
any change should be evaluated both prior to and after implementation.
Some design considerations are listed in Table A.1. All of these should be considered during design, with
ure while others
the realization that some design changes will have little or no impact on cost of manufacture,
may have a substantial impact that should be weighed against the costs of failure.
Table A.1 - Design considerations C

Advantages Disadvantages
T G Cost
Co impact
C
Module Increased module increases

Geometry
Increased module
P T Module generally has little
bending strength. Decreased
module increases Hertzian fatigue
resistance and scuffing
o f
increases specific
ific sliding impact on cost if the gear
diameter does not change
(i.e., if the number of teeth
resistance.
t changes inversely with the
ou
Decreased module may avoid module), provided that
problems with low numbers of tooling is available.
teeth on the pinion.
Higher number of Higher contact ratio.

t e Lower
Lowe bending strength. Variable.
teeth
b u
Better precision in gear ratio.
Longer true involute form.
m.
o. Smaller
Sm module for given
center distance.
Longer inspection time.
rt u
Quieter operation. Profile shift is more
sensitive to tolerances.
Less chance of undercut.
ndercut.
ercut
i
lower slidings
Higher scuffing resistance due to
ng resistanc
ng velocity.
d
Higher efficiency.
t
Pressure angle
reduce
n o
ppropriate
opriate p
Appropriate
Increased
pressure angle can
chance of failure.
duce ch
cha
ncreas pressure angle
Increase
increases bending strength,
increa
incre
Increased pressure angle
increases radial load on
bearings and decreases
transverse contact ratio.
Cost is only affected if new
tooling has to be
purchased.
Helix angle D o Her

HHertzian fatigue resistance, and
sscuffing resistance.
Increased helix angle increases Increased helix angle Minimal

tooth strength and smoothness of increases axial forces on
transmission, especially if the bearings.
axial contact ratio is slightly above
an integer.
Center distance Increasing center distance Increased center distance Cost increases with size.
reduces the loads both on the requires larger gears and
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
gear teeth and on the bearings. housings, and may result

in excessive peripheral
speed.

75
Advantages Disadvantages Cost impact
Face width Increased face width increases For micropitting Minimal when gear is
load capacity provided the load resistance, F/d ratio integral with shaft,
distribution across the face width should be 1.0 for spur proportional to face width
remains uniform. and single helical gears when shaft is separate.
and 2.0 for double
helical gears.
Profile shift Can reduce chance of failure. Usually can only be Minimal
optimized for one failure
mode.
Gear flank Better accuracy can reduce Cost There are significant cost
accuracy dynamic loads, that in turn impacts if additional steps
reduces the chances of many ufact
ufac
in the manufacturing
C
failure modes. process aree requ
required to
achieve
ve the required
requi
requ
G
accuracy.
curacy.
Flank
modifications
Appropriate flank modifications
can reduce dynamic loads and
result in better load distribution.
Flank modifications
generally can only be
optimized for one load..
T T Depends on manufacturing
techniq
technique.
Surface finish Improved surface finish is always

beneficial.
f
be used to improve
n-in
rove
-in may
Cost, although run-in
ve P Like flank accuracy, the
cost can be substantial if
surface finish
t o cost.
h at low co
cos additional manufacturing
steps are required.
ou
Root fillet Large smooth root fillets reduce Cost is affected if new
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
geometry bending stress. tooling has to be purchased

or machining practices
e
changed.
u t
Lubrication
Lubricatio
bricatio
Lubricant
generally better for the
osity
Increased lubricant viscosity
e gear
b
ty is
ar
Increased lubricant
viscosity generally
Varies
rt u
mesh. Appropriate additives
ditives reduces gearbox
designed into the bricant can
e lubricant ca efficiency and may lead to
s
improve lubricant
ant performance.
performa
perform circulation problems
d i especially during cold

starts or may cause filter
bypass.
ot Lubricant compatibility
should be checked with
n paint, seals, gaskets, etc.
Lubrication
system
D oPres
Pressurized lubrication systems
that cool and filter the lubricant
th
before spraying it into the gear
mesh allow for reliable operation
While some lubricants
have no limits on the level
of filtration, some
lubricants may have
Pressurized lubrication
systems are costly, and are
not justified for many
applications.
of the gearbox. additives that can be
Gears not dipping in lubricant can filtered out if too fine a
improve efficiency. filter is used.
Lubricant Proper lubricant distribution is Cost Cost increases with the

distribution (oil important both for cooling and complexity of the
spray location, lubrication. With high pitch line distribution system.
direction and velocity gears, fully lubricating the
patterns) teeth can be a challenge.

76
Advantages Disadvantages Cost impact
Metallurgy
Hardness Increased hardness generally is Excessively hard teeth Increased hardness

beneficial. Carburized gears have may be brittle. generally increases
the greatest load capacity. machining costs, and may
require use of a different
material and heat
treatment.
Material Use of a material appropriate for Cost The material, heat

the heat treatment is critical. treatment and related
manufacturing operations
need to be considered
together. The a appropriate
C
combinationon can reduce
tion
cost in applications.
n some app
G
The system cost
e total sys
syste
should be considered.
co
c
Material
cleanliness
Improved material cleanliness is
always beneficial.
Cost
T T
Limited availability with
th
h
Vacuum
Vacuu arc remelt can be
used
us to improve the
Shot peening Shot peening may increase

some materials and
Cost.
f Pd sizes cleanliness
cle for a price.
Cost can be substantial

bending strength significantly. Gear flanks
shot peened
t o not be
s should no
n
ed unless they
ened
especially if the flanks have
to be manually masked.
ou
are re-finished
nished after
e-finished af
a shot
peening.
ening.
ng.
A.2 Misalignment
t e
u
Misalignment is not a failure mode, but may be the root ccause of many failure modes such as:
-
-
Adhesion;
Scuffing;
u b
-
-
Plastic deformation;
Hertzian fatigue;
t r
-
-
Fracture;
Bending fatigue.
d is
Misalignment may result
and thereby increasing
ng the
ot loading of the teeth, increasing the stresses in that section of the teeth
ult in end lo
he risk of a failure. There are many possible causes of misalignment, including:
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
-
-
Inaccurate lead,
Inappropriate n
ead, profile, spacing, or runout of pinion or wheel;
e lead or
iate o profile modifications;
-
-
-
Bearing
o
g supports not parallel;
D
on of the
Distortion t gearbox housing or foundation due to applied stresses or thermal effects;
Distortion of the gear teeth due to transmitted loads, centrifugal stresses, or thermal effects;
- Excessive radial space in the bearings, particularly those which do not have rolling elements;
- Excessive internal clearance in rolling-element bearings;
- Excessive tapered roller bearing endplay, see Figure A.1.
Misalignment is always detrimental; proper alignment during operation is very important.

77
C
ed-roller
d-roller be
Figure A.1 - Gear misalignment due to excessive endplay in tapered-roller
G
bearings
T
P T
o f
t
ou
t e
b u
rt u
i s
d
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
ot
n
D o

78
Annex B
Bibliography
The following documents are either referenced in the text of ANSI/AGMA 1010-F14, Appearance of Gear
Teeth - Terminology of Wear and Failure, or indicated for additional information.
1. Winter, H. and Weiss, T., "Some Factors Influencing the Pitting, Micropitting (Frosted Areas) and
Slow Speed Wear of Surface Hardened Gears," ASME Pap. No. 80-C2/DET-89, pp. 1-7, 1980.
2. Milburn, A., Errichello, R., and Godfrey, D., "Polishing Wear," AGMA Pap. No. 90 FTM 5, Oct., 1990.
3. Adams, J.H., and Godfrey, D., "Borate Gear Lubricant-EP Film Analysis and Performance,"
Lubrication Engineering, Vol. 37, No. 1, pp. 16-21, Jan. 1981.
4. Godfrey, D., "Fretting Corrosion or False Brinelling?," Tribology & Lubrication Technology, Vol. 59,
No. 12, pp. 28-30, Dec. 2003.
ogy & Lubrication
5. Errichello, R., “Another Perspective: False Brinelling and Fretting Corrosion,” Tribology
Technology, Vol. 60, No. 4, pp. 34-36, April, 2004.
6. Hunt, J.B., Ryde-Weller, A.J., and Ashmead, F.A.H., "Cavitation Between Meshing Gear Teeth," C
Wear, Vol. 71, pp. 65-78, 1981.
sage
age Sons Pression Extreme,"
7. Blok, H., "Les Temperatures de Surface dans Les Conditions de Graissage
T G
Second World Petroleum Congress, Paris, June, 1937.
rature,"
ature," Inte
8. Blok, H., "The Postulate About the Constancy of Scoring Temperature," Interdisciplinary Approach to
P T
the Lubrication of Concentrated Contacts, NASA SP-237, pp. 153-248,
53-248,
9. Errichello, R., “Troubleshooting Hot Gear Drives,” Lubrication
ubrication
-248, 1970.
1
19
cation Excellence 2003 Conference
o f
Proceedings, Noria, pp. 389-396, April, 2003.
t
ou
aces
es Caus
10. Ishibashi, A., and Matsumoto, S., "Undulation of Surfaces Caused by Rolling Contact," Bulletin of the
JSME, Vol. 15, No. 81, pp. 387-400, 1972.
“Point-Sur
oint-Sur
11. Errichello, R.L., Eckert, R., and Hewette, C., “Point-Surface-Origin, PSO, Macropitting Caused by
Geometric Stress Concentration, GSC,” AGMA MA
A Pap. No.
e
No 10FTM11, pp. 1-11, 2010.
t
u
act Fatigue,"
12. Littman, W.E., "The Mechanism of Contact Fatigue Interdisciplinary Approach to the Lubrication of
Concentrated Contacts, NASA SP-237,, pp. 309-377,
309-3 1970.
13. Errichello, R.L., "Morphology of Micropitting,"
cropitting,"
pitting," AGMA
A
b
Pap. No. 11FTM7, pp. 1-19, 2011.
of Tooth Surface," ASME Pap.

bility
ty of Case-Carburized
14. Ueno, T., et al., "Surface Durability Cas
p. No. 80-C2/DET-27,
80-C
80- rt u Gears - On a Phenomenon of Grey - Staining
pp. 1-8, 1980.
i s
alysis of Coarse-Pitch, Hardened and Ground Gears," AGMA Pap. No.
15. Shipley, E.E., "Failure Analysis
2.
P229.26, pp. 1-24, 1982.
Appreciable d
preciable Increases in Surface Durability of Gear Pairs with Mirror-Like Finish,"
16. Tanaka, S., et al, "Appreciable
t
ASME Paper No.. 84-DET-223,
Resistance
84-DET-2
., and
17. Benyajati, C.,
-DET-2
nd Olver,
Olv
e off Carburized
Carbur
Carbu
o
pp. 1-8, 1984.
n
A.V., “The Effect of a ZnDTP Antiwear Additive on the Micropitting
Steel Rollers,” AGMA Paper No. 04FTM6, pp. 1-8, 2004.
19. Sharma,, V.K

"Carb
"Car
D o
18. Parrish,, G., "Carburizing: Microstructures and Properties," ASM, 1999.
V.K., Walter, G.H., and Breen, D.H., "An Analytical Approach for Establishing Case Depth
en in Carburized Gears," ASME pap. No. 77-DET-152, pp. 1-11, 1977.
Requirements
20. Pedersen, R. and Rice, S.L., "Case Crushing of Carburized and Hardened Gears," Trans. SAE, Vol.
69, pp. 370-380, 1961.
21. Mudd, G.C., "A Numerical Means of Predicting the Fatigue Performance of Nitride-Hardened Gears,"
Proc. Inst. Mech. Engrs., Vol. 184, Part 30, pap. 12, pp. 95-104, 1969-1970.
22. Kron, H.O., "Gear Tooth Sub-Surface Stress Analysis," Unabridged Text of Lectures", Vol. 1, World
Congress on Gearing, Paris, France, pp. 185-202, June 22-24, 1977.
23. Sandberg, E., "A Calculation Method for Subsurface Fatigue," Proc. of International Symposium on
Gearing and Power Transmissions, Vol. 1, Aug. 30-Sep 3, pp. 429-434, Tokyo, 1981.
24. Kern, R.F., and Suess, M.E., "Steel Selection A Guide for Improving Performance and Profits," John
Wiley, 1979.
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---

79
25. Diesburg, D.E., and Smith, Y.E., "Fracture Resistance in Carburizing Steels," Metal Progress, Parts I,
II and III, May, June and July, 1979.
26. MackAldener, M., “Tooth Interior Fatigue Fracture & Robustness of Gears,” Doctoral Thesis,
Department of Machine Design, Royal Institute of Technology, Stockholm, Sweden, 2001.
27. MackAldener, M., and Olsson, M., “Design Against Tooth Interior Fatigue Fracture,” Gear
Technology, Nov./Dec. 2000, pp. 18-24.
28. Clark, D.S., and Varney, W.R., "Physical Metallurgy- For Engineers," D. Van Nostrand Company,
1962.
29. Radzevich, S.P., “Dudley’s Handbook of Practical Gear Design and Manufacture”, second edition,
table 5.5, pp. 249, CRC Press, 2012.
C
T G
P T
f
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---
t o
o u
t e
bu
tr u
i s
t d
n o
D o

80
Annex C
Acknowledgements
The American Gear Manufacturers Association would like to thank the following organizations for their
contributions to this document.
1. Geartech (Figures 1-6, 8, 10, 11, 14-18, 21-28, 30-32, 35-37, 39-41, 46, 50, 51, 55, 56, 58, 66, 68-71,
75, 77, 81, 84-89)
2. International Standards Organization (Figures 7, 12, 19, 20, 29, 33, 38, 42-44, 59, 61, 62, 67, 72-74,
78-80)
3. Caterpillar, Inc. (Figures 9, 13, 45, 52, 65, 76, 82, 83)
4. University of Newcastle-Upon-Tyne (Figures 47-49, 53, 54, 63, 64)
5. AGMA 110 (Figures 34, 60)
6. Artec Machine Systems (Figure 57)
C
T G
P T
o f
u t
o
t e
b u
tr u
i s
t d
n o
D o
--`,,,,````,`,,``,,,,`,`-`-``,```,,,`---

81

AGMA 1010 - Edition F14 August 8 2014 (PTTGC Internal Use Only)

Uploaded by

Document Information

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

AGMA 1010 - Edition F14 August 8 2014 (PTTGC Internal Use Only)

Uploaded by

Copyright:

Available Formats

ANSI/AGMA 1010-F14

(Revision of ANSI/AGMA 1010-E95)

Copyright American Gear Manufacturers Association Order Number: 02222469

American Appearance of Gear Teeth - Terminology of Wear and Failure

National Standard in the name of the American rican Nati

Copyright American Gear Manufacturers Association

4.2 Abrasion ........................................................................................................................................

Copyright American Gear Manufacturers Association

6.5 Tooth hammer ............................................................................................................................. 27

8.2 Grinding damage

9.2 Ductile fracture ............................................................................................................................ 58

©AGMA 2014 – All rights reserved

10 Bending fatigue ............................................................................................................................... 61

Figure 13 - White layer flaking

Figure 17 - SEM image

D o discharge damage due to an electric current of high intensity ........................ 19

©AGMA 2014 – All rights reserved

Figure 35 - Rippling ..................................................................................................................................... 29

Figure 77 - Bending fatigue

Copyright American Gear Manufacturers Association

©AGMA 2014 – All rights reserved

PERSONNEL of the AGMA Nomenclature Committee

Chairman: Dwight Smith ..................................... Cole Manufacturing Systems

J.B. Amendola, III ................................................. Artec Machine Systems

©AGMA 2014 – All rights reserved

American National Standard -

Appearance of Gear Teeth - Terminology of

©AGMA 2014 – All rights reserved

3.2 Classes and modes of failure

Table 1 - Nomenclature of gear failure modes

©AGMA 2014 – All rights reserved

Adhesion can be categorized as mild or moderate

Figure 1 - Moderate wear

©AGMA 2014 – All rights reserved

4.1.2 Moderate adhesion

©AGMA 2014 – All rights reserved

4.1.3 Summary of methods to reduce the risk of adhesive wear

4.2.1 Mild abrasion

©AGMA 2014 – All rights reserved

Figure 4 - Mild abrasion near the tip of a ground gear

©AGMA 2014 – All rights reserved

Figure 5 - Severe abrasion

Figure 7 - Severe abrasion

©AGMA 2014 – All rights reserved

4.2.4 Sources of particles that may cause wear

4.2.5 Methods for reducing abrasive wear

monitoring can be used

©AGMA 2014 – All rights reserved

4.2.5.1 Summary of methods to reduce the risk of abrasive wear

4.3.1 Mild polishing

©AGMA 2014 – All rights reserved

4.3.4 Summary of methods to reduce the risk of polishing wear

©AGMA 2014 – All rights reserved

©AGMA 2014 – All rights reserved

Figure 11 - Fretting corrosion

Copyright American Gear Manufacturers Association

4.5.2 False brinelling

4.5.3 Fretting corrosion

operation, damaged gears and bearings might generate e sharp, h

©AGMA 2014 – All rights reserved

©AGMA 2014 – All rights reserved

bductile gamma-prime phase. As a general rule,

©AGMA 2014 – All rights reserved

©AGMA 2014 – All rights reserved