The Handbook of Tribology Data - An Excellent Friction, Lubrication and Wear Resource (PDFDrive)

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TRIBOLOGY
DATA
HANDBOOK
EDITED BY
E. Richard Booser
An Excellent Friction, Lubrication
and Wear Resource
SPONSORED BY THE
Society of Tribologists
and
Lubrication Engineers
Copyright © 1997 CRC Press, LLC.

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Library of Congress Cataloging-in-Publication Data

Tribology data handbook / edited by E. Richard Booser.
p. cm.
Includes bibliographical references and index.
ISBN 0-8493-3904-9 (alk. paper)
1. Tribology—Handbooks, manuals, etc. I. Booser, E. Richard.
TJ1075.T755 1997
621.8’0—dc21
97-6215
CIP
This book contains information obtained from authentic and highly regarded sources. Reprinted material is quoted with
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Preface
As a source book on friction, lubrication and wear, this Handbook is sponsored by the Society of
Tribologists and Lubrication Engineers (STLE) to consolidate information on tribology. For
detailed discussions of specific topics, many users will likely continue to find it helpful to refer to
these earlier volumes of this series:
Vol. I. Handbook of Lubrication. Application and Maintenance. 1983.

Vol. II. Handbook of Lubrication. Theory and Design. 1984.
Vol. III. Handbook of Lubrication and Tribology. Monitoring, Materials, Synthetic
Lubricants, and Applications. 1994.
While the earlier volumes provided broad coverage, this present Handbook is intended to pro-
vide a single source of “look-up” information for the entire field of tribology in tables of data,
design charts, equations, and recent references. Any related discussions are generally limited to
essentials required to introduce or explain the information involved.
In addition to the specialized background of the 77 contributors, several other sources of
information warrant mention. Producers of mineral oil and synthetic lubricants, solid film lubri-
cants, bearings, gears, and various machinery supplied typical data and specifications. Unique
numeric compilations of lubricant properties, seal material behavior, and friction and wear data are
included from projects sponsored by the National Institute of Science and Technology for a com-
puterized tribology information system (ACTIS).
Several portions of the Handbook are of special interest. An extensive set of current military
lubricant specifications in Chapter 18 is followed by a variety of industrial and automotive specifi-
cations in the remainder of Sections II and III. Sections V, VI and VII reflect facets of friction and
wear for which basic understandings are still evolving. Performance and design relations are col-
lected in Section VIII for machine elements such as bearings, seals, gears, brakes, piston rings, and
magnetic storage units for computer systems. Section IX provides similar data for metal working.
Perhaps the most challenging coverage is given in the final two Sections. Section X gives com-
prehensive guidelines for monitoring, maintenance, and failure assessment in lubrication of auto-
motive, industrial and aircraft equipment. Environmental and toxicology questions in Section XI
appear to be of somewhat less current concern, even while under close scrutiny and control by
the government.
Developed with guidance and participation by the STLE Technical Committees and Industry
Councils, it is hoped that this Tribology Data Handbook will provide a useful aid for those
working to achieve more effective lubrication, better control of friction and wear, and
improved understanding of the complex factors involved in tribology.
E. R. Booser
Editor

The Editor
Dr. E. Richard Booser has been active in work on tribology and lubrication for over 50
years. As an instructor and research assistant in chemical engineering at The Pennsylvania
State University, his early research studies focused on refining procedures and performance
testing for petroleum lubricants. He was then employed by the General Electric Co. for 39
years in development work on bearings and lubricants for steam and gas turbines, electric
motors and generators, aerospace and nuclear plant equipment, and a variety of related elec-
trical products.
He currently works as a consulting engineer on bearings and lubrication. Assignments
have covered lubrication for nuclear power plants; bearing performance and problem analy-
ses for turbines, generators, electric motors and accessory power plant equipment; friction
and wear testing; locomotive, aerospace, and appliance bearings; and failure analysis of ball
and roller bearings.
His 85 publications cover properties and performance of lubricants and bearing mate-
rials, turbulence and parasitic power loss in high-speed oil-film bearings, oil oxidation,
grease life in ball bearings, circulating oil systems, and lubrication of electric motors. In
addition to his work as editor of the earlier three volumes in this CRC Press handbook
series, he also co-authored the 1957 McGraw-Hill book on Bearing Design and Application.
While President of the Society of Tribologists and Lubrication Engineers in 1956, he
participated in initiating the annual joint Tribology Conferences with ASME. He has also
organized and taught bearing and lubrication courses and seminars for over 800 designers
and engineers. In 1992 he received the STLE National Award.
Dr. Booser and those contributing to the Handbook have drawn on their own experi-
ences and on the resources of STLE to develop this compilation of information in the
emerging field of tribology: the science of friction, wear, and lubrication.

Table of Contents
Section I. Lubricant Properties
1. Typical Lubricating Oil Properties.................................................................................3
Chun-I Chen
2. Comparison of Properties of Synthetic Fluids..........................................................34
Wilfried J. Bartz
3. Polyalphaolefins...............................................................................................................37
Ronald L. Shubkin
4. Organic Esters.................................................................................................................42
Bruce J. Beimesch
5. Polyalkylene Glycols.......................................................................................................49
William L. Brown
6. Phosphate Esters.............................................................................................................60
Douglas G. Placek and M. P. Marino
7. Silicones............................................................................................................................75
E. D. Brown
8. Perfluoroalkylpolyethers.................................................................................................80
Gregory A. Bell
9. Polychlorotrifluoroethylenes..........................................................................................88
Louis L. Ferstandig
10. Polybutenes......................................................................................................................94
John D. Fotheringham
11. Vegetable Oils — Structure and Performance.........................................................103
Saurabh S. Lawate, Kasturi Lal, and Chor Huang
12. Additives — Chemistry and Testing..........................................................................117
Syed Q. A. Rizvi
13. Greases............................................................................................................................138
Richard C. Schrama
14. Solid Lubricants.............................................................................................................156
E. Richard Booser
15. Viscosity of Liquids, Aqueous Solutions and Liquid Metals.................................159
(CRC Press)
16. Gas Properties...............................................................................................................169
Donald F. Wilcock
Section II. Typical Lubrication Specifications for Equipment

17. Comparison of Viscosity Classifications..................................................................179
E. Richard Booser
18. Military Specifications..................................................................................................182
Bobby D. McConnell
19. Air Compressor Lubrication.......................................................................................242
William Scales
20. Automatic Transmission Fluids..................................................................................248
(Lubrizol Corp.)

21. Automotive Engine Lubricants........................................................................253

Yeau-Ren Jeng and Ron Desing
22. Diesel Engine Lubricants..................................................................................263
Ron Desing
23. Electric Motors and Generators......................................................................272
E. Richard Booser
24. Hydraulic and Turbine Oils..............................................................................274
Ian Macpherson and Daniel D. McCoy
25. Marine Diesel Engines......................................................................................282
(Lubrizol Corp.)
26. Railroad Diesel Engines....................................................................................284
(Lubrizol Corp.)
27. Slideways..............................................................................................................286
Ian Macpherson
Section III. Industrial Application Practices

28. Aluminum Production Equipment.................................................................289
Edward J. Myers
29. Farm and Off-Highway Machinery.................................................................298
(Lubrizol Corp.)
30. Food Industry Lubrication...............................................................................303
George R. Arbocus
31. Forest and Paper Products...............................................................................309
Frederick J. Villforth, III
32. Machine Tools....................................................................................................320
Douglas Vallance
33. Mining Excavation Equipment Lubricant Guidelines.................................332
Charles D. Barrett
34. Refrigeration and Air Conditioning Lubricants............................................342
Kenneth C. Lilje, Thomas E. Rajewski, and Edan E. Burton
35. Space and High Vacuum Lubricants...............................................................355
Robert L. Thorn and Michael R. Hilton
36. Steel Industry Lubricant Guides......................................................................364
Richard C. Schrama and Daniel D. McCoy
Section IV. Lubricant Application Systems

37. Centralized Lubrication for Industrial Machines..........................................385
James H. Simpson, III
38. Oil Mist................................................................................................................396
Stanley C. Reiber
39. Circulating Oil Systems.....................................................................................404
E. Richard Booser
Section V. Friction, Wear, and Surface Characterization

40. Surface Texture...................................................................................................415
V. V. Dunaevsky, Y.-R. Jeng, and J. A. Rudzitis
41. Typical Friction and Wear Data.......................................................................435
A. W. Ruff
42. Friction and Wear Equations.........................................................................................445

Valery V. Dunaevsky
43. Generalized Wear Coefficients......................................................................................455
Valery V. Dunaevsky
44. Friction Temperatures.....................................................................................................462
Valery V. Dunaevsky
45. Boundary Lubrication Relations....................................................................................474
Richard S. Fein
46. Lubricated Wear Problems — Symptoms and Prevention.......................................486
Douglas Godfrey
Section VI. Material Properties

47. Typical Properties of Sliding Contact Materials.........................................................493
A. W. Ruff
48. Rolling Element Bearing Materials...............................................................................495
Charles A. Moyer
49. Oil Film Bearing Materials.............................................................................................503
George R. Kingsbury
50. Mechanical Properties of Gear Materials....................................................................526
Lewis Rosado
51. Wear-Resistant Hard Materials.......................................................................................540
William A. Glaeser
52. Friction, Wear and PV Limits of Polymers and Their Composites........................547
Thierry A. Blanchet
53. Properties of Advanced Ceramics................................................................................563
S. Frank Murray
54. Friction and Wear Tests on Advanced Ceramics........................................................573
Amp Gangopadhyay
Section VII. Tribological Surface Modifications

55. Tribological Surface Treatments and Coatings...........................................................581
Francis E. Kennedy and Ursula J. Gibson
56. Friction and Wear of Hard, Thin Coatings.................................................................594
Arup Gangopadhyay
57. Bonded Solid Film Lubricants.......................................................................................600
Robert M. Gresham
Section VIII. Component Performance and Design Data

58. Fundamentals of Elastohydrodynamic Lubrication..................................................611
Michael M. Khonsari and D. Y. Hua
59. High Pressure Viscosity and EHL Pressure-Viscosity Coefficients........................638
Richard S. Fein
60. Rolling Bearings Performance and Design Data........................................................645
Thomas Jendzurski and Charles A. Moyer
61. Journal Bearing Design and Analysis...........................................................................669
Michael M. Khonsari
62. Design and Analysis of Hydrodynamic Slider Thrust Bearings..............................680
Michael M. Khonsari and J. Y. Jang
63. Squeeze-Film Bearings....................................................................................................691

M. M. Khonsari and J. Y. Jang
64. Ring- and Wick-Oiled Starved Journal Bearings........................................................708
Richard C. Elwell
65. Porous Metal Bearings....................................................................................................719
Cris Cusano
66. Dynamic Seals..................................................................................................................734
Alan O. Lebeck, for the Seals Technical Committee, STLE
67. Gear Lubricant Selection and Application..................................................................781
Robert L. Errichello
68. Brakes.................................................................................................................................800
Valery V. Dunaevsky
69. Piston Rings......................................................................................................................811
Valery V. Dunaevsky
70. Magnetic Storage System Materials...............................................................................823
Zunde Yang and Yip-Wah Chung
Section IX. Metalworking

71. Metal Removal: Fluid Selection and Application Guide...........................................831
Gregory J. Foltz and Harold J. Noble
72. Metal Forming..................................................................................................................840
Ted G. McClure
73. Microbial Control of Coolants......................................................................................854
Alan C. Eachus
74. Additives for Metalworking Fluids................................................................................862
Neil M. Canter
Section X. Monitoring, Maintenance, Failure Patterns

75. Elements of an Oil Analysis Program.........................................................................875
James C. Fitch
76. Wear Monitoring and Metal Analysis...........................................................................889
Costandy S. Saba
77. Laboratory Used Oil Analysis Methods.......................................................................897
Mate Lukas and Daniel P. Anderson
78. Gas Turbine Engine Lubricant Monitoring and Analysis.........................................915
Costandy S. Saba
79. Automotive Engine Oil Life Factors............................................................................923
Shirley E. Schwartz
80. Automotive Engine Oil Condition Monitoring..........................................................927
Donald J. Smolenski and Shirley E. Schwartz
81. Diesel Engine Used Oil Analysis..................................................................................935
Jack Poley
82. Rotating Machinery Vibration and Condition Monitoring.......................................944
William D. Marscher
83. Ball and Roller Bearing Troubleshooting.....................................................................956
Thomas Jendzurski
84. Gear Distress and Failure Modes..................................................................................986
(Falk Corp.)

85. Filtration and Particle Count Classifications..........................................................1009

Charles A. Moyer
86. Life of Oils and Greases...........................................................................................1018
E. Richard Booser
Section XI. Toxicology, Environment, Safety and Health

87. Toxicology, Environment, Safety and Health........................................................1031
Joseph M. Perez and Donald I. Hoke
Appendixes
1. Material Hardness Tables, Tests, and Data.............................................................1049
Charles A. Moyer
2. Viscosity Conversion Factors....................................................................................1063
Douglas Godfrey
3. International System of Units (SI) and Conversion Factors...............................1069
(CRC Press)
Index..........................................................................................................................................1087

Advisory Board
George R. Arbocus Charles A. Moyer (Retired)
Consultant The Timken Company
Elf Lubricants North America Canton, Ohio
Keystone Division
Linden, New Jersey Joseph M. Perez, Ph.D.
Professor of Tribology
Michael M. Khonsari, Ph.D. Department of Chemical Engineering
Chairman The Pennsylvania State University
Department of Mechanical Engineering University Park, Pennsylvania
Southern Illinois University
Carbondale, Illinois Ronald L. Shubkin, Ph.D.
Research and Development
Daniel D. McCoy Albemarle Corporation
Industrial Products Baton Rouge, Louisiana
The Lubrizol Corporation
Wickliffe, Ohio

Contributors
Daniel P. Anderson Neil M. Canter
Spectro Inc. Chemical Solutions
Littleton, Massachusetts Willow Grove, Pennsylvania
George R. Arbocus Chun-I Chen
Elf Lubricants North America National Institute of Science and
Linden, New Jersey Technology
Gaithersburg, Maryland
Charles D. Barrett
Castrol Industrial North America Yip-Wah Chung
Downers Grove, Illinois Dept. of Materials Science and
Engineering
Wilfried J. Bartz Northwestern University
Technische Akademie Esslingen Evanston, Illinois
Osfildern
Germany Cris Cusano
Dept. of Mechanical Engineering
Bruce J. Beimesch University of Illinois
Henkel Corp. — Emery Chemicals Urbana, Illinois
Cincinnati, Ohio
Ron Desing
Gregory A. Bell The Lubrizol Corporation
Dupont Technical Laborataory Wickliffe, Ohio
Chambers Works
Deepwater, New Jersey Valery V. Dunaevsky
Allied Signal, Inc.
Thierry A. Blanchet Elyria, Ohio
Dept. of Mechanical Engineering
Rensselaer Polytechnic Institute Alan C. Eachus
Troy, New York Angus Chemical Company
Buffalo Grove, Illinois
E. Richard Booser
Scotia, New York Richard C. Elwell
Niskayuna, New York
E. D. Brown
Schenectady, New York Robert L. Errichello
Geartech
William L. Brown Townsend, Montana
Union Carbide Corporation
Tarrytown, New York Richard S. Fein
Fein Associates
Edan E. Burton Poughkeepsie, New York
CPI Engineering Services
Midland, Michigan Louis L. Ferstandig
Halocarbon Products Corp.
River Edge, New Jersey

James C. Fitch Thomas Jendzurski

Diagnetics, Inc. SKF USA, Inc.
Tulsa, Oklahoma King of Prussia, Pennsylvania
Gregory J. Foltz J. Y. Jang
Cincinnati Milacron Dept. of Mechanical Engineering
Cincinnati, Ohio University of Pittsburgh
Pittsburgh, Pennsylvania
BP Chemicals Yeau-Ren Jeng
Grangemouth Dept. of Mechanical Engineering
Stirlingshire, Scotland National Chung Cheng University
Chia-Yi, Taiwan
Arup Gangopadhyay
Ford Motor Company Francis E. Kennedy
Dearborne, Michigan Thayer School of Engineering
Dartmouth College
Ursula J. Gibson Hanover, New Hampshire
Thayer School of Engineering
Dartmouth College Michael M. Khonsari
Hanover, New Hampshire Dept. of Mechanical Engineering
Southern Illinois University
William A. Glaeser Carbondale, Illinois
Battelle
Columbus, Ohio George R. Kingsbury
Consulting Engineer
Douglas Godfrey Lyndhurst, Ohio
Wear Analysis
San Rafael, California Kasturi Lal
Robert M. Gresham Wickliffe, Ohio
E/M Corporation
West Lafayette, Indiana Saurabh S. Lawate
Michael R. Hilton Wickliffe, Ohio
Aerospace Corp.
Los Angeles, California Alan O. Lebeck
Mechanical Seal Technology
Donald I. Hoke Albuquerque, New Mexico
Wickliffe, Ohio Kenneth C. Lilje
CPI Engineering Services
D. Y. Hua Midland, Michigan
Center for Engineering
Northwestern University Malte Lukas
Evanston, Illinois Spectro, Inc.
Littleton, Massachusetts
Chor Huang
The Lubrizol Corporation Ian Macpherson
Wickliffe, Ohio Ethyl Corporation
Richmond, Virginia

Michael P. Marino Stanley C. Reiber

FMC Corporation (Ret.) Alemite Corp.
Philadelphia, Pennsylvania Charlotte, North Carolina
William D. Marscher Syed Q. A. Rizvi
Mechanical Solutions, Inc. The Lubrizol Corporation
Parsippany, New Jersey Wickliffe, Ohio
Ted G. McClure Lewis Rosado
Fuchs Lubricants Company Aero Propulsion and Power Directorate
Harvey, Illinois Wright Laboratory
Wright-Patterson AFB, Ohio
Bobby D. McConnell
Bluff City, Tennessee J. A. Rudzitis
Dept. of Production Engineering
Daniel D. McCoy Riga Technical University
The Lubrizol Corporation Latvia
Wickliffe, Ohio
A. W. Ruff
Charles A. Mover National Institute of Science and
The Timken Company (ret.) Technology (ret.)
North Canton, Ohio Gaithersburg, Maryland
S. Frank Murray Costandy S. Saba
Dept. of Mechanical Engineering University of Dayton Research Institute
Rensselaer Polytechnic Institute Dayton, Ohio
Troy, New York
William Scales
Edward J. Myers Scales Air Compressor Corp.
Reynolds Metals Company Carle Place, New York
Richmond, Virginia
Richard C. Schrama
Harold J. Noble Dofasco, Inc.
Cincinnati Milacron Operating Services Technology
Cincinnati, Ohio Hamilton, Ontario, Canada
Joseph M. Perez Shirley E. Schwartz
Pennsylvania State University GM Research and Development Center
University Park, Pennsylvania Warren, Michigan
Douglas G. Placek Ronald L. Shubkin
FMC Corporation Albemarle Corporation
Princeton, New Jersey Baton Rouge, Louisiana
Jack Poley James H. Simpson, III
Lubricon Vogel Lubrication, Inc.
Beech Grove, Indiana Newport News, Virginia
Thomas E. Rajewski Donald J. Smolenski
CPI Engineering Services GM Research and Development Center
Midland, Michigan Warren, Michigan

John S. Straiton Frederick J. Villforth, III

Marketing Technical Services Texaco Research and Development
Exxon Beacon, New York
Houston, Texas
Donald F. Wilcock
Robert L. Thom Tribolock Inc.
National Aeronautics and Space Slingerlands, New York
Administration
Marshall Space Flight Center Zunde Yang
Alabama Dept. of Materials Science and
Engineering
Douglas Vallance Northwestern University
Cincinnati Milacron Evanston, Illinois
Cincinnati, Ohio.

I
Lubricant Properties

1 Typical Lubricating Oil
Properties
Chun-I Chen
CONTENTS
Typical Property Values of Lubricating Oils.........................................................................................3
Relations for Extending Physical Property Data................................................................................24
References...................................................................................................................................................32
Appendix.....................................................................................................................................................33
There are two components in this section. The first presents typical lubricating oil properties in
table format. The second gives correlations that can be used to estimate properties under other
conditions which are not included in the tables.
TYPICAL PROPERTY VALUES OF LUBRICATING OILS

The data presented in this section are condensed from thousands of product records collected
from manufacturers and data available in the literature. Typical values of most available proper-
ties are presented in Table 1. Additional tribological performance data are presented in Table 2.
Mineral oils are grouped by application. Synthetic oils are categorized by functional group.
The ID number for each record is provided for cross reference between Table 1 and Table
2. Records with the same ID number represent the same oil.
The “Type of Oil” column groups oils in terms of application. Within an application group,
lubrnicants of different specification are listed. The major property defined in a specification is
viscosity. For major applications, such as gear oils, the specific viscosity grading system is used.
For applications without a specific viscosity grading system, the ISO (International Standards
Organization) viscosity grading system is used.
The specification for engine oil is a combination of SAE (Society of Automotive Engineers)
viscosity grade and American Petroleum Institute (API) service grade. The description in the sec-
ond column of Table 1 is an abbreviation with two parts. The first part is a number or two num-
bers with a “W” in between that closely resembles the SAE grade. The second part consists of
one or more letters that indicate API service grade. Following are the abbreviations and their
meanings. Properties of motor oils for the SH service grade will generally match closely those
with a “G” designation, as is also the case for CG commercial service oil properties closely
matching those with an “F’ designation.
G API service grade SG

D API service grade CD
D2 API service grade CDII
E API service grade CE
F API service grade CF
3
0-8493-3904-9/97/$0.00+$.50
1997 by CRC Press LLC
4
Tribology Data Handbook
Typical Lubricating Oil Properties 5
6
8
10
12
14
16
18
20

22
24 Tribology Data Handbook
In most cases, the specification determines the formulation. If lubricants that meet the
same specification have roughly the same properties, only one set of typical values is given.
Sometimes, mainly due to the different base oil types, oils may meet the same specification but
have very different values in some properties. In such cases, two or more sets of values may
be listed. For example, both naphthenic mineral oils and paraffinic mineral oils can be formu-
lated to meet the AGMA #1 specification; however, they have very different viscosity-temper-
ature properties. Without a VI improver, paraffinic oils will show VI values around 100, where-
as naphthenic oils have typical values of less than 50.
The “AVG MW” column presents the average molecular weight of the lubricant oils.
The “Common Additives” column lists the additives commonly found in oils that meet the
given specification. The meanings of the abbreviations used in this column are listed as fol-
lows: C, anticorrosion; O, antioxidant; R, antirust; W, antiwear; F, defoam; DT, detergent; DS,
dispersant; EP, extreme pressure; FM, friction modifier; MD, metal deactivator; P, pour depres-
sant; VI, viscosity index improver.
RELATIONS FOR EXTENDING PHYSICAL PROPERTY DATA

VISCOSITY-TEMPERATURE RELATIONSHIP
ASTM method D341 can be used to obtain the viscosity-temperature relationship. A simpli-
fied form can be used to calculate the kinematic viscosity:
where:
log = logarithm to base 10
v = kinematic viscosity, [cSt] or [mm2/s]
T = Temperature, [K] or [°R]
A and B = dimensionless constants
The constants A and B can be evaluated for a fluid from two data points at different temperatures.
Kinematic viscosities or temperatures for other points can then be readily calculated. To use this equa-
tion, the kinematic viscosity should be larger than 2.0 centistokes. For lower viscosities, the constant
0.7 increases according to relations in ASTM D341. ASTM has available “Standard Viscosity-
Temperature Charts” which give a straight line relation for any oil represented by Equation 1. The
“Middle Range” chart of Figure 1 covers the temperature range of -40 to 150°C. Other charts extend
from -70 to 370°C for viscosities from 0.18 to 20 million cSt.
The viscosity index (VI) can be calculated by ASTM method D2270 and can be approximated
from Figure 2. This arbitrary measure gives a relative viscosity-temperature sensitivity, with 100 rep-
resenting little change in viscosity with temperature (the best paraffinic mineral oils in 1929) and 0 rep-
resenting a great change (the poorest naphthenic oils in 1929).
Note that the kinematic viscosity is related to dynamic viscosity as follows:
VISCOSITY-PRESSURE COEFFICIENT
The viscosity-pressure coefficient, α, is defined as:

Typical Lubricating Oil Properties
25
FIGURE 1 “Middle Range” Standard Viscosity-Temperature Chart. From American Society for Testing and Materials, Philadelphia, PA. With permission.
FIGURE 2 Viscosity index from kinematic viscoties at 40°C and 100°C.
The So correlation24,25 can be used to calculate the viscosity-pressure coefficient.
where:
α = pressure-viscosity coefficient, [10-8Pa-1]
m0 = viscosity-temperature property from the ASTM Walther equation and
equal to (ASTM slope)/0.2; ASTM slope = constant B in Equation 1
ν0 = atmospheric kinematic viscosity at the temperature of interest, [mm2/s]
r = atmospheric density at the temperature of interest, [103kg/m3]
Note: kinematic viscosity at 1 atm and the temperature of interest should be above 1.0.
Kinematic viscosity at pressure P and the temperature of interest can be obtained by the
following equation. Significant variation in this viscosity-pressure coefficient can be expected
when the pressure ranges above about 50–300 atm. (0.5–3 MPa).
where:
ν = kinematic viscosity at pressure P and at the temperature of interest, [mm2/s]
P = pressure, [GPa]
Po = atmospheric pressure (0.0001 GPa)
AVERAGE MOLECULAR WEIGHT

Equation (2B2.3-1) of the API Technical Data Book26 is used to estimate the molecular weight
of heavy petroleum fractions:
where:
M = molecular weight of petroleum fraction
ν100 = kinematic viscosity of petroleum fraction at 100°F (37.8°C), [cSt]
ν210 = kinematic viscosity of petroleum fraction at 210°F (98.9°C), [cSt]
sp gr = specific gravity, 60/60°F (15.6/15.6°C)
Alternately, Equation 2B2.1-1 of the API Technical Data Book26 can also be used.
where:
Tb = mean average boiling point of petroleum fraction, [°R]
THERMAL EXPANSION COEFFICIENT

The correlation from Table 6 of the “Petroleum Measurement Tables” of the API Manual of
Petroleum Measurement Standards is used to estimate the thermal expansion coefficient:

where:
ρT = density at the temperature T, [103kg/m3]
ρ60F = density at 60°F, [103kg/m3]
T = temperature, [°F]
THERMAL CONDUCTIVITY
Equation 12A3.1-1 of the API Technical Data Book26 is used to estimate the thermal conductiv-
ity of petroleum fraction liquids:
where:
k = thermal conductivity, [Btu/h/ft/F]. (1 Btu/h/ft/F = 1.7307 W/m/K.)
Another equation27 can also be used:
where:
k = thermal conductivity, [Btu in./(h ft2oF)]. (1 Btu in./(h ft2oF) =
0.1442279 W/m/K.)
SPECIFIC HEAT
Equation 7D2.2-1 of the API Technical Data Book26 is used to estimate the specific heat of
petroleum fraction liquids:

sp gr = specific gravity 60/60°F (15.6/15.6°C)

Tb = mean average boiling point of petroleum fraction, [°R]
If the kinematic viscosities at 100°F and 210°F are known, then Equation 3 can be used
to estimate the molecular weight. Equation 4 can then be used to estimate Tb. Another equa-
tion27 can also be used.
where:
Cp = specific heat, [Btu/Ib/°R] (1 Btu/Ib/°R = 4186.8 J/kg/K.)
sp gr = specific gravity 60/60°F (15.6/15.6°C)
BULK MODULUS
The Song correlation28 is used to estimate the bulk modulus. Only the values at 40°C and 1 atm
are given in Table 1.
The modulus estimated by this correlation is isothermal secant bulk modulus, which is
defined as:
where:
B = isothermal secant bulk modulus at pressure P and temperature T, [GPa]
V0,T = specific volume at pressure P0and temperature T, [cm3/g]
P = pressure, [GPa]
P0 = atmospheric pressure (0.0001 GPa)
VP,T = specific volume at pressure P and temperature T, [cm3/g]
The following equations and table are used in the correlation:
(a) Mineral oil lubricants and pure hydrocarbon
where:
BP,T = isothermal secant bulk modulus of mineral oil and pure hydrocarbon at
pressure P and temperature T, [GPa]
B0,T = isothermal secant bulk modulus at atmospheric pressure and temperture
T, [GPa]
log10(B0,T)= 0.3766*[log10(v0,T)]0.3307-0.2766
ν0,T = kinematic viscosity at atmospheric pressure and temperature T, [cSt]
AT = -0.01382T + 5.851
T = temperature, [°CJ
P = pressure, [GPa]
(b) Nonmineral oil based fluid

where:
B′P,T = isothermal secant bulk modulus of nonmineral-based fluid at pressure P
and temperature T, [GPa]
BP,T = isothermal secant bulk modulus from Equation 9, [GPa]
S = deviation factor for nonmineral-based fluids from the following table, [GPa]
Fluid Class Deviation Factor S [GPa]
Methyl silicone -0.755

Phenyl silicone -0.160
Perfluoropolyether -0.823
Polybutene -0.268
Poly(a-olefin) -0.091
Ester +0.092
Pentaerythritol ester +0.219
Phosphate ester +0.301
Polyphenyl ether +0.709
Once the bulk modulus at the temperature and pressure of interest is obtained by Equation 9 or 10,
Equation 8 can then be used to calculate the specific volume or density at that temperature and pres-
sure.
FIRE AND FLASH POINT

The COC flash point (ASTM D92) is given for all of the liquid lubricants in the database. The fire
points (ASTM D92), on the other hand, are not generally available for many lubricant formulations.
The fire point is equal to 1.1 times the flash point for single fractions from vacuum distillation. When
several fractions of mineral oil are blended to produce a finished lubricant, the fire point is higher than
1.1 times the flash point. Since the same finished product, e.g., a 10W-30 motor oil, can be prepared
from either a single mineral oil fraction or several mineral oil fractions, a supplier usually gives only the
flash point. In Table 1, the fire point has been established using the relationship for a single mineral
oil fraction. This means that the fire point of products prepared from blends of mineral oil fractions
will be somewhat higher than those given in the table. The flash and fire points are given in Table 1
to the closest 5°C.
CLOUD AND POUR POINT
The cloud point is the temperature at which the oil becomes cloudy, indicating the formation of a sec-
ond insoluble phase, usually due to wax formation as described in ASTM D2500. The pour point is
the temperature at which the oil ceases to flow as described in ASTM test procedure D97. The low-
temperature use of a fluid is primarily limited by the pour point, which can be influenced by the use
of pour depressants. For a given pour point, the cloud point may vary considerably due to the com-
pleteness of the dewaxing and the effectiveness of the pour depressant. Since the cloud point is not
directly involved in low-temperature pumpability or flow tests and is not generally available for fin-
ished lubricant formulations, no cloud point values are presented in the database.
GAS SOLUBILITY
A semiempirical correlation proposed by Beerbower (Beerbower, 1980) can be used to estimate the
solubility of gases at atmospheric pressure.

Liquid solubility parameter, S1, is approximately 18.0 for diesters commonly used in aircraft
fluids, 18.5 to 19.0 for higher esters, 18.41 for methyl phenyl silicone, 15.14 for dimethyl sili-
cone, 18.29 for tri-2-ethylhexyl phosphate, and 18.82 for tricresyl phosphate.
Some gas solubility parameters, S2, are given in the following table.29
Effect of dissolved gases on viscosity of lubricants at 1000 psi (7.0 MPa) is shown in the
following table.29
VAPOR PRESSURE OF LUBRICATING OILS

Some vapor pressure data are shown in the following table.23
REFERENCES
1. Exxon Product Summary, Exxon Company, Houston, TX (1990).

2. 1991 Lubricating Oil, Grease and Antifreeze/Coolant Digest, Texaco Lubricants Company North
America, Houston, TX (1991).
3. Product Salesfax Digest, Chevron Research and Technology Company, Richmond, CA (1991).
4. Mobil Brief Product Descriptions, Mobil Oil Corporation, Fairfax, VA (1989).
5. Product Guide, Conoco Inc., Houston, TX (1991).
6. Specific data sheets from Pennzoil Company, Houston, TX (1991).
7. GE Silicones, General Electric Company, Waterford, NY (1991).
8. Information about Silicone Fluids, Dow Corning Corporation, Midland, MI.
9. Information about MOLYKOTE® Specialty Lubricants, Dow Corning Corporation, Midland, MI.
10. Polyphenyl ether data from Monsanto, St. Louis, MO.
11. The Polyglycol Handbook, The Dow Chemical Company, Midland, MI (1988).
12. UCON Fluids & Lubricants, Union Carbide Corporation, Danbury, CT (1987).
13. Durad Lubricant Additives, FMC Corporation, Philadelphia, PA.
14. KRYTOX General Purpose Lubricants, Du Pont Company, Wilmington, DE (1988).
15. KRYTOX Fluorinated Oils, Du Pont Company, Wilmington, DE (1988).
16. List of Specifications for Du Pont Code Lubricants, Du Pont Company, Wilmington, DE (1986).
17. Product Information, Keystone Lubricants Division, Elf Lubricants North America, Inc., King of
Prussia, PA.
18. Lubricants for Switches and Electric Contacts, William F. NYE, Inc., New Bedford, MA.
19. Booser, E. R., Ed., CRC Handbook of Lubrication, Vol. 1 (1983) and Vol. 2 (1984), CRC Press, Boca
Raton, FL.
20. 1990 Annual Book of ASTM Standards, Section 5, Vols. 1–3, ASTM, Philadelphia, PA (1990).
21. MIL-L-7808, Standardization Documents Order Desk, Building 4D, 700 Robbins Avenue,
Philadelphia, PA 19111-5094.
22. MIL-L-23699, Standardization Documents Order Desk, Building 4D, 700 Robbins Avenue,
Philadelphia, PA 19111-5094.
23. Tables of Useful Information, Lubetext DG-400, Exxon Corp., Houston, TX (1992).
24. So, B. Y. C. and Klaus, E. E., Viscosity-pressure correlation of liquid, ASLE Trans., 23, 4, 409
(1980).
25. Wu, C. S., Klaus, E. E., and Duda, J. L., Development of a method for the prediction of pressure-
viscosity coefficients of lubricating oils based on free-volume theory, J. Tribol., 111, 121 (1989).
26. Daubert, T. E. and Danner, R. P., Technical Data Book — Petroleum Refining, 4th ed., American
Petroleum Institute, Washington, D.C. (1992).
27. Cragoe, C. S., Thermal Properties of Petroleum Products, Miscellaneous Publication of the Bureau
of Standards No. 97, Washington, D.C, (1929).
28. Song, H. S., Klaus, E. E., and Duda, J. L., Prediction of bulk moduli for mineral oil based lubri-
cants, polymer solutions, and several classes of synthetic fluids, J. Tribol., 113, 675 (1991).
29. Klaus, E. E. and Tewksbury, E. J., Liquid lubricants, in CRC Handbook of Lubrication, vol. 2, Booser,
E. R., Ed., CRC Press, Boca Raton, FL, 1984, 242.
30. Beerbower, A., Estimating the solubility of gases in petroleum and synthetic lubricants, ASLE
Trans., 23, 335 (1980).

APPENDIX
GENERAL DESCRIPTION OF THE GROUPING CATEGORIES

Adhesive Oil: This category includes lubricants used in machine slideways and chain oils.
Lubricants in this category contain tackiness additives to improve the adhesiveness.
Compressor Oil, Food Grade: Lubricants in this category can be used in the environment where
there is the possibility of incidental contact with food.
Compressor Oil, Other: All other compressor oils except food grade oils.
Engine Oil, Piston, Automotive: Engine oils used for automotive piston engines including gaso-
line and diesel engines.
Engine Oil, Piston, Diesel: Engine oils used specifically for diesel engines.
Engine Oil, Piston, Aircraft: Engine oils used in aircraft piston engines.
Engine Oil, Piston, Gas: Engine oils used in piston engines fueled by natural gas or propane.
Engine Oil, Piston, Marine: Diesel engine oils used in marine applications.
Engine Oil, Piston, 2 Cycle: Engine oils for two-cycle piston engines.
Engine Oil, Gas Turbine, Aircraft: Engine oils for aircraft gas turbine engines.
Engine Oil, Gas Turbine, Land-Based: Engine oils for land-based gas turbine engines.
Flushing Oil: This category includes petroleum base oils and once-through oils. They are prepared
with no additives or with additives that produce a protective film after flushing.
Gear Oil, AGMA R&O: Rust and oxidation inhibited gear oils.
Gear Oil, AGMA EP: Gear oils that contain EP additives in addition to rust and oxidation
inhibitors
Gear Oil, AGMA Comp.: Gear oils with rust and oxidation inhibitors and friction modifiers.
Heat Transfer Oil: Oils used in heat transfer operations.
Hydraulic Oil: Oils used in hydraulic systems. They are usually formulated for good oxidation sta-
bility and lubricity.
Machine Oil (Utility Oil): General purpose lubricants.
Paper Machine Oil: Circulating oils in paper machines.
Refrigeration Oil: Refrigeration compressor lubricants.
Steam Turbine Oil: Circulating oils used in steam turbine systems.
Textile Oil: Lubricants for textile machinery parts.
Transformer Oil: Oils used in circuit breakers, switches, transformers, and other electrical appara-
tus for insulating, cooling, or both.
Transmission Oil, ATF: Automatic transmission fluids.
Transmission Oil, Automotive Gear Oil: Automotive manual transmission fluids.
Transmission Oil, Tractor Hydraulic Fluid: Fluids used in transmissions, final drives, wet brakes,
and hydraulic systems of tractors.

2 Comparison of Properties of
Synthetic Fludis*
Wilfried J. Bartz
* Supplied by Prof. Wilfred J. Bartz.

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34
Comparison of Properties of Synthetic Fluids 35
36

3 Polyalphaolefins
Ronald L. Shubkin
Polyalphaolefin (PAO) fluids are synthetic hydrocarbons designed to provide superior lubri-
cation performance over a wide temperature operating range.1 They are manufactured by a
two-step process from linear alpha-olefins, which are themselves produced from ethylene.
The first synthesis step entails oligomerization, which simply means a polymerization to rel-
atively low molecular weight products.
alpha-Olefin → Dimer + Trimer + Tetramer + Pentamer, etc.
For the production of low-viscosity (2 to 10 cSt @ 100°C) PAO fluids, the catalyst for
the oligomerization reaction is boron trifluoride. The BF3 catalyst is used in conjunction with
a protic co-catalyst such as water, an alcohol, or a weak carboxylic acid. The BF3· ROH cata-
lyst system is unique because of its ability to form highly branched products with the
oligomer distribution peaking at the trimer. High-viscosity (40 and 100 cSt @ 100°C) PAO
fluids are manufactured using Ziegler-Natta catalysts such as alkylaluminum compounds in
conjunction with organic halides.
The second step in the manufacturing process is hydrogenation of the unsaturated
oligomer to enhance chemical inertness and oxidative stability. The reaction is carried out
over a metal catalyst such as nickel or palladium. Distillation of the reaction mass to give spe-
cific product cuts may be done before or after hydrogenation.
One distinct advantage in the manufacture of PAO fluids is that they can be “tailor-
made” to fit end-use requirements by manipulation of reaction variables which include:2
• Chain length of olefin raw material

• Temperature
• Time
• Catalyst and co-catalyst type and concentration
• Distillation of final product.
Although choice of starting olefin can exert a major influence on product properties,
commercial PAOs are generally derived from 1-decene to provide the broadest range of
operational temperature.
The following tables list properties of various grades of commercial decene-derived PAO
base fluids.3 The widely used convention for designating the PAO grade is to use the kine-
matic viscosity (KV) in centistokes (cSt) at 100°C. In other words, a PAO fluid with KV100°C
of approximately 2 cSt would be referred to as PAO 2. Differences in properties among the
various grades illustrate what can be accomplished by manipulation of the reaction parame-
ters. Some products are coproduced and separated by distillation. The properties listed in
Tables 1 to 5 are typical of base fluids currently available; they do not represent the specifi-
cations of any particular producer and do not include property enhancements that can be
obtained by the proper choice of additives.
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37

Polyalphaolefins 39
REFERENCES
1. Shubkin, R. L., Polyalphaolefins, Synthetic Lubricants and High-Performance Functional Fluids Shubkin,
R. L., Ed., Marcel Dekker, New York, 1992, 1–40.
2. Shubkin, R. L. and Kerkemeyer, M. E., Tailor Making PAOs, 7th Int. Colloq. Automotive
Lubrication, Technische Akademie Esslingen, Federal Republic of Germany, January 16–18, 1990;
also, J. Synth. Lubr., 8(2): 115–134, 1991.
3. Shubkin, R. L., Polyalphaolefins, CRC Handbook of Lubrication and Tribology, Vol. 3, Booser, E. R.,
Ed., CRC Press, Boca Raton, FL, 1994, 219–252.


Polyalphaolefins 41

crc3904-Sec01-CH-004.qxd 7/31/2007 1:12 PM Page 42
4 Organic Esters
Bruce J. Beimesch
The investigation of synthetic esters as lubricants goes back to the 1930s. From that original
foundation, extensive research has led to the commercialization of numerous esters that find
utility in almost every area of lubrication. Applications include the lubrication of sump sys-
tems such as automotive gasoline and diesel engines, car and truck axles and transmissions,
industrial gear boxes, oven chain and conveyer systems, both air and water cooled 2-stroke
engines, turbine aircraft and stationary engines, hydraulic systems, and many other applica-
tions. Synthetic esters have been utilized in synthetic greases for both high and low temper-
ature applications since the 1950s. Military specifications for synthetic greases demand torque
testing at -100°F.
There are many types of organic esters suitable as lubricants and these include:
Diesters
Polyol esters
Dimer esters
Aromatic esters
Monoesters
Esters are the reaction products of organic acid and an organic base.
Organic Acid + Organic Base → Ester + Water
The organic carboxylic acids are derived from natural and petrochemical processes. They
can be monofunctional and polyfunctional. The organic alcohols, derived mainly from petro-
chemical processes, likewise can be simple alcohols or polyfunctional polyol alcohols such as
pentaerythritol, neopentyl glycol, and trimethylolpropane. The properties of the ester can be
controlled or tailored by the choice of organic acid and alcohol used in the esterification.
The following tables list over 40 of the most common commercially available synthetic
ester basestocks. The common properties are listed and should be useful to the lubricant for-
mulator as well as design engineers. The properties are typical of commercial material. There
may be some variation in the same ester, but these will be minor. Esters also respond favor-
ably to additives used to enhance performance, such as antioxidants, corrosion inhibitors,
anti-wear agents, and load-carrying additives. Some data are included on biodegradability that
utilized the CEC L-33-A-94 test method. In general esters are readily biodegradable, and this
feature is important to formulators who are developing ecologically compatible lubricants.
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1997 by CRC Press LLC 42
Organic Ester 43
Organic Ester 45
FIGURE 1 Lubricants, synthetic oils: thermal conductivity vs. temperature, —, MIL-L-7808,

—-, MIL-L- 23699. (From Data Book for Designers, Exxon Company, Houston, TX, 1973. With
permission.)

Organic Ester 47
FIGURE 2 Thermal expansion, expansion factor vs. temperature, —, Ester lubricants; —-,
petroleum lubricants. Multiply volume at 60°F by Expansion Factor to obtain approximate vol-
ume at desired temperature. (From Data Book for Designers, Exxon Company, Houston, TX,
1973. With permission.)
FIGURE 3 Lubricants, synthetic oils: specific heat vs. temperature. Solid line, diester; dashed
line, petroleum. (From Data Book for Designers, Exxon Company, Houston, TX, 1973. With per-
mission.)

REFERENCES
1. Gunderson, R. C. and Hart, A. W., Synthetic lubricants, Reinhold Publishing, New York, 1962.
2. Shubkin, R. L., Synthetic lubricants and high-performance functional fluids, Marcel Dekker, New
York, 1993.
3. Perez, J. M. and Klaus, E. E., Dibasic acid and polyol esters, in CRC Handbook of Lubrication and
Tribology, Vol. 3, Booser, E. R., Ed., CRC Press, Boca Raton, FL, 1994, 237–252.
4. Data Book for Designers, Exxon Company, Houston, TX, 1973.

crc3904-Sec01-CH-005.qxd 7/26/2007 7:45 AM Page 49
5 Polyalkylene Glycols
William L. Brown
CONTENTS
Structure............................................................................................................................................49
Nomenclature...................................................................................................................................49
Sequencing.........................................................................................................................................52
References.........................................................................................................................................59
STRUCTURE
Polyalkylene glycols (PAGs) are usually made from the reaction of ethylene and/or propy-
lene oxides with a nucleophilic starter, such as an alcohol. They can be represented by the fol-
lowing structure:
R = H or alkyl group
R´ = H, CH3, or alkyl group
R´´ = H or alkyl group
NOMENCLATURE
The polyalkylene glycols described in this chapter use the following nomenclature:
# - AX - **** - Y
# Weight percentage of polymerized EO in the PAG; the remainder of the

monomer feed is PO.
A O for oil soluble; W for water soluble at 20°C
X Represents the starter alcohol. M = methanol; B = butanol; D = low
molecular weight diol such as ethylene glycol, diethylene glycol, propylene
glycol, or dipropylene glycol.
**** Average molecular weight of the polyalkylene glycol.
Y Represents the monomer sequencing. R = random; Bn = normal block
sequencing, (EO)X- (PO)y- (EO)X; Br = reverse block sequencing, (PO)X-
(EO)X- (PO)X. Polymers made from 100% propylene oxide are not fol-
lowed by a monomer sequencing letter.
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Polyalkylene Glycols 51
SEQUENCING
The sequencing of the oxide monomers can be random or blocked:
random PAG = M-ABBAABAAABABABABB or BAABABBBAA-D-BBBABAAB

blocked PAG = AAAAABBBB-D-BBBBAAAAAA or M-BBBBBBBBBAAAAAAAAA
M is a monofunctional alcohol starter
D is a diol starter
A, B are alkylene oxide monomers


FIGURE 1 Viscosity of assorted oil-soluble polyalkylene glycols as a function of temperature.

(From UCON® Fluids & Lubricants, Union Carbide Corp., Tarrytown, NY, 1979. With per-
mission.)

FIGURE 2 Viscosity of assorted water soluble polyalkylene glycols as a function of temper-

ature. (From UCON® Fluids & Lubricants, Union Carbide Corp., Tarrytown, NY, 1979. With
permission.)

FIGURE 3 The viscosity of aqueous solutions of assorted polyalkylene glycols. (From

UCON®) Fluids & Lubricants, Union Carbide Corp., Tarrytown, NY, 1987. With permission.)

FIGURE 4 The FDA status of various random polyalkylene glycols. (From UCON® Fluids &
Lubricants, Union Carbide Corp., Tarrytown, NY, 1992. With permission.)

REFERENCES
1. Technical literature, UCON® Fluids & Lubricants, Union Carbide Corp., Tarrytown, NY, 1987.
2. Technical literature, Technical Data on Pluronic® Polyols, BASF Wyandotte Corp., MI, 1978.
3. Technical literature, Technical Data on Plurionic® Nonionic Surface Active Agents, BASF
Wyandotte Corp., 1978.

6 Phosphate Esters
D. G. Placek and M. P. Marino
Phosphate esters were first introduced as antiwear additives for lubricants in the 1930s.
Original applications included automotive crankcase lubricants, gear oils, and aircraft engine
oils. Phosphate esters were identified as less flammable hydraulic fluid base stocks in the
1940s, increasing the safety of new aircraft designs that made increasing use of hydraulic con-
trol systems. This section will present the physical and performance properties of commer-
cially available phosphate esters used as functional fluid base stocks, lubricant base stocks,
and lubricant antiwear additives.
Neutral, trisubstituted, or tertiary esters of orthophosphoric acid are represented by the
general structure:
Phosphate esters are commercially available as trialkyl, alkyl/aryl, or triaryl phosphates.

Trialkyl phosphates are symmetrical (R’ = R” = R’”), and are based on straight or branched
alkyl groups which contain from 2 to 8 carbons. The first commercialy significant triaryl
phosphate esters produced were tricresyl phosphate (TCP) and trixylenyl phosphate (TXP),
which are referred to as “natural” phosphate esters because the cresols and xylenols used in
their manufacture are derived from petroleum oil or coal tar extracts. “Synthetic” analogs of
the natural phosphate esters were developed in the 1960s in order to overcome raw material
availability concerns and lower product costs. Isopropylphenyl and tertiarybutylphenyl phos-
phate esters are now commercially available in a variety of viscosity grades. Typical chemical
structures for several triaryl phosphates are shown below:
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Phosphate Esters 61
The only alkyl/aryl phosphates which are currently used by the lubrication industry are
dibutyl phenyl phosphate and isodecyl diphenyl phosphate.
The physical property and performance data presented in this section are gathered from a
variety of commercial literature and technical publication sources. The authors have attempt-
ed to present the most accurate and current data possible by selecting data points that are rep-
resentative of the average value expected from a standard commercially available material.
ACKNOWLEDGMENT
The authors wish to thank Mr. Jeff Kimak, Mr. Arvind Rao, and Ms. Victoria Baikova for their
assistance in generating data and searching the literature to ensure the accuracy of this publi-
cation. We also wish to thank the Process Additives Division of FMC Corporation for sup-
porting this effort.


Phosphate Esters 63

Phosphate Esters 65
Phosphate Esters 67


Phosphate Esters 69

Phosphate Esters 71

Phosphate Esters 73

FIGURE 1 Viscosity/pressure relationship of IPPP/46 phosphate ester fluids.4
REFERENCES
1. M. P. Marino and D. G. Placek, Phosphate Esters, Booser, E. R., Ed., CRC Handbook of
Lubrication and Tribology, Vol 3: Monitoring, Materials, Synthetic Lubricants and Applications,
CRC Press, Boca Raton, FL, 1994, 269.
2. Marino, M. P., Phosphate esters, Shubkin, R. L., Ed., Synthetic Lubricants and High-Performance
Functional Fluids, Marcel Dekker, New York, 1992.
3. Durad® Lubricant Additives, FMC Corporation, Philadelphia, 1994.
4. Reolube® HYD Fire Resistant Fluids, FMC Corporation, Trafford Park, Manchester, U.K., 1994.
5. Houghto-Safe® 1000 Series Phosphate Ester Fluids, Houghton International Inc., Valley Forge,
PA, 1990.
6. Fyrquel® Fire Resistant Hydraulic Fluids, Tech. Bulletin 88–151, Akzo Chemicals Inc., Chicago,
IL, 1988.
7. FMC Corporation, Philadelphia, unpublished data.
8. Schulz, W. W., Navratil, J. D., and Bess, T., Science and Technology of Tributyl Phosphate, CRC
Press, Boca Raton, FL, 1989.
9. Hatton, R. E., Phosphate Esters, Gunderson, R. C. and Hart, A. W., Eds., Synthetic Lubricants,
Reinhold, New York, 1962, chap. 4.
10. Sears, J. K. and Darby, J. R., The Technology of Plasticizers, SPE Monograph, J. Wiley & Sons,
New York, 1982.
11. Phillips, W. D., Phosphate Esters, Totten, G., Ed., A Handbook of Hydraulic Fluid Technology,
Marcel Dekker, New York, 1997.

7 Silicones
E. D. Brown
CONTENTS
Nature of Silicones..........................................................................................................................75
Dimethylpolysiloxane......................................................................................................................76
Modified Dimethylpolysiloxanes...................................................................................................76
Methylphenyl or Diphenyldimethylpolysiloxane.........................................................................78
Methylalkyl and Methylarylalkylpolysiloxanes.............................................................................78
Greases...............................................................................................................................................78
References.........................................................................................................................................79
Silicones have been on the market for over 50 years and have become industry standards in
a wide variety of demanding applications. The fluids and greases continue to play a major role
in many applications where nothing else will serve or where their superior performance jus-
tifies their high cost. In lubrication, for example, bearings lubricated with either silicone oils
or greases commonly last 3 to 20 times longer at high temperatures than their organic coun-
terparts.
NATURE OF SILICONES
The term “silicone” is shorthand for the more descriptive designation “organopolysiloxane.”
The silicone fluids are clear, water white, nontoxic materials, inert, tasteless and odorless.
Since they are synthetic, built up from building block units, a nearly infinite number of com-
binations of molecular structure are possible. They consist of a chain skeleton of alternating
silicon and oxygen atoms with various groups occupying the remainder of the valances
(Figure 1). These are either organic groups or such functional moieties as hydrogen or
hydroxy units.
FIGURE 1 Siloxane surface orientation.

With relatively standard organochemical techniques, one can add a wide variety of side
units to the basic silicon-oxygen chain, and substantial literature covers them. Practical con-
siderations, however, have dictated that the following are those finding the most use.
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DIMETHYLPOLYSILOXANE
This dimethyl family is by far the most common of the silicones. There are, for example, 20 stan-
dard viscosity grades, ranging from 5 to 600,000 cSt at 25°C. By use of standard blend charts
(Figure 2) any intermediate viscosity fluid can be prepared. With the exception of pour point for
fluids over 60,000 cSt (600,000 fluid has a pour point of -32°C), and volatility and flash point for
fluids under 50 cSt, all properties other than viscosity are essentially the same for fluids of all vis-
cosities. Among the many applications for these fluids, they are used in polishes, release agents,
antifoam agents, damping fluids, and light duty lubricants — particularly for plastics.
FIGURE 2 Blend scale for intermediate viscosities.
The most unique properties of these fluids include their viscosity-temperature characteris-
tics, their low temperature fluidity, their resistance to shear breakdown, and their low surface
tension. No other fluid has a smaller change in viscosity with temperature (Figure 3). Their
pour points are below -55°C, and their surface properties as shown by their low Van der Waals
forces are responsible for their outstanding release and antifoam characteristics.
MODIFIED DIMETHYLPOLYSILOXANES
Addition of small amounts of phenyl, chlorophenyl, or branched-chain dimethyl dramatically
lowers the pour point and makes these fluids useful under extreme conditions (Table 1).
Silicones 77
FIGURE 3 Viscosity/temperature relationships for dimethylsiloxanes. Centistokes viscosities

at 25°C given at right. (From Demby, D. et al., in Synthetic Lubricants and High Performance Fluids,
Shubkin, R. L., Ed., Marcel Dekker, New York, 1992, 183.)

METHYLPHENYL OR DIPHENYLDIMETHYLPOLYSILOXANE
Addition of relatively large amounts of phenyl improves both the oxidative stability and radi-
ation resistance of these fluids. This stability leads to their use in high temperature greases and
as snubber fluids in nuclear reactors. Their almost indefinitely long life at 260°C (500°F)
comes, however, at the cost of losing some of the flat viscosity-temperature characteristics of
the dimethyl polysiloxane (Figure 4).
FIGURE 4 Viscosity/temperature relationships for a number of siloxanes. (From Barnes, J.

E. and Wright, J. H., 55th NLGI Annu. Meeting, Tampa, FL, 1988.)
METHYLALKYL AND METHYLARYLALKYLPOLYSILOXANES

Longer chain alkyl groups and unsaturated aryl groups such as the styrenes can also be added
to the basic silicon-oxygen skeleton. These groups produce a product which not only allows
treated surfaces to be painted or soldered, but also protects metal combinations such as alu-
minum-steel where other lubricants fail.
GREASES
Although all of the fluids can be made into greases, the most common are those made with
phenyl-containing fluids. For the best lubrication, specialty greases are made with either the
chlorophenyl or methyl alkyl fluids (Table 2).

Silicones 79
REFERENCES
1. Brown, E. D., Methyl alkyl silicones. A new class of lubricant, ASLE Trans., 9, 31, 1966.
2. Barnes, J. E. and Wright, J. H., Silicone greases and compounds: their components, properties, and
applications, NLGI 55th Annual Meeting, Tampa, FL, 1988.
3. Hardman, B. and Torkelson, A., Silicones, John Wiley & Sons, New York, 1989.
4. Demby, D. H. et al., in Synthetic Lubricants and High Performance Fluids, Shubkin, R. L., Ed.,
Marcel Dekker, New York, 1992, 183.
5. Brown, E. D., in Handbook of Lubrication and Tribology, Vol. 3, Booser, E. R., Ed., CRC Press,
Boca Raton, FL, 1994, 305–321.

8 Perf luoroalkylpolyethers
Gregory A. Bell
INTRODUCTION
Perfluoroalkylpolyether (PFPE) fluids are composed entirely of carbon, fluorine, and oxy-
gen. They are colorless, odorless, completely inert to most chemical agents including oxygen,
compatible with most other materials and liquid over a wide temperature range. Physical
properties such as those given in Table 1 vary with molecular weight. Chemical properties and
stability usually depend more on chemical structure than on molecular weight.
The following four distinct types of PFPE oils are commercially available. Although all
PFPE types exhibit similar physical and chemical properties, there are small and sometimes
significant differences.
PFPE-1 CF3CF2CF2O-[CF(CF3)CF2-O-]nCF2CF3
PFPE-2 CF3O-[CF(CF3)CF2-O-]y-[CF2-O-]mCF3
PFPE-3 CF3O-[CF2CF2-O-]z-[CF2-O-]pCF3
PFPE-4 CF3CF2CF2-O-[CF2CF2CF2-O-]qCF2CF3
Both PFPE-1 and PFPE-2 are nonlinear molecules because the polymer chains contain
pendant trifluoromethyl groups, (-CF3). PFPE-4 and PFPE-3 contain no pendant groups and
are linear. The linear PFPE structures show less change of viscosity with temperature and
pressure when compared to nonlinear PFPE.
PFPE-1 has a fully shielded polymer chain. PFPE-2 has a partially shielded polymer
chain. PFPE-3 and PFPE-4 have nonshielded polymer chains and are thus not protected
from acid-catalyzed cleavage.
REFERENCES
1. DelPesco, T. W., Perfluoroalkylpolyethers, in CRC Handbook of Lubrication and Tribology, Vol.

3, Booser, E. R., Ed., CRC Press, Boca Raton, FL, 287–303, 1994.
2. DelPesco, T. W., Perfluoroalkylpolyethers, in Synthetic Lubricants and High Performance Functional
Fluids, Shubkin, R. L., Ed., Marcel Dekker, New York, 1992.
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Perfluoroalkylpolyethers 81






9 Polychlorotrifuoroethylenes
Louis L. Ferstanding
Polychlorotrifluoroethylene (PCTFE) oils and greases are inert, nonflammable lubricants.

Unlike hydrocarbon-containing lubricants, they are used with very aggressive oxidizing and
acidic chemicals without danger of fire or explosion. The following property information is
helpful in choosing which grade of inert oil to choose for specific applications.
As the viscosity and molecular weight of the halocarbon oil grades increase, so do the
density and pour and cloud points. Table 1 lists the viscosities and densities at several tem-
peratures, as well as the pour and cloud points and the refractive indices. The grade numbers
represent the viscosity in centistokes at 100°F.
The high density of these oils (almost 2) means that the viscosity in centipoises is about
twice the centistokes value; in hydrocarbon-based fluids (with densities of approximately 1),
centiposie and centistokes values are about the same. When changing to a halocarbon oil the
proper viscosity in centipoises should be used to determine the grade.
Where the lubricating situation calls for an inert grease, the properties given in Table 2
will be helpful in choosing the appropriate grade.
The viscosity of PCTFE oils change significantly with temperature. Figure 1 is a viscos-
ity-temperature chart using ASTM D-341, showing the changes for the whole range of oils,
which provides the information necessary to choose the appropriate oil grade.
For some applications it is helpful to know the vapor pressure at operating temperature.
Figure 2 gives typical pressures for all the grades. There are also PCTFE oils designed for
pump use which have significantly lower vapor pressures.
A variety of miscellaneous physical properties are compiled in Table 3.
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Polychlorotrifluoroethylenes 89

crc3904-Sec01-CH-009.qxd
Polychlorotrifluoroethylenes
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FIGURE 1 Typical viscosity vs. temperature of polychlorotrifluoroethylene oils. (Modified ASTM D-341.) Centipoise scale
91
assumes a fixed
Copyright density
© 1997 of 1.92.
CRC Press, (From Halocarbon® Inert Lubricants, Halocarbon Products Corp., 1996. With permission.)
LLC.
FIGURE 2 Typical vapor pressures for halocarbon oils. (From Halocarbon® Inert Lubricants,
Halocarbon Products Corp., 1996. With permission.)

Polychlorotrifluoroethylenes 93

10 Polybutenes
Polybutenes are synthetic hydrocarbon polymers manufactured by the cationic polymerization of

isobutene-rich raffinate streams available from sources that include naphtha steam cracking and
refinery catalytic cracker operations. Polybutenes and liquid polymers available commercially in
a wide range of viscosities from free flowing oils to viscous semisolid rubbers.
The nomenclature used to define a particular grade of polybutene can be based on SSU vis-
cosity (grade number = SSU viscosity at 100°C divided by 100) or reference to molecular weight.
Grades representative of polybutenes available with typical property data are shown in Table
1. Viscosity and density against temperature relationships are provided in Figures 1 and 2.
As products, polybutenes are essentially nontoxic, water white in color, and stable to light and
air under normal storage conditions. High viscosity index and inherent tackiness are associated
with polybutenes are relatively volatile compared to an equiviscous polyalphaolefin (PAO), and
show high rates of evaporation. Volatile loss is much reduced as the molecular weight of the
polybutene increases (Figure 3). At temperatures of between 250 and 275°C, polybutenes under-
go a thermal depolymerization involving breakdown of the polymer chain into lower molecular
weight hydrocarbons (Figure 4). This thermal route to decomposition occurs, leaving no carbon
residue or staining on metal surfaces.
Polybutenes are nonpolar and readily soluble in a range of organic solvents (Table 3). For
lubricant applications, polybutenes are normally combined with other base fluids, and compati-
bility is found with all types of mineral oils, PAOs, alkyl benzenes, and most types of synthetic
esters (Table 4). Examples of viscosity curves for combinations of polybutene with other base
oils are shown in Figures 5 to 7.
Polybutenes are used as a major component of 2-stroke engine oils (Table 5), high-pressure
polyethylene compressor lubricants, metal-working lubricants, and speciality greases (Table 6)
where the prime desire is for low smoke, low deposits or low toxicity and where volatility and
oxidation resistance are less critical. At lower levels in formulations, the more viscous grades of
polybutene are used for viscosity adjustment, viscosity index improvement, and to provide adhe-
siveness, tackiness, and resilience for greases and energy-efficient automotive and industrial oils.
Polybutenes are a versatile class of polymer and impart a number of key performance ben-
efits to these types of lubricants (Table 7). The typical chosen for use in the different oil and
lubricants sectors are summarized in Table 8.
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Polybutenes 95
FIGURE 1 Viscosity vs. temperature relationship for polybutenes.
FIGURE 2 Density vs. temperature relationship for polybutenes.

Polybutenes 97
FIGURE 3 Volatile loss of polybutene held at temperatures 100 to 180°C over a 10-h test
period following ASTM D972 text method.

FIGURE 4 Thermogravimetric analysis of polybutenes in air, showing volatile loss preceding

polymer depolymerization at 250 to 275°C.

Polybutenes 99
FIGURE 5 Polybutene blended with solvent neutral 1 50 mineral oil at 100°C.

FIGURE 6 Polybutene blended with 4 cSt polyalphaolefin at 40°C.
FIGURE 7 Polybutene blended with 13 cSt diester at 100°C.

Polybutenes 101


11 Vegetable Oils — Structure and

Performance
Saurabh S. Lawate, Kasturi Lal, and Chor Huang

CONTENTS
Introduction....................................................................................................................................103
Composition...................................................................................................................................104
Structure/Performance Relationships........................................................................................104
Performance Properties................................................................................................................104
Applications....................................................................................................................................104
Acknowledgments..........................................................................................................................109
Notes and References....................................................................................................................115
INTRODUCTION
Vegetable oils are found in the seed or fruit of various plants.1,2 They are predominantly tri-
acylglycerols (triglycerides) in which three fatty acid groups are esterified to a glycerol back-
bone (Figure1).3
FIGURE 1 Structure of a triacylglycerol.
Vegetable oils have to be extracted or expressed from the plant tissue in the “crude”
form. The “crude” vegetable oil, although predominantly a triglyceride, contains several
minor components like steroids, pigments, waxes, etc. In most applications these minor com-
ponents and other impurities are removed, using specific purification steps. Purification
involves one or all of the following steps: refining (free fatty acid removal), bleaching (color
removal), deodorization (free acid and peroxide removal), winterization (wax removal).4
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COMPOSITION
The physical and performance properties of a purified vegetable oil are largely influenced by the fatty
acid groups present in the triacylglycerol (Figure 1).
Common vegetable oils contain a combination of saturated and unsaturated fatty acids (Table 1).
The double bonds in unsaturated fatty acids generally have the cis configuration. Some vegetable oils
also contain significant amounts of fatty acid groups with chemical functionality, in addition to the sat-
urated and unsaturated fatty acids (Table 2). Examples of vegetable oils containing special functional-
ity are castor and lesquerella oils (hydroxy functionality),5 vernonia oil (epoxy function-ality),6 and
meadowfoam oil (multiple double bonds separated by more than two carbon atoms).7Because of the
presence of chemical functionality (Figure 5) these oils can be subjected to unique chemical modifi-
cations that can be exploited in lubricating applications.8-10
The chemical structures of various fatty acids found in vegetable oils are shown in Figures 2 to 5.
STRUCTURE/PERFORMANCE RELATIONSHIPS
Qualitative generalizations can be made about the structure-performance relationships for common
vegetable oils. Thus, it can be seen from Table 3 that oxidative stability increases with decreasing unsat-
uration, while the reverse holds true for low temperature properties. Because of this, the use of either
highly saturated or highly polyunsaturated vegetable oils in lubricant applications is limited.
In contrast to these extremes, a special class of oils, containing a high oleic content ( ≥75% oleic)
and low polyunsaturated fatty acid content (linoleic and/or linolenic), displays good oxidative stabili-
ty with acceptable low temperature properties.11,12 This makes them well suited for use in lubricants
compared to conventional vegetable oils.
PERFORMANCE PROPERTIES
Basic physical properties of various vegetable oils are shown in Table 4. General performance prop-
erties of interest in lubricating applications are shown in Table 5 while Table 6 shows friction and load
bearing properties. Note that the data in Tables 4 to 6 are without additives.
Table 7 shows the oxidative stability of vegetable oils in the presence of antioxidants.13 These data
indicate how oxidative stability increases with decreasing unsaturation — decreasing iodine value.
APPLICATIONS
Vegetable oils are mainly consumed in foods. However, they also serve as the primary feedstock
for the oleochemical industry and are gaining popularity as lubricating base oils.14,15
Vegetable oils are obtained from renewable resources and are biodegradable. Thus they offer spe-
cific environmental benefits over mineral oil-based lubricants. This is significant in applications where
the lubricant is “lost” in the environment, e.g., chain bar lubricants and hydraulic fluids for farm
machinery.16
In addition to environmental benefits, vegetable oils also have certain performance advantages
over conventional mineral oil base stocks. These include low volatility, high flash points, viscosity
index, and excellent lubricity.
The primary drawback of conventional vegetable oils is their lower oxidative stability relative to
mineral oils and certain synthetic esters. However, with recent advances in breeding technology, it is
becoming possible to alter the physical properties of conventional vegetable oils by changing fatty acid
profiles. A specific example pertaining to lubricant applications is the improvement of oxidative sta-
bility by increasing the oleic content in various oils.17,18

Vegetable Oils — Structure and Performance 105
1997 CRCof
Copyright2 ©Structure
FIGURE LLC. fatty acids.
saturated
Press,
FIGURE 2 (continued).
FIGURE 3 Structures of monounsaturated fatty acids.
ACKNOWLEDGMENTS
The authors would like to gratefully acknowledge the help provided by Mr. Rick Unger in per
forming several fatty analyses shown in Table 1 and the Lubrizol Corporation for supporting
this work.

FIGURE 4 Structures of polyunsaturated fatty acids.
FIGURE 5 Structures of fatty acids with special chemical functionality.

FIGURE 5 (continued).


NOTES AND REFERENCES

1. Olive oil is an example of a vegetable oil derived from a fruit.
2. Animal and dairy fats, although triglycerides, are not described in this monograph. Animal fats include
tallow, lard, and chicken fat, and dairy fats include butter fat. The key feature in animal-derived oils is
the presence of significant amounts of palmitoleic acid (3 to 4%), whereas in dairy fats it is the pres-
ence of small and medium chain fatty acid groups.
3. Jojoba oil is also not described in this monograph, since although it is commonly a vegetable oil, by
source, it does not have the triglyceride structure; it is predominantly a simple monoester-oleyl oleate.
“Jojoba Oil and Derivatives,” Wisniak, ].,Prog. Chem. Fats Other Lipids, 1977, 15, 167-218.
4. Bailey’s Industrial Oil and Fat Products, 4th ed., Vol. 2, D. Swern, Ed., Wiley-Interscience Publications, New
York, 1982.
5. “The Triglyceride Composition, Structure, and Presence of Estolides in the Oils of Lesquerella and
Related Species,” Hayes, D. G., Kleiman, R., and Phillips, B. S., J. Am. Oil Chem. Soc. 1995, 72,559-569.
6. “Vernonia galamensis, Potential New Crop Source of Epoxy Acid,” Perdue, R. E., Carlson, K. D., and
Gilbert, M. G., Economic Botany 1986, 40, 54-68.
7. “Meadowfoam: New Source of Long-Chain Fatty Acids,” Purdy, R. H. and Craig, C. D., J. Am. Oil Chem.
Soc, 1987, 64, 1493-1498.
8. “Triglyceride Oils Thickened with Estolides of Hydroxy-Containing Triglycerides,” Lawate, S. S.,

U.S. Patent 5,427,704, 1995.
9. “Oils Thickened with Estolides of Hydroxy Containing Triglycerides,” Lawate, S. S., U.S. Patent
5,458,795, 1995.
10. “Estolides of Hydroxy-Containing Triglycerides That Contain a Performance Additive,” Lawate,
S. S., U.S. Patent 5,451,332, 1995.
11 “Sunflower Product and Methods of Their Production,” Fick, G. N., U.S. Patent 4,627,192, 1986.
12. “Novel Sunflower Products and Methods for Their Production,” Fick, G. N., U.S. Patent
4,743,402, 1988.
13 Results are shown with a combination of a phenolic and amine type antioxidant. (LZ7652 avail-
able from the Lubrizol Corporation, Cleveland, OH.)
14. “Industrial Uses of Agricultural Materials — Situation and Outlook Report,” U.S. Department of
Agriculture, Economic Research Service, 1993, IUS-1.
15. “Natural Fats and Oils — Renewable Raw Materials For the Chemical Industry,”Angew. Chem.,
1988, 27, 41-62.
16. “Varieties of Rapeseed Oil and Derived Products for Use in Fuels and Lubricants,” Harold, S. C,
Lai, K., and Lawate, S. S., Presented at the 9th Int. Rapeseed Congress, Cambridge, U.K., 1995.
17. “Modification of Plant Lipid Synthesis,” Töpfer, R., Martini, N., and Schell, J., Science, 1995, 268,
681-686.
18. “The Genetic Improvement of Seed Oil,” Robbelen, G., Chem. and Ind., 1991, 713-716.

12 Additives — Chemistry and Testing

Syed Q. A. Rizvi
Almost all lubricants contain chemical additives. This is because unformulated lubricants, or base
oils, do not possess properties necessary to perform effectively in today’s equipment. Additives
improve the lubricating ability of base oils either by enhancing the desirable properties already pres-
ent or by adding new properties.
Base oil may be petroleum, synthetic, or biological in origin. Petroleum-derived base oils cur-
rently account for about 97% of total lubricant production. The processes used in their manufacture
include distillation, deasphalting, solvent extraction, solvent dewaxing, and finishing. These process-
es help isolate materials that have suitable boiling points and physical and chemical properties for use
in formulating lubricants. Synthetic base stocks are manufactured through transformations of petro-
leum-derived organic chemicals. These base stocks, often more expensive, are the only choice for
extremely demanding applications where mineral oils cannot be used because of their inherent lim-
itations. Blended base stocks, mixtures of synthetic base stocks and mineral oils, are often used to
benefit from superior low temperature properties, high flash points, and high viscosity indices (less
change in viscosity with temperature) of synthetic base stocks at a lower cost.
Base stocks of biological origin include vegetable oils and animal fats that are obtained from
seeds, fruits, and animal tissue. Because of their highly biodegradable nature and nonpetroleum ori-
gin, their use is increasingly becoming important. For some industrial applications, such as metal-
working, even water can be used as a carrier of additives.
Quality and quantity of additives in the lubricant depend upon the nature of the base fluid and
the lubricant’s intended use. Typical additive concentrations are given in Table 1. The performance
package can make up to 30% of the lubricant’s total composition. Engine oils and automotive gear
oils, which place a higher demand on the lubricant, generally require larger concentrations of addi-
tives than less-demanding applications such as industrial lubricants and metalworking fluids.
Lubricant additives perform a number of diverse functions and can be broadly classified into
chemically-inert and chemically active types. Chemically inert additives improve a lubricant’s physi-
cal properties and include emulsifiers, demulsifiers, pour point depressants, foam inhibitors, and vis-
cosity modifiers. Chemically-active additives, on the other hand, chemically interact with metals to
form protective films and with polar oxidation and degradation products to make them innocuous.
Such additives include dispersants, detergents, antiwear and extreme pressure agents, oxidation
inhibitors, and rust and corrosion inhibitors. Additive types that are used in various lubricant appli-
cations are shown in Table 2; their chemistry type and the manner in which they function are pro-
vided in Tables 3 and 4. The structures of different classes of additives along with methods of their
synthesis are described in Tables 5 to 10.
Both physical and performance characteristics impact a lubricant’s effectiveness. For automotive
lubricants, physical characteristics are established by the Society of Automotive Engineers (SAE) and
are specified in its classification systems. For other lubricants, these are defined by original equipment
manufacturers and end-users. Performance requirements, or performance specifications,
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define a lubricant’s ability to reduce friction, resist oxidation, minimize deposit formation, and
prevent corrosion and wear. Organizations that help establish such specifications in the U.S.
include the SAE, the American Petroleum Institute (API), the American Society of Testing and
Materials (ASTM), U.S. original equipment manufacturers (OEMs), and the U.S. military. Table
11 lists typical performance requirements by application.
Lubricant effectiveness is assessed by bench tests and full scale testing in the laboratory and
sometimes in the field. The laboratory tests are accelerated tests in real world equipment that
simulate actual service conditions. These use actual engines, transmissions, axles, hydraulic
pumps, and so on, and are carried out under standard conditions and according to prescribed
procedures. The goal is to ascertain that the lubricants meet the performance requirements
established by various organizations. Tables 12 and 13 show the parameters measured by dif-
ferent tests. Once a lubricant meets all the requirements, it is ready to be marketed for facto-
ry-fill and retail use.

Additives — Chemistry and Testing 119



13 Greases
Richard C. Schrama
CONTENTS
Introduction.....................................................................................................................................................138
Base Oil Selection...........................................................................................................................................138
Additives............................................................................................................................................................145
Grease Selection by Load and Speed.........................................................................................................145
Re-Lubrication Intervals................................................................................................................................147
Mixing of Greases..........................................................................................................................................150
Grease Troubleshooting................................................................................................................................151
Reference...........................................................................................................................................................155
INTRODUCTION
Grease is a lubricating oil thickened with about 7 to 20% of a gelling agent or “soap” to give a con-
sistency ranging from a semifluid to a solid. Of typical thickeners listed in Table 1, lithium soaps pre-
dominate with about 65% of the market. Aluminum complex soaps and clay thickeners follow with
about 6% each. Table 2 gives a formulation guide for greases to meet various application require-
ments. Grease consistency, or hardness, is designated by the National Lubricating Grease Institute
(NLGI) grades as given in Table 3. These are based on cone penetration distance under standard-
ized conditions in the ASTM Test D217. Standard test methods to determine the properties of
greases are summarized in Table 4.
Sufficient thickening agent is commonly used to give the widely used grade 2 consistency. Softer
grades using less thickener give easier pumping in centralized lubrication systems and improved feed-
ing for gear drives, multiple-row roller bearings, and slow speed sliding.
Grade 3 greases are used for better channelling and better mechanical stability in some
prepacked ball bearings and in large machinery. Hard grade 6 brick greases are inserted as blocks in
sleeve bearing boxes of paper mills and railway rolling stock.
The typical properties for greases with the different soap types are given in Table 5. This table
can be used as an application guideline to determine which soap type has the best properties for the
application requirements from the lubricant.
BASE OIL SELECTION

Minimum viscosity for oil, or for the base oil in case of greases, necessary to provide a full lubri-
cant film for the rolling elements in a bearing is given in Figure 1. For a mean bearing diameter dm
= 50 mm at 1000 rpm, for instance, the base oil should provide a minimum viscosity of 20 mm2/s
(cSt) at the bearing operating temperature to give an oil film thickness sufficient to just cover the

Greases 139
surface roughness of the bearing elements. If the base oil viscosity at the bearing temperature
is only 10 cSt, the viscosity ratio v/v, drops to 0.5 and Table 6 indicates boundary lubrication
with wear and reduced fatigue life. Use of a grease with extreme pressure properties and a
higher base oil viscosity should then be considered.
To provide suitable lubrication over a wide range of applications, mineral base oil viscosi-
ty of 100 cSt to 130 cSt at 40°C is common. Viscous oils in the 200 to 600 cSt range are
employed for boundary lubrication and extreme pressure conditions, with drawbacks in
increased friction, high temperature rise, and noise. Lower viscosity oils down to 25 cSt and
lower at 40°C would provide for operation at lower ambient temperatures, easier dispensing,
and possibly higher bearing speeds. Figure 2 shows the effect of temperature on viscosity for
the various ISO oil classifications.
A comparison of the properties which are critical for the mineral oil types which are used
as base oils in the manufacture of the grease is given in Table 7. These oils can be used with
most of the soap types.

Greases 141
The broader temperature limits for greases formulated with synthetic oils are indicated in
Table 8. Limited by their higher cost to specialty applications, the synthetic greases currently
make up only about 1 to 2% of the total grease market.

Greases 143
FIGURE 1 Minimum allowable viscosity for rolling bearing lubrication: vh kinematic viscosi-
ty; n, operating speed; dm, mean bearing diameter. (From Rolling Bearing Greases, No.
522.111.88, Kluber Lubrication. With permission.)

FIGURE 2 Viscosity-temperature chart. Viscosity numbers per ISO 3348-1975 for oils hav-
ing viscosity index of 95; approximate equivalent SAE viscosity grades shown in parentheses.
(From Boehringer, R. H., Grease, in ASM Handbook, Vol. 18, ASM International, Metals Park,
OH, 1992, 123-131. With permission.)

Greases 145
ADDITIVES
Table 9 shows the typical additives which are added to grease formulations for oxidation resist-
ance. The various grease properties and the corresponding typical chemical additive are indi-
cated in Table 10. By no means are these the only chemical formulations that can be used for
each of the grease properties. Also, the concentration ranges stated are typical in the industry.
Some grease formulations may require the chemicals added to the base oils and soaps to be
outside of the ranges stated.
GREASE SELECTION BY LOAD AND SPEED

Speed and load effects on the grease can be evaluated from Figure 3. The ratio P/C is a measure of
the specific load, where C is the dynamic load rating and P is the equivalent dynamic bearing load, P
= X × Fr + Y × Fa. Fr is the radial load and Fa is the axial load. The values for C, X, and Y are avail-
able in bearing catalogues. The speed index, n × dm is a measure for the grease stressing by the speed,
where n is the rotational speed of the bearing and dm is the mean bearing diameter (arithmetic mean
of the bore diameter d and the outside diameter D). The speed index is multipled by a factor ka,
depending on the bearing type. This factor takes into account the various degrees of sliding friction
in the bearings.
Figure 3 is divided into three load ranges whose limits depend on the type of load and speed rat-
ing. Nearly all rolling bearing greases are suitable for the lubrication of rolling bearings operating
under the load conditions of range I. Excluded are the greases with an extremely low or high

viscosity base oil, extremely stiff or soft greases, and some special greases, e.g., silicone greases which
can only be used up to loads of P/C = 0.03.
In the high speed and high load range, in the upper right hand corner of range I, higher operat-
ing temperatures necessitate the use of thermally stable greases resistant to temperatures significant-
ly higher than the expected bearing operating temperature. In the case of high loads and low speeds,
the use of solid lubricant additives will provide “chemical lubrication” or dry lubrication which
replace the hydrodynamic lubrication where the lubricating film has been interrupted.
Greases 147
FIGURE 3 Grease selection from the load ratio P/C and the relevant bearing speed index da n
dm - Range I, Normal operating conditions. Range II, Range of heavy loads. Range II, High-speed
range, calling for greases for high-speed bearings, ka values:
ka = 1 deep groove ball bearings, angular contact ball bearings, four-point bearings, selfalign-
ing ball bearings, radially loaded cylindrical roller bearings, thrust ball bearings.
ka = 2 spherical roller bearings, tapered roller bearings, needle roller bearings
ka = 3 axially loaded cylindrical roller bearings, full complement cylindrical roller bearings.
(From the Lubrication of Roller Bearings, Pub. no. WL81115/3EA, FAG Bearings Corp., Danbury,
CT. With permission.)
RE-LUBRICATION INTERVALS
Grease replenishment or exchange is required if the service life of the grease is much shorter than the
anticipated bearing life. Figure 4 shows the lubrication intervals as a function of the speed index of
the bearings (kf × n × dm) for the failure probability of 10 to 20%. A kf value range is indicated for
some bearing types. The higher values apply to the heavier series (higher load carrying capacity) and
the smaller values to the lighter series of a bearing type. The lubrication intervals on Figure 4 apply to
lubrication with a lithium soap base grease and temperatures up to 70°C, measured at the bearing outer
ring, normal environmental conditions, and a mean bearing load corresponding to P/C< 0.1.
Every rise in temperature by 15K over 70°C halves the lubrication interval of lithium soap-base
greases with mineral base oil. Also, vibrations acting on the bearing reduce the lubrication intervals
because they result in a separation of the grease into thickener and base oil. Contaminants, including
water, penetrating through the seals also affect the lubrication intervals. With gap-type seals, an air cur-
rent passing through the bearing considerably reduces the lubrication interval. The air current deteri-
orates the lubricant, carries oil or grease from the bearing, and conveys contaminants into it.
For poor operating and environmental conditions, a reduced lubrication interval tfq is obtained
from the equation:

FIGURE 4 Lubrication intervals (grease service life) for bearings lubricated with lithium soap-
base grease under favorable environmental conditions. Failure probability 10 to 20%. Reduced
lubrication intervals tfqmust be taken into account for adverse operating and environmental
conditions. The replenishment interval must be shorter than the lubrication interval (usual val-
ues: 0.5...0.7-tfq).
Table 11 shows the corresponding reduction factors for the above equation.
An alternative method for determining the lubrication interval is given in Figure 5. This
graphical method has been used by SKF and other bearing manufacturers for years. It is a
much simpler way of obtaining a lubrication interval for each lubrication point in a piece of
machinery.
The amount of grease put into the bearing is critical. Usually, ball bearings are filled with
grease to 1/3 of their free space. The grease fill quantity is determined by the following rule
of thumb:
where d = bearing bore

B = bearing width in mm

Greases 149
FIGURE 5 Grease relubrication intervals: a, radical ball bearings; b, cylindrical or needle roller
bearings; c, spherical or taper roller bearings and thrust ball bearings; d, bearing bore diameter.
(From Boehringer, R. H., Grease, in ASM Handbook, Vol. 18, ASM International, Metals Park,
OH, 1992, 123-131, and courtesy of SKF-USA, Inc. King of Prussia, PA. With permission.)
FIGURE 6 Calculation data for free space in roller bearings: a, curve; b, bearing type. (From
Roller Bearing Greases, Pub. no. 522.111.88, Kluber Lubricated. With permission.)
Figure 6 shows the free space for various width classifications in each bearing type. The correct
grease fill quantity for rolling bearings is also determined by the bearing construction, speed, and
sealing. A complete fill is permissible up to medium speeds, providing that the grease can escape
into the bearing cavity or through a labyrinth seal. High speed bearings are filled up to 1/3 of the
bearing free space.
Excessive heat generation within the bearing is produced by over-greasing or by the incorrect
choice of grease which is dynamically too viscous. The correct grease fill produces an initial tem-
perature rise which is normal (Figure 7). After a short-term rise, the temperature drops back. The
grease has then distributed itself throughout the bearing. Localized grease excesses would then have
been displaced from the bearing tracks.
MIXING OF GREASES
Rolling bearing greases with similar thickeners and chemically similar base oils can, on the
whole, be mixed without a problem. It should be noted that some base oils may not be mixed with
others and some thickeners are not compatible with one another. The rolling bearing grease then
becomes either stiffer and hardens, or it becomes softer and flows from the bearing. Table 12 gives
some indication as to the compatibility of petroleum greases using different types of thickeners.
These comparisons are subject to the percentage of soap used in the grease and other additives in
the grease formulation.
The mixing of grease should, therefore, be avoided. If it is necessary to change to another
grease to improve the lubricating properties, a complete cleanout of the bearing is to be recom-
mended together with a fresh lubrication. If two greases can be mixed, the grease change can be
Greases 151
FIGURE 6 (continued),
achieved by pumping the new grease through the bearing until the old grease and the grease
mixture are extruded. Frequent relubrication with the new grease should then take place until
the old grease or the grease mixture is removed from the bearing.
GREASE TROUBLESHOOTING
The NLGI has set up a very comprehensive troubleshooting table for greases. Table 13
shows various applications (plain and rolling bearings, gears, sliding surfaces, universal joints,
electric motors, couplings) and typical trouble symptoms, possible causes, and what to check
for in the equipment with the problem.
FIGURE 7 Possible temperature sequence in rolling bearings. 1 = Over-lubricated and incorrectly

grease lubricated; 2 = over-lubricated or incorrectly grease lubricated; 3 = normal temperature
sequence. (From Roller Bearing Greases, Pub. no. 522.111.88, Kluber Lubrication. With permission.)

Greases 153


Greases 155
REFERENCES
1. Boehringer, R. H., Grease, in ASM Handbook, Vol. 18, ASM International, Materials Park, OH,
1992, 123-131.
2. Lubricating Grease Guide, 3rd ed., National Lubricating Grease Institute, Kansas City, MO, 1994.
3.Klamann, D., Lubricants and Related Products, Verlag Chemie, Weinheim, Germany, 1984.
4. The Lubrication of Rolling Bearings, Pub. no. WL81115/2EA, FAG Bearings Corp., Danbury, CT,
1989.
5. Rolling Bearing Greases, Pub. no. 522.111.88, Kluber Lubrication North America, L.P., 1988.
6. CRC Handbook on Tribology, Vol. 1, 2, and 3, E. R. Booser, Ed., CRC Press, Boca Raton, FL, 1983,
1984, 1994.
7. Standard Handbook of Lubrication Engineering, McGraw-Hill Book Co., New York, 1968.
8. U.S. Steel Lubrication Engineers Manual, A.I.S.E. (Association of Iron and Steel Engineers),
Pittsburgh, PA, 1996.
9. Boner, C. J., Manufacture and Application of Lubricating Greases, Reinhold Publishing, New York, 1954.
10. Annual Book of ASTM Standards, Volumes 5.01, 5.02, 5.03, Petroleum Products and Lubricants,
revised annually, ASTM, Philadelphia.

14 Solid Lubricants
E. R. Booser
CONTENTS
Inorganic Compounds........................................................................................................................156
Organic Polymers.................................................................................................................................157
Metal Films............................................................................................................................................158
References.............................................................................................................................................158
These materials provide thin films between two surfaces to reduce friction and wear, generally
for high temperatures, vacuum, nuclear radiation, aerospace, and other environments that pre-
clude the use of conventional oils and greases. The wide range of solid lubricants can general-
ly be classified as inorganic compounds, organic polymers, and metal films.1-3 The inorganic
compounds and polymers are commonly used in a bonded coating over chemical conversion
coatings (See Section VII, Chapter 57) to provide lower friction and wear on metal surfaces.4’5
INORGANIC COMPOUNDS
Most important of this group listed in Table 1 are layer-lattice solids in which bonding between
atoms in an individual layer is by strong covalent or ionic forces and those between layers are
by relatively weak ionic forces. Molybdenum disulfide and graphite are the preferred choices;
others which find occasional use are tungsten disulfide, tungsten diselenide, niobium diselenide,
calcium chloride, calcium iodide, and graphite fluoride.6
Graphite is commonly used as a dry powder or as a dispersion in water, oils, greases, or sol-
vents. The dispersions are used for lubricating tools, dies, and molds for metal working and
metal forming; with oxygen equipment; and for conveyors and other high temperature indus-
trial applications. In vacuum or in atmospheres where no moisture can be absorbed, mixing
with cadmium oxide, MoS2, or organic binders will restore the film-forming ability of graphite.1
Oxidation by air commonly sets a limit of about 55O°C; above 100°C high friction may be
encountered from water desorption.
Molybdenum disulfide has replaced graphite in many applications for its independence
from the need for adsorbed vapors in providing lubrication, superior load capacity, and more
consistent properties.1 MIL-M-7866 covers the most common grade.5 Above 400°C, MoS2 is
oxidized to the trioxide which may be abrasive.
For temperatures above 550°C, classes of materials that have shown promise are oxides
formed on nickel-base and cobalt-base superalloys, and fluorides such as CaF2, BaF2, LiF, and
MgF2 applied as ceramic-bonded coatings, by fusion bonding, or as components of plasma-
sprayed composite coatings.6
Various soft inorganic without a layer-lattice structure also find some use as solid lubricants:
lime as a carrier in wire drawing, talc and bentonite as fillers for grease in cable pulling,
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Solid Lubricants 157
zinc oxide in high load capacity greases, and milk of magnesia for bolts. Toxicity has led to dimin-
ished use of basic white lead and lead carbonate.
ORGANIC POLYMERS
Various polymers provide self-lubricating properties when applied as thin films, as bearing
materials, and as binders for lamellar solids.1,3,4,7 Coatings are typically applied in powder or disper-
sion form (in thicknesses from 25 µtm and upward) and then fused to the surface to provide lubric-
ity, wear resistance, or release properties. PTFE is outstanding in this group and is effective from
about -200 to 250°C in providing a coefficient of friction in the 0.03 to 0.1 range. Chapter 52, in
Section VI, provides details on the properties of polymers and their composites.
METAL FILMS
Table 2 lists soft metals which in many ways are ideal solid lubricants.8 They have low shear
strength, can be bonded to metal substrates, have good lubricity, and offer high thermal con-
ductivity. Metal films are applied by electroplating, evaporation, sputtering, or ion plating.
Finding use as bolt lubricants are electroplated silver and copper, as are commercial for-
mulations incorporating powders of nickel, silver, copper, and lead. Tin, zinc, copper, and sil-
ver coatings are used as lubricants in metalworking where use of lead has been eliminated for
its toxicity.9 Silver films are used in a variety of sliding and rolling contacts in vacuum and at
high temperatures since silver is unique in forming no alloys with steel and is soft at high tem-
peratures. While gallium is above its melting point under most conditions, it has been effective
when applied as a coating in vacuum.
REFERENCES
1. Lancaster, J. K., Solid lubricants, in CRC Handbook of Lubrication, Vol. 2, CRC Press, Boca Raton,
FL, 1984, 269-299.
2. Booser, E. R., Lubrication and lubricants, Encyclopedia of Chemical Technology, 4th ed., Vol. 15, John
Wiley & Sons, New York, 1995, 463-517.
3. New Directions for Solid Lubricants, in New Directions in Lubrication, Materials, Wear, and Surface
Interactions, Loomis, W. R., Ed., Noyes Publications, Park Ridge, NJ, 1985, 631-733.
4. Gresham, R. M, Bonded solid film lubricants, in CRC Handbook of Tribology and Lubrication, Vol. 3,
CRC Press, Boca Raton, FL, 1994, 167-181.
5. Lipp, L. C, Lubr. Eng., 32, 574-584, 1976.
6. Sliney, H. E., Solid lubricants, in ASM Handbook, Vol. 18, 1992, 113-122.
7. Jamison, W. E., Plastics and plastic matrix composites, in CRC Handbook of Tribology and Lubrication,
Vol. 3, CRC Press, Boca Raton, FL, 1994, 121-147.
8. Peterson, M. B., Murray, S. F., and Florek, J. J., ASLE Trans., 2, 225-234, 1960.
9. Schey, J. A., Tribology in Metalworking: Friction, Lubrication and Wear, ASM, Metals Park, OH, 1983.

15 Viscosity of Liquids, Aqueous

Solutions, and Liquid Metals*
The absolute viscosity of some common liquids at temperatures between -25 and 100°C is
given in this table. Values were derived by fitting experimental data to suitable expressions for
the temperature dependence. The substances are arranged by molecular formula in the mod-
ified Hill order. All values are given in units of millipascal seconds (mPa s); this unit is iden-
tical to centipoise (cp).
Viscosity values correspond to a nominal pressure of 1 atmosphere. If a value is given at
a temperature above the normal boiling point, the applicable pressure is understood to be the
vapor pressure of the liquid at that temperature. A few values are given at a temperature
slightly below the normal freezing point; these refer to the supercooled liquid.
The accuracy ranges from 1% in the best cases to 5 to 10% in the worst cases. Additional
significant figures are included in the table to facilitate interpolation.
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Viscosity of Liquids, Aqueous Solutions, and Liquid Metals 161



VISCOSITY OF AQUEOUS SOLUTIONS
This table gives the absolute viscosity of aqueous solutions of several common com-
pounds as a function of concentration expressed in mass %. Viscosity values are in units of
millipascal seconds (mPa s), which is equivalent to centipoises (cp).





16 Gas Properties
Donald F. Wilcock
CONTENTS
Viscosity...........................................................................................................................................169
Specific Volume..............................................................................................................................174
Mean Free Path..............................................................................................................................174
Speed of Sound..............................................................................................................................176
Nomenclature.................................................................................................................................176
References.......................................................................................................................................176
In designing gas bearings, viscosity is usually the property of prime interest. A number of
other physical properties may also be required, however, and are described in this section.
Chemical properties of any particular gas may influence mixing of the gas with fluids in the
system, reactions with other gases, or reaction with bearings or other surfaces. The designer
should, therefore, ascertain from other sources the chemical reactivity of the gas.
Data in Table 1 are abstracted from an extensive listing of thermophysical properties of
liquids and gases.1 The first three columns give the common name of the gas, its chemical
formula, and its molecular weight. Column four gives the boiling point in K at a pressure of
760 mmHg or 1.01 bar. Also given are specific volume in m3/kg, heat capacity Cp in kJ/kg-
K, speed of sound in m/s, viscosity in Pa-s, and the viscosity-temperature exponent in
Equation 1.
VISCOSITY
In addition to viscosity data listed in Table 1. Table 2 lists viscosities over a range from 100
K to 600 K for many gases.2
The viscosity of a gas is nearly independent of pressure over a wide range of lower pres-
sures, but at higher pressures it will increase significantly. Figure 1 illustrates this point for
nitrogen, the principal component of air: the viscosity is 18 × 10-6 Pa.s up to 40 bar (atm)
pressure, 20 × 10-6at 100 bar, and 53 × 10-6 at 1000 bar. The viscosities of air at several pres-
sures from 1 to 100 bar are shown in Figure 2 as a function of absolute temperature. This
shows that the effect of pressure increases at lower temperatures.
Viscosities of a number of common gases at 1 bar are shown in Figure 3 to increase rap-
idly with absolute temperature, contrary to the behavior of liquids. The low viscosity of
hydrogen is striking, as is the deviation of water vapor from the general trend. The water
vapor curve terminates at its boiling point of 373 K.
In determining viscosity as a function of temperature, two equations are often used. As
can be seen from Figure 2, log (gas viscosity) is nearly linear with log (temperature) and can
be represented by Equation 1.
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Gas Properties 171
where µ0 is the viscosity at a known absolute temperature, T0(K). Exponent n is usually below
one and is given in Table 1. The Sutherland formula fits the data slightly better than Equation
1 for hydrogen and helium:

FIGURE 1 Viscosity of nitrogen at 300 K.
FIGURE 2 Viscosity of air at several pressures.
For To = 300 K and T = 400 K, the constant C is 61 for hydrogen and 70.5 for helium
based on the viscosity data in Table 1. The differences between Equations 1 and 2 are com-
monly so small that Equation 1 with the exponent n from Table 1 can normally be used.
When other data are not available, viscosity of a gas may be estimated from its pressure
and temperature at the critical point. The critical values for selected pure gases are given in
Table 3, abstracted from Reference 1. In order to estimate the viscosity, first calculate the
reduced temperature and pressure for the T and P for which the viscosity is desired.
Gas Properties 173
FIGURE 3 Viscosity of several gases at P = 1 bar.
These values may then be used in Figure 4 to estimate the reduced viscosity. To obtain the
actual viscosity, one also needs the viscosity at the critical point. If the viscosity is not known
at the critical point, it may be estimated from a known viscosity at some other Po and To. By
calculating Pcr and Tcr from Equation 3, Figure 4 may be used to estimate µcp and then
The viscosity at the desired point is obtained by determining µr at the desired Pr and Tr
from Figure 4, and then
If no viscosities are known, the critical viscosity may be estimated from the values of Pcr,
Tcr, and molecular weight M, as follows:
Table 4 illustrates the application of the two methods to the calculation of the viscosity of
nitrogen. For each temperature, Tr is calculated from Tcr = 126.3 K. Next are listed the values of
µr estimated from Figure 4 from the low density limit curve. Assuming we know the viscosity
is 17.9 × 10-6 Pa s at 300 K where µr is estimated to be 1.00, the value of µcr is the same, and
the viscosities at the other temperatures are directly calculated as shown. If no viscosities are
known, Equation 6 is used:
Values for the other temperatures are calculated directly from the estimated values of µr The
final column shows the actual viscosities, indicating a reasonable check.
The following are conversions to the SI system: 1 reyn = 1.45 × 10-10 Pa.s and 1 P = 0.1 Pa.s.
SPECIFIC VOLUME
The specific volumes listed in Table 1 indicate the degree of “perfection” of a gas. At 273.1 K
and 1 bar pressure, 1 g-mol of a perfect gas occupies a volume of 22.4 1. Adjusting this to 300
K gives 24.6 1. If the specific volumes in Table 1 are multiplied by the molecular weight for each
gas, the result is liters per gram mole (1/g-mol) and also cubic meters per kilogram-mol (m3/kg-
mol). Values for air, nitrogen, and oxygen are 24.9. Freon 21, Freon 11, and sulfur dioxide are
below the perfect gas figure, indicating some degree of association between molecules.
Pressure is given here in bars or atmospheres. For use in the SI system, 1 bar is equivalent
to 101,300 Pa.
MEAN FREE PATH

The mean free path is a measure of the average distance between collisions of the gas mole-
cules. It is a function of the volume density of the gas and is given by Equation 7.

Gas Properties 175
FIGURE 4 Generalized reduced viscosity of gases. (From Hougen, O. A., Watson, K. M., and
Ragatz, R. A., C. P. P. Charts, 2nd ed., John Wiley & Sons, New York, 1960. With permission.)
where σ is the molecular diameter and n is the molecular density in molecules per cubic cen-
timeter. The number of molecules per gram-mole is Avogadro’s number, 6.02 × 1023.
As an example, the molecular density of argon at 273 K is

The molecular diameter is approximately 2.9 × 10-8 cm. Applying Equation 7:
The value estimated in the Handbook of Chemistry and Physics is 9.0. This accuracy is quite suffi-
cient for low pressure or very thin film bearing design.
SPEED OF SOUND
Speed of sound in a gas is a function of temperature, molecular weight, heat capacity at con-
stant pressure, and the gas constant:
Applying this data to oxygen, Table 1 lists M = 32.00 and Cp = 0.920 kJ/kg-K. Using this data
in Equation 8 yields 329 m/s, as compared with the value of 353 m/s listed in Table 1.
NOMENCLATURE
C = Temperature, C
Cp = Specific heat at constant pressure, kJ/kg⋅K
Cv = Specific heat at constant volume, kJ/kg⋅K
P = Pressure, N.m-2
T = Absolute temperature, K
TB = Boiling point, K
U = Surface velocity, m/s
h = Film thickness, m
M = Molecular weight
w = Width of leakage path, m
v = Kinematic viscosity, m2/s
λ = Mean free path, m
µ = Absolute viscosity, N - s/m2= Pa.s
σ = Mass density, kg/m3
φ = Sonic velocity, m/s
REFERENCES
1. Vargaftile, N. B., Tables on the Thermophysical Properties of Liquids and Gases, 2nd ed., John Wiley&
Sons, New York, 1975.
2. Lide, D., Ed., Handbook of Chemistry and Physics, 75th ed., CRC Press, Boca Raton, FL, 1994, 6-
239.
3. Wilcock, D. F, Properties of Gases, in Handbook of Lubrication, Vol. 2, CRC Press, Boca Raton,
FL,1984, 291-300.
4. Bird, R. B., Steward, W. E., and Lightfoot, E. N., Transport Phenomena, John Wiley & Sons, New
York, 1960.
5. Uyehara, O. A. and Watson, K. M., Natl. Pet. News, 36, 764, 1944.
6. Hougen, O. A., Watson, K. M., and Ragatz, R. A., C. P. P. Charts, 2nd ed., John Wiley & Sons,
New York, 1960.
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II
Typical Lubrication
Specifications for
Equipment

17 Comparison of Viscosity
Classifications
E. Richard Booser
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Comparison of Viscosity Classifications 181
FIGURE 1 Comparative viscosity classifications — for general guide only. Viscosities are
based on a 95 VI oil. (From Engine Transmission and Axle Lubricant Classifications,
Specifications, and Tests, Texaco Lubricants Co., Houston, TX, 1994. With permission.)

18 Military Specifications
Bobby D. McConnell
CONTENTS
Introduction.........................................................................................................................................................182
List of Military Specifications by Responsible Agency and Category in Numerical Order..........183
Tables......................................................................................................................................................................185
INTRODUCTION
Military specifications are used by Department of Defense agencies to qualify and procure fluids
and lubricants for military systems and equipment. These specifications, usually referred to as Mil
Specs, are prepared and managed by the Army, Air Force, or Navy with coordination between the
three services and DoD agencies such as DGSC, DFSC, DLA, etc. where necessary. A systematic
numbering system is used with letters of the alphabet to designate the type of fluid or lubricant as
well as the most recent version of the Mil Spec with dates of approval. For example, with MIL-L-
23699E, the L designates lubricant and the E means this the fifth and as of this writing the most
recent version of this particular Mil Spec. Other letter designations include H for hydraulic fluids, G
for greases, T for thread compound, etc., and are also described in the title of the Mil Spec. The let-
ters are used for several different types of materials, i.e., C for coolant, cord, corrosion preventive,
etc.
The standardized format of Mil Specs includes: 1. SCOPE, which defines the use of the fluid
or lubricant; 2. APPLICABLE DOCUMENTS, which lists references for other applicable Mil
Specs, Standards, Technical Manuals, and nongovernmental publications such as ASTM Test
Methods; 3. REQUIREMENTS, which describe the chemical, physical property, and performance
requirements; 4. QUALITY ASSURANCE PROVISIONS, which describe inspection, quantifica-
tion procedures, compliance, lot formation, sampling, test reports, and test methods; 5. PACKAG-
ING, which defines preservation, packing, and marking; and, finally, 6. NOTES, which provide addi-
tional information for the manufacturer and/or user.
A great deal of information is contained in the Mil Specs, such as the test methods which are
used to determine the lubricant properties, but only the physical and chemical property requirements
will be provided here. Most of the required properties are not absolute values but must meet a min-
imum or maximum value. Thus, there can be variations in the value of the property from one qual-
ified source to another. If additional information is required, the reader should obtain the complete
Mil Spec or call one of the agency managers. Contact the Mil Spec manager at one of the follow-
ing responsible agencies:
Air Force Lubricants Greases and Air Force Turbine Engine Oils
Hydraulic fluids WL/POSL Bldg. 490
WL/MLSE Bldg. 652 1790 Loop Road N
2179 Twelfth St. Ste. 1 WPAFB, OH 45433-7103
WPAFB, OH 45433-7718 937-255-3100
937-255-7482
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Military Specifications 183
Army Oils, Greases and Solid Lubricants Navy Aircraft Oils and Greases
AMSTA-RBF NAWS Aircraft Division
10101 Gridley Road Ste 104 Code 6061, PO Box 5152
Ft. Belvoir, VA 22060-5818 Warminster, PA 18974-0591
703-704-3722 215-441-1567
Navy Turbine Engine Oils
NAWC Aircraft Division
Code 445,PO Box 7176
Trenton,NJ 08628
609-538-6856
There is currently action within the DoD to consolidate and/or eliminate various Mil Specs
where appropriate. Only those Mil Specs expected to remain active have been included in this
handbook.
Most Mil Specs have a Qualified Products List (QPL) which lists the products and manufac-
turers qualified to provide the fluids and lubricants under that Mil Spec. However, others are cov-
ered by 1st Article inspections, which means a sample of the material must be inspected before
a given purchase is made. Since this information is constantly changing and cannot be included
in the handbook, the reader is requested to contact the appropriate Mil Spec manager for this or
any other information about a particular specification.
This section includes a listing of the Mil Specs in numerical order, with title and category for
each of the agencies, i.e., Air Force, Army, Navy, and a few DoD specs, concluding with a series
of tables (in numerical order except for Table 1) of the physical and chemical property require-
ments for all the specs.
LIST OF MILITARY SPECIFICATIONS BY RESPONSIBLE

AGENCY AND CATEGORY IN NUMERICAL ORDER
Air Force
HYDRAULIC FLUIDS
MIL-H-5606G — Hydraulic Fluid, Petroleum Base, Aircraft, Missile, and Ordnance
MIL-H-27601B — Hydraulic Fluid, Fire Resistant, Hydrogenated Polyalphaolefin Base,
High Temperature, Flight Vehicle, Metric
MIL-H-87257 — Hydraulic Fluid, Fire Resistant, Low Temperature Synthetic Hydrocarbon
Base, Aircraft and Missile
LUBRICANTS
MIL-L-6081C — Lubricating Oil, Jet Engine
MIL-L-6085C — Lubricating Oil, Instrument, Aircraft, Low Volatility
MIL-L-6086D — Lubricating Oil, Gear, Petroleum Base
MIL-L-7808K — Lubricating Oil, Aircraft Turbine Engine, Synthetic Base
MIL-L-7870B — Lubricating Oil, General Purpose, Low Temperature
MIL-L-87100 — Lubricating Oil, Aircraft Turbine Engine, Polyphenyl Ether Base
MIL-L-87132B — Lubricant, Cetyl Alcohol, 1-Hexadecanol, Application to Fasteners
GREASES
MIL-G-27617E — Grease, Aircraft and Instrument, Fuel and Oxidizer Resistant
MIL-G-83261A — Grease, Aircraft, Extreme Pressure, Antiwear
MIL-G-83363B — Grease, Transmission, Helicopter
MIL-G-83414 — Grease, Gunmount, Aircraft
MISCELLANEOUS
MIL-T-5544C — Thread Compound, Antiseize, Graphite-Petrolatum
MIL-C-6529C — Corrosion Preventive, Aircraft Engine
MIL-C-8188C — Corrosion Preventive, Oil, Gas Turbine Engine, Aircraft Synthetic Base
MIL-T-83483B — Thread Compound, Antiseize, Molybdenum Disulfide-Petrolatum

MIL-C-87252B — Coolant Fluid, Hydrolytically Stable, Dielectric
Army
HYDRAULIC FLUIDS
MIL-H-6083E — Hydraulic Fluid, Petroleum Base for Preservation and Operation
MIL-H-46170B — Hydraulic Fluid, Rust Inhibited, Fire Resistant, Synthetic Hydrocarbon Base
MIL-H-53119 — Hydraulic Fluid, Nonflammable, Chlorotrifluoroethylene Base
LUBRICANTS
MIL-L-2104F — Lubricating Oil, I-C Engine, Combat/Tactical Service
MIL-L-2105D — Lubricating Oil, Gear, Multipurpose
MIL-L-3150C — Lubricating Oil, Preservative
MIL-L-14107C — Lubricating Oil, Weapons, Low Temperature
MIL-L-21260D — Lubricating Oil, I-C Engine, Preservative and Break-In
MIL-L-46000C — Lubricant, Semifluid (Automatic Weapons)
MIL-L-46010B — Lubricant, Solid Film, Heat Cured, Corrosion Inhibiting
MIL-L-46147A — Lubricant, Solid Film, Air Cured, Corrosion Inhibiting
MIL-L-46150 — Lubricant, Weapons, Semifluid (High Load-Carrying Capacity)
MIL-L-46167 — Lubricating Oil, I-C Engine, Arctic
MIL-L-53131 — Lubricating Oil, Precision Rolling Element Bearing, Polyalphaolefin-Based
MIL-L-63460D —Lubricant, Cleaner and Preservative for Weapons and Weapons Systems
(Metric)
GREASES
MIL-G-10924F — Grease, Automotive and Artillery
Navy
HYDRAULIC FLUIDS
MIL-H-22072C(AS) — Hydraulic Fluid, Catapult, NATO Code Number H-579
MIL-H-81019D — Hydraulic Fluid, Petroleum Base, Ultra-Low Temperature, (Metric)
MIL-H-83282C — Hydraulic Fluid, Fire Resistant, Synthetic Hydrocarbon Base, Aircraft
LUBRICANTS
MIL-L-1970IB—Lubricant, All-Weather, Semifluid, for Aircraft Ordinance, Metric
MIL-L-22851D — Lubricating Oil, Aircraft Piston Engine (Ashless Dispersant)
MIL-L-23398D — Lubricant, Solid Film, Air-Cured, Corrosion Inhibiting
MIL-L-23699E — Lubricating Oil, Aircraft Turbine Engine, Synthetic Base
GREASES
MIL-G-4343C — Grease, Pneumatic System
MIL-G-6032D — Grease, Plug Valve, Gasoline and Oil Resistant
MIL-G-21164D — Grease Molybdenum Disulfide, for Low and High Temperatures
MIL-G-23549C — Grease, General Purpose
MIL-G-23827B — Grease, Aircraft and Instrument, Gear and Actuator Screw
MIL-G-25013E — Grease, Aircraft, Ball and Roller Bearing
MIL-G-25537C — Grease, Aircraft, Helicopter Oscillating Bearing
MIL-G-81322E — Grease, Aircraft, General Purpose, Wide Temperature Range
MIL-G-81827A — Grease, Aircraft, High Load Capacity, Wide Temperature Range
MIL-G-81937A — Grease, Instrument, Ultra-Clean, Metric
MISCELLANEOUS
MIL-M-7866C — Molybdenum Disulfide, Technical, Lubrication Grade
MIL-S-8660C — Silicone Compound, NATO Code Number S-736
Department of Defense
GREASES
DoD-G-24508A(Navy) — Grease, High Temperature, Multipurpose (Metric)
DoD-G-85733(AS) — Grease, High Temperature, Catapult System

LUBRICANTS
DoD-L-25681D — Lubricant, Molybdenum, Silicone
DoD-L-81846B — Lubricating Oil, Instrument, Ball Bearing, High Flash Point
DoD-L-85336A — Lubricant, All-Weather (Automatic Weapons)
DoD-L-85734(AS) — Lubricating Oil, Helicopter Transmission System, Synthetic Base
TABLES

























































19 Air Compressor Lubrication

William Scales, P.E.
CONTENTS
Reciprocating Compressors.............................................................................................................242
Rotary Screw Compressors.............................................................................................................244
ISO Classification of Compressor Lubricants............................................................................244
Maintenance and Monitoring..........................................................................................................245
References...........................................................................................................................................247
A good air compressor or vacuum pump lubricant should minimize friction and wear, reduce
internal leakage paths, protect against rust and corrosion, and leave virtually no deposits on
hot discharge surfaces. Oil selection should be based on performance; the proper oil is prob-
ably neither the most expensive nor the least costly.
RECIPROCATING COMPRESSORS
Reciprocating compressors fall into two general categories:
1. Single-acting compressors which compress air only in one direction of the piston stroke are
also classified as automotive compressors or trunk piston units with cylinder lubrication
supplied from the crankcase. These units normally range up to 100 hp, are generally air-
cooled, and are not intended for heavy duty applications at prolonged full load opera-
tion. While the function of the piston rings is to control and reduce oil carryover into
the air stream, some oil will pass. One manufacturer has stated that one ounce of oil per
50 hp hours is acceptable.
Petroleum-based lubricants, mineral oils with rust and oxidation inhibitors, are often
recommended, as shown in Table 1, with viscosities varying between ISO 32 and ISO
68, dependent on operating conditions and designs. Unusually heavy or light duty appli-
cations and either cold or warm environments may require modifications to this very
general specification.
2. Double acting compressors lubricate the frame or crankcase by constant circulation. This may
require changing the oil once every 6 months. Generally, an external lubricator driven by
a mechanical linkage off the crank shaft is adjusted to supply the cylinder with the prop-
er amount of lubricant, which is measured unprecisely in drops. Valves and cylinders
that are properly lubricated will have a light film of oil. Pools or concentrations in valve
pockets indicate too much lubricant. Inadequate lubrication will be evidenced by dry
cylinders and valves. Once the proper rate has been established, drops can be counted
and used as the measurement. If the oil consumption rate changes, inspect the
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Air Compressor Lubrication 243
lubricator for malfunctioning. If the compressor uses too much oil, it is important
that the problem be corrected quickly.
A formula for estimating the amount of oil to inject inot a cylinder is:
where B = bore (in.), S = stroke (in.), N = rpm, and Q = quarts of oil per 24-hour day.
Most often, cylinder lubricants follow the same specifications as those used on single-acting com-
pressors. Viscosities recommended by manufacturers vary according to piston and ring materials,
cylinder sizes, and operating conditions: commonly an ISO 32 or 46 for smaller cylinders (up to 9-
inch diameter) and perhaps an ISO 100 or even 150 for cylinders 18 inches and larger.
Reciprocating compressors have elevated compressed air discharge temperatures which range
from 275 to 350°F (two-stage) to well above 500°F for single-stage models. A low carbon residue
rating for oil is recommended, although this does not guarantee low carbon deposits in hot valve
areas. The danger of fires and explosions is present in all lubricated compressors using petroleum-
based lubricants. While infrequent, violent explosions can result where heavy carbon deposits have
formed. Because of this, synthetic lubricants, especially diester based, have been used more exten-
sively in the past few years. The primary objections have been high cost and possible incompatibili-
ty with materials in the compressed air system.
If petroleum-base lubricants have been used, introduction of synthetics may dissolve the
deposits and form a viscous tar, possibly causing damage to the intercoolers, aftercoolers, and

valves and even result in fire and explosion. Complete cleaning should be done before changing from
petroleum-base to synthetic lubricant. In addition, be certain the synthetics are compatible with all
materials used in the compressor and in all components downstream.
ROTARY SCREW COMPRESSORS

In midsized manufacturing plants, the packaged rotary screw compressor with low initial cost and
reduced maintenance has become the choice for most installations up to 1500 cfm. These compres-
sors are available from 20 cfm (5 hp) up to 3000 cfm (600 hp) at 100 psig. Discharge air temperatures
are normally maintained below 200°F to minimize oxidation, but oil injection into the compression
chamber for removing the heat of compression is usually about 145 to 150°F to avoid condensation
of water vapor from the compressed air.
Some manufacturers still recommend automotive engine oils meeting API specifications such as
CE/SK or MIL L-2104 B,C,D; others specify turbine oil or transmission fluid. During recent years,
however, most manufacturers of rotary screw air compressors have contracted with lubricant suppli-
ers to sell brand-label synthetic lubricants exclusively for their compressors. Because of the wide vari-
ance in requirements and opinions among manufacturers, no recommendations can be given that will
cover all rotary compressors. Since manufacturers change their specifications and new oils are being
developed, call the manufacturer to get the most recent recommendations.
Most manufacturers have selected PAO synthesized hydrocarbons with a specific additive pack-
age for rotary compressors. Other manufacturers have specified diester fluids, polyglycols, or semi-
synthetics. One advantage of synthetics in rotary compressors is extended life, often three to four
times that of standard petroleum-based lubricants.
Some suppliers have received FDA authorization to use their lubricants in compressors where the
compressed air may have incidental contact with food. However, limitations of the lubricant additive
package reduces the life expectancy to about half that of normal synthetics.
ISO CLASSIFICATION OF COMPRESSOR LUBRICANTS

ISO 6743 establishes the detailed classification of lubricants for use in air compressors, gas compres-
sors, and refrigeration compressors. ISO 6743-3 (in conjunction with ISO 6743-0) provides a ration-
alized range of the most common internationally available compressor lubricants without restrictions
by specifications or product descriptions.
Detailed classification of each category of compressor lubricants in Tables 2 and 3 involves a
group of three letters. The first letter, “D,” identifies a compressor lubricant, and the second and third
letters designate the specific type. These letters are then followed by the viscosity grade according to
ISO 3448. For example, a severe-duty air compressor oil may be designated ISO-L-DAB 68, or abbre-
viated L-DAB 68.
ISO REFERENCE STANDARDS:
ISO 3448 Industrial liquid lubricants — ISO viscosity, classification.

ISO 5388 Stationary air compressors — Safety rules and code of practice
ISO 6521 Lubricants, industrial oils and related products (class L) — Specifications of categories
L-DAA and L-DAB (Lubricants for reciprocating and drip-feed rotary air compressors).
ISO 6743-0 Lubricants, industrial oils and related products (class L) — Classification Part 0:
General.
ISO 8681 Petroleum products and lubricants — Method of classification — Definition of
classes.

MAINTENANCE AND MONITORING

Important:
1. NEVER MIX LUBRICANTS, or change from one type to another, unless complete drain-
ing of the old oil and a thorough cleaning precede the changeover. This applies to petrole-
um base and synthetics equally.
2. Obtain the air compressor manufacturer’s approval before changing lubricants. In some
cases, the lubricant may not be compatible with materials used in the compressor.
There have not been standards specifically established for synthetic lubricants, but many of the
same physical properties, characteristics, and additives are required as listed in Table 1. While syn-
thetics are often sold on the basis of having a life expectancy of four times that of petroleum-
based oils, it is extremely important to maintain an analysis program which samples the lubricant
at intervals recommended by the lubricant supplier. The sampling program may provide basic
information such as antioxidant levels, particle counts, total acid number (TAN), viscosity, and

spectrochemical anylysis, listing the presence of various metals and water in the sample. Even
with such a monitoring program, however, the printed life expectancy of the lubricant should
not be exceeded unless approved by the supplier because depletion of corrosion inhibitors,
rust preventatives, and other important additives may not be reported.

REFERENCES
1. W. Scales, Air Compressors and the Compressed Air System, Complete Building Equipment
Maintenance Desk Book, 2nd ed., Prentice Hall, Englewood Cliffs, NJ, 1992.
2. Compressed Air and Gas Handbook, 5th ed., Compressed Air and Gas Institute, Cleveland, Ohio,
1989.
3. Compressor Engineering Data, Scales Air Compressor Corporation, Carle Place, New York, 1992.

20 Automatic Transmission Fluids*

Ron Desing
Automatic transmission fluids (ATFs) are among the most complex multifunctional fluids avail-
able because they serve many purposes in the transmission. In general, ATF performance is
defined by the service-fill specifications of passenger-car and commercial-vehicle transmission
manufacturers. These specifications establish both testing procedures and pass/fail criteria for
the performance parameters listed above. Measuring the frictional characteristics of the fluid in
contact with the transmission’s frictional elements is especially critical in ensuring acceptable dri-
veability for a particular vehicle.
Since January 1, 1994, General Motors has required the use of fluids certified as meeting its
DEXRON®-III** specification in its passenger and commercial vehicles equipped with auto-
matic transmissions. Fluids that have not been formally approved against these requirements
should not use the DEXRON® term. These fluids are “back serviceable” or suitable for older
GM transmissions. Each DEXRON®-III fluid marketed has a unique “F-number” designation.
Ford Motor Co. has required the use of fluids meeting the MERCON®*** specification since
1987. The specification has undergone significant revisions since its original release. Since
January 1, 1994, only fluids meeting the latest requirements may display the trademark term.
These formulations are identified in the market by an identifying code (“M-number”) beginning
M 93 or higher. MERCON® fluids also are “back serviceable” to Ford vehicles produced since
1981. Generally, vehicles produced prior to that model year require a different type of fluid, Ford
Type F. The use of Type F fluids in transmissions designed for MERCON®, or vice versa, could
result in poor shift quality.
The Allison Transmission Division of General Motors specifies fluids meeting the require-
ments of the Allison C-4 specification for their heavy-duty transmissions used in commercial
and off-highway vehicles.
Caterpillar now requires the use of straight grade fluids meeting its TO-4 specification for
its transmissions, wet-disc brakes, and final drives.
Other transmission makers have different ways to identify suitable fluids. European original
equipment manufacturers (OEMs) such as Mercedes-Benz and transmission manufacturers
Zahnradfabrik Friedrichshafen (ZF), Voith, and Renk do not have a service-fill system, per se.
Instead, they rely on lists of lubricants that they have approved for use. Similarly, Japanese OEMs
do not use a service-fill specification and recommend only their part number fluids, or “genuine”
oils, for service work.
While ATF performance is defined by the specifications of automotive OEMs, a significant
percentage of the fluids produced is used in applications other than automatic transmissions.
These include:
* From Ready Reference for Lubricant and Fuel Performance, The Lubrizol Corp., Wickiffe, OH, 1995, pp. 113-121. With
permission..
** DEXRON® is a registered trademark of General Motors Corp.
*** MERCON® is a registered trademark of Ford Motor Co.

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Automatic Transmission Fluids 249

• Powershift transmissions in off-highway construction, agricultural and mining equipment

• Automotive, industrial, mobile, and marine hydraulic systems
• Power steering units
• Rotary screw compressors
Automatic transmission fluids typically contain antioxidants, antifoam agents, viscosity mod-
ifiers, antiwear additives, friction modifiers, and seal swell modifiers. They are dyed red for iden-
tification purposes.

Automatic Transmission Fluids 251


21 Automotive Engine Lubricants
Yeau-Ren Jeng and Ron Desing
CONTENTS
Engine Lubricant Constituents....................................................................................................253

Physical Requirements for Engine Oils......................................................................................253
Engine Oil Classification and Requirements.............................................................................253
Abbreviations: Organizations Referenced in Tables................................................................255
ENGINE LUBRICANT CONSTITUENTS
LUBRICANT BASE STOCKS:

Mineral oil Refined from crude oils
Synthetic oil Derived from chemical reactions
Mineral base stocks Synthetic base stocks

Paraffins Olefin oligomers (PAOs)
Naphthenes Dibasic acid and polyol esters
Aromatics Alkylated aromatics
Polyaklylene glycols
Phosphate esters
PHYSICAL REQUIREMENTS FOR ENGINE OILS

SAE has established that twelve viscosity grades are suitable for engine lubricating oils. The
physical requirements for these viscosity grades are described in SAE J300, which is intended
for use by engine manufacturers in determining engine oil viscosity grades suitable for use in
their engines. Current viscosity requirements for these grades are shown in Table 1. The U.S.
military imposes additional requirements for the grades in Table 2.
ENGINE OIL CLASSIFICATION AND REQUIREMENTS

The classification of and requirements for engine oils are set by a tripartite arrangement (SAE,
API, ASTM) in the U.S. In Europe, engine oil classifications represent a mixture of a quadri-
partite agreement (ACEA, CEC, ATC, ATIEL) and individual OEM requirements.
In the U.S. API has standardized the labeling of engine oils by adopting the so-called donut
logo. The top half, the “API Service” section, indicates the oil quality level; the lower half, the
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“Energy Conserving” section, states the oil’s degree of fuel efficiency; if fuel economy claims are not
made the low section of the logo is left blank; and the center circle represents the viscosity level.
OIL PERFORMANCE RATINGS

Oils are rated by how they perform in engine tests, rather than on what they contain. These tests,
developed jointly by the auto and oil industries and allied technical societies, represent different engine
requirements. Thus, an oil may be rated only for vehicles up to a certain model year, or it may be rated
for use only in gasoline engines. The various ratings are labeled by the API and are called “service cat-
egories.”
API SERVICE CATEGORIES FOR GASOLINE ENGINES

SH is the highest quality oil available for use in previous and current models. Engine test requirements
are CRC L-38, Sequence IID, Sequence HIE, and Sequence VE.
Category SH was adopted in 1992 to describe engine oil first mandated in 1993. It is for use in
service typical of gasoline engines in present and earlier passenger cars, vans, and light trucks operat-
ing under vehicle manufacturers’ recommended maintenance procedures. Engine oils developed for
this category provide performance exceeding the minimum requirements of API Service Category
SG, which it is intended to replace, in the areas of deposit control, oil oxidation, wear, rust, and cor-
rosion. Oils meeting API SH requirements have been tested according to the Chemical Manufacturers
Association (CMA) Product Approval Code of Practice and may utilize the API Base Oil Interchange
and Viscosity Grade Engine Testing Guidelines. They may be used where API Service Category SG
and earlier categories are recommended.

Automotive Engine Lubricants 255
ABBREVIATIONS: ORGANIZATIONS REFERENCED IN TABLES

ACEA Association des Constructeurs Europeens de l’ Automobile (Association of European
Automotive Manufacturers)
ASTM American Society for Testing and Materials
ATC Technical Committee of Petroleum Additive Manufacturers (Europe)
ATIEL Association Technique de l’ lndustries Européenne des Lubrifiants

API American Petroleum Institute

CCMC Comité des Constructeurs d’Automobiles du Marche Commun (replaced by ACEA)
CEC Couseil Europeen de Coordination pour les Developments des Essais de
Performance des Lubrifiants et des Combustibles pour Moteurs (Coordinating
European Council)
CRC Coordinating Research Council (U.S.)
DKA Deutscher Koordinierungsausschuss im Coordinating European Council (member
CEC)
ILSAC International Lubricant Standardization and Approval Committee
JASO Japan Automobile Standards Organization
JIS Japanese Industrial Standards
SAE Society of Automotive Engineers






22 Diesel Engine Lubricants*
Ron Desing
CONTENTS
Status of API “C”.........................................................................................................................263
Tables...............................................................................................................................................265
Abbreviations..................................................................................................................................271
STATUS OF API “C” COMMERCIAL ENGINE SERVICE

CATEGORIES (FOR FLEETS, CONTRACTORS, FARMERS, ETC.)
CF-4 — 1990 DIESEL ENGINE SERVICE

Service typical of high-speed, four-stroke cycle diesel engines. API CF-4 oils exceed the require-
ments for the API CE category, providing improved control of oil consumption and piston
deposits. These oils should be used in place of API CE oils. They are particularly suited for on-
highway, heavy-duty truck applications. When combined with the appropriate “S” category,
they can also be used in gasoline and diesel-powered personal vehicles — i.e., passenger cars,
light trucks, and vans — when recommended by the vehicle or engine manufacturer.
CF — INDIRECT-INJECTED DIESEL ENGINE SERVICE

Serivice typical of indirect-injected diesel engines that use a broad range of fuel types, includ-
ing those using fuel with high sulfur content; for example, over 0.5% wt. Effective control of
piston deposits, wear, and copper-containing bearing corrosion is essential for these engines,
which may be naturally aspirated, turbocharged, or supercharged. Oils designated
* From Ready Reference for Lubricant and Fuel Performance, The Lubrizol Corp., Wickliffe, OH, 1995, pp. 53-71. With permission.
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for this service have been in existence since 1994 and may be used when API Service Category
CD is recommended.
CF-2 — SEVERE-DUTY TWO-STROKE CYCLE DIESEL ENGINE SERVICE

Service typical of two-stroke cycle diesel engines requiring highly effective control over cylin-
der and ring-face scuffing and deposits. Oils designed for this service have been in existence
since 1994 and may also be used when API Engine Service Category CD-II is recommended.
These oils do not necessarily meet the requirements of API CF or CF-4 unless they pass the
test requirements for these categories.
CG-4 — 1994 SEVERE-DUTY DIESEL ENGINE SERVICE

API Service Category CG-4 describes oils for use in high-speed four-stroke-cycle diesel
engines used in both heavy-duty on-highway (0.05% wt sulfur fuel) and off-highway (less than
0.5% wt sulfur fuel) applications. CG-4 oils provide effective control over high-temperature
piston deposits, wear, corrosion, foaming, oxidation stability, and soot accumulation. These oils
are especially effective in engines designed to meet 1994 exhaust emission standards and may
also be used in engines requiring API Service Categories CD, CE, and CF-4. Oils designed for
this service have been in existence since 1994.
In addition to engine tests, diesel engine oils are sometimes required to show adequate per-
formance in wet brake and transmission applications. Such testing is conducted in the
Caterpillar TO-4 and Allison C-4 tests.

Diesel Engine Lubricants 265


ABBREVIATIONS: ORGANIZATIONS REFERENCED IN

PRECEDING TABLES
ACEA Association des Constructeurs Européens de 1’Automobile (Association of

European Automotive Manufacturers)
API American Petroleum Institute
ASTM American Society for Testing Materials
CCMC Comité des Constructeurs d’Automobiles du Marché Commun (replaced by ACEA)
CEC Conseil Européen de Coordination pour les Developments des Essais de
Performance des Lubrifiants et des Combustibles pour Moteurs (Coordinating
European Council)
CRC Coordinating Research Council (U.S.)




23 Electric Motors and Generators

E. R. Booser
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Electric Motors and Generators 273

24 Hydraulic and Turbine Oil

Specifications
Ian Macpherson and Daniel D. McCoy
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Hydraulic and Turbine Oil Specifications 275




REFERENCES
1. Lubricant Specification Handbook, Ethyl Corp., Richmond VA, 1990, 1991, 1994.
2. Ready Reference for Lubricant and Fuel Performance, Lubrizol Corp., Wickliffe, OH, 1993.

25 Marine Diesel Engines*
The performance of lubricants for marine engines is not defined by a standard classification
system. Standard dynamometer test methods or testing protocols leading to industry-wide
approvals are not available.
Performance levels and the approval process are driven by the major engine builders, most
of whom publish list of lubricants approved for use in their engines. They encourage their cus-
tomers to use lubricants appearing on the approval list. In general, OEMs, a full-scale ship trail
lasting 5000 hours (about 1 year) to approve a lubricant. Engine builders approve only formu-
lation specific lubricants; blanket approvals for additives are not available.
Marine engines generally use residual fuels with high sulfur content (2 to 5% by mass),
although fuels can vary widely around the world. Because the cost of fuel is a significant por-
tion of a ship’s total operating cost, engine designers are optimizing their engines to cut fuel
consumption, and shipowners purchase the lowest cost fuels available. These two factors are
placing greater demands on the quality of the oils used for marine engine lubrication.
Two types of engines dominate propulsion on large ocean-going vessels. Parameters for
each type are listed below:
Two-stroke slow-speed crosshead engines requires two lubricants: one for the upper
cylinder (cylinder oil) and one for the crankcase (system oil). MAN B&W and Sulzer domi-
nate the market for these engines. (Together they account for 90% of the market.) Their
requirements for cylinder oils are generally SAE 50 viscosity grade and 70 TBN. System oils
are usually SAE 30 and 5 to 10 TBN.
Four-stroke medium-speed trunk piston engines require only on lubricant because
they have a common sump for the crankcase and cylinder. The market for these engines is
more fragmented than that for two-stroke engines, and several builders hold a significant
position. Wartsila, Pielstick, Sulzer, MAN B&W, and Mak are among the largest OEMs in this
market. Lubricants for medium-speed engines are generally SAE 30 or 40 viscosity grade;
TBN requirements vary from 12 to 40, depending on fuel sulfur content.
* From Ready Reference for Lubricant and Fuel Performance, Lubrizol Corp., Wickliffe, OH, pp. 107-108, 1995. With permission.
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Marine Diesel Engines 283

26 Railroad Diesel Engines*

There are no generally accepted tests for assessing railroad oil quality. Each engine builder has its
own preferences based on field experience, and only quality in an extended road test can earn
approval for a product. Most commercial oils are compounded with additives to meet the API CD
classification, and they containl a generous reserve of alkalinity to compensate for the high sulfur
content of the fuels burned. Some compositional restraints are imposed — for example, zinc limits
— to prevent engine component damage. Most oils covered in Table 1 are SAE 40 single grades,
but use of multigrade formulations is expanding to improve fuel economy.
In the U.S., the Locomotive Maintenance Officers Association Fuels and Lubricants
Committee has established the Generation designation in Table 2 for railroad diesel engine
oils. The highest quality oils are designated “Generation 5” and must pass the OEM evalua-
tion tests in Table 3 and meet the following requirements:
* From Ready Reference for Lubricant and Fuel Performance, Lubrizol Corp., Wickliffe, OH, 1995, pp, 105-106. With permission.
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Railroad Diesel Engines 285
• Allow drains of 180 days minimum for low-oil-consuming engines averaging 10,000 miles
per month or consuming fuel (0.3 to 0.5% sulfur) at a rate of 20,000 gallons per month.
• Pass OEM oxidation, corrosion, and friction tests.
• Meet OEM engine test requirements.
• Pass OEM field test requirements.

27 Cincinnati Milacron Slideway Oil

Specifications
Ian Macpherson
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III
Industrial Application
Practices

28 Aluminum Production Equipment

Edward J. Myers
CONTENTS
Key to Lubicants for Aluminum Production Equipment...........................................................289

Antifriction Bearing Oil Lubrication................................................................................................290
Grease Lubrication of Antifriction Bearings..................................................................................290
Electric Motor Bearing Grease Lubrication...................................................................................291
Electric Motor Bearing Oil Application..........................................................................................291
Journal Bearing Oil Lubrication........................................................................................................291
Power Train Lubrication.....................................................................................................................292
Enclosed Chain Drives, Gear Head Motors, PIV Drives, Etc....................................................293
Hydraulic System Oil Fluid Practices...............................................................................................293
Hydraulic Fluid Maintenance.............................................................................................................293
Way Lubrication....................................................................................................................................294
Air Compressor Lubrication..............................................................................................................294
Mobile Equipment...............................................................................................................................296
Standard Practice for Acceptance of Lubricants...........................................................................296
Storage and Dispensing.......................................................................................................................297
KEY TO LUBRICANTS FOR ALUMINUM PRODUCTION

EQUIPMENT
CO Low deposit compressor oil.

GO Extreme pressure gear oil.
HO Rust and oxidation inhibited industrial and hydraulic oil.
MO Internal combustion oil — followed by API service classifcation.
WO Anti-stick–slip oils for machine tool slide ways and related hydraulic service.
ATF Automotive automatic transmission fluid.
EPG Extreme pressure general purpose lithium grease.
FR Fire resistant hydraulic oil.
Viscosity of oils and grease grade indicated by these suffixes in parenthesis:
SAE Number for automotive oils.

VG Viscosity grade (centistokes at 40(C) for industrial oils.
AGMA Number for gear oil viscosity grade.
NLGI Penetration grade for grease consistency.
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ANTIFRICTION BEARING OIL LUBRICATION
GREASE LUBRICATION OF ANTIFRICTION BEARINGS

Grease relubrication frequency based on annual hours of operation at maximum bearing tem-
perature of 65°C (150°F), with lubricant type EPG (NLGI 2).
Reduce above frequency 50% for each 15°C (25°F) bearing temperature increase above 65°C
(150°C) or where bearings are subjected to solvents, vibration, chemicals, or hostile environ-
ment. Bearing operating temperature should be limited to 80°C (175°C) where possible to
reduce lubricant oxidation.
For bearing application above 121°C (250°F), only heat-stabilized bearing should be used
and special grease may be required. Bearings should be provided with both grease fittings and
drain relief fittings.
Shots of grease from a medium (7,000 psi) grease gun to relubricate antifriction and plain
bearings.

Aluminum Production Equipment 291
ELECTRIC MOTOR BEARING GREASE LUBRICATION

Relubricate with EPG (NLGI 2) grease for temperatures between 0°C (32°F) and 121°C (250°F).
The above frequency should be reduced by 50% for each 15°C (25°F) bearing temperature
increase above 65°C (150°F) or where the motor is subjected to solvents, vibration, chemicals,
abrasives or temperature.
ELECTRIC MOTOR BEARING OIL APPLICATION

Lubricant HO (VG – 68)
Check oil level on large MG sets daily and add oil as required. Where bearings are checked
each shift by an electrician, lubrication personnel need only check and top off systems
on a weekly basis.
Change oil annually or every 6000 hours of operation. If the bearing oil system is sus-
pected of bearing contamination, the unit should be shut down and the bearing and/or
the bearing oil system drained, flushed, and refilled with new oil.
An excess usage of oil should be investigated as oil contamination of the insulation will
greatly reduce the expected life of the unit.
JOURNAL BEARING OIL LUBRICATION

Automatic lubrication should be considered for any system requiring more than weekly main-
tenance checks.
All circulating systems should be checked annually for contamination. Systems not checked
should be drained and refilled annually. If suspected of being contaminated, the system should
be shut down and bearing oil system drained, flushed, and refilled with new oil.

POWER TRAIN LUBRICATION

ENCLOSED CHAIN DRIVES, GEAR HEAD MOTORS,

PIV DRIVES, ETC.
HYDRAULIC SYSTEM OIL FUND PRACTICES

All new hydraulic systems should be designed with “L” type reservoirs (reservoir along side
pump) and flooded pump inlet. Pumps should be capable of operating on high water-base flu-
ids or 90/10 emulsions.
Hydraulic system design should be limited to 1,000 psi except for rolling mill roll jacks, hydraulic
mill cylinders, and extrusion presses.
When filling or adding make-up fluid to any hydraulic system, all fluid will be filtered through
at least to 10 mm filter element equipped with a maximum number of magnets.
HYDRAULIC FLUID MAINTENANCE

Hydraulic fluids used in low-pressure systems operating below 2000 psi should be analyzed at least
once a year to determine the following:
Approximate viscosity by checking with a Visgauge. Allowable range ±15% of mean viscosi-
ty. Any variation greater should be suspected of being the wrong oil for the application.
Pentane insolubles should be no more than 0.02% by volume and contain no more than a trace
of iron.

Hydraulic oil used in high-pressure systems on extrusion presses equipped with Oilgear pumps
should be checked quarterly for contamination. Particle contamination should be maintained
below 800 particles (>10 µm/ml) or 80,000 particles (>10 µm/100 ml) sample.
Systems utilizing more that 50% makeup as reclaimed oil should be checked semiannually
for viscosity, rust test, flash point, and rotary bomb oxidation. These procedures should
improve pump life, extend oil life, lower total maintenance cost, and give advance warning of
impending pump problems.
WAY LUBRICATION
AIR COMPRESSOR LUBRICATION

Piston Compressor Lubricant CO (VG 68, 100, and 150)

Rule of thumb: 0.1 pints per 500,000 ft2 of swept cylinder wall area.
Experience indicates: Double-acting compressors: Small = 0.02 pints per 60,000 ft.2 of swept
cylinder wall area/hour; large = 0.01 pints per 60,000 ft.2 of swept cylinder wall area/hour.
During periods of initial break-in, the recommended feed rate should be doubled.
Periodic inspection of the cylinder bore should be made. If the walls of the cylinders are dry,
increase oil feed. If there is excessive oil in the cylinder and discharge line, reduce the oil feed.
High oil feed can cause excessive carbon on the valve with loss of efficiency and could cause
a fire and/or explosion in the air supply system.
Annual maintenance should include inspection of the valves, drain and refilling of the
crank case, inspection of intercoolers, aftercoolers, and air receivers.
Compressors should never be run without the intercooler or aftercooler operating proper-
ly. Table below lists the theoretical adiabatic air temperature at compression pressures for sin-
gle and two-stage units.
Rotary Screw Compressors. The following are minimum guidelines for rotary screw compres-
sor lubrication and maintenance. In all cases, the manufacturer’s recommendations will be
reviewed and take precedence.

MOBILE EQUIPMENT (NOT INCLUDING MINING, ORE

HANDLING, OR CONSTRUCTION)
STANDARD PRACTICE FOR ACCEPTANCE OF LUBRICANTS

All bulk deliveries by truck transport or tank car must be accompanied by a certified analysis
and must be delivered to the responsible plant personnel before unloading for review and
acceptance. All drums shall be marked on the opening end with the supplier brand name and
refinery lot number.
Field Ispection—All material will be visibly inspected and any material in question will be
set aside for inspection by the supplier’s representative. Each lot of lubricant will be checked for

viscosity by using a Model No. 38 Visgauge. Any variation of more than 10% of the mean vis-
cosity should be questioned. For oils with a viscosity greater than 200 cSt, the difference may
vary 20% and will only give comparative readings.
STORAGE AND DISPENSING

All drums will be stored inside or in racks providing for horizontal storage of drums. Racks
will be constructed to allow for inventory rotation. All dispensing areas will be covered areas
of a building, free of excessive dust. Racks will be provided for dispensing lubricants. Pumps
will be provided for dispensing grease, oil, and other lubricants. All drums are to have closed
tops. Any open drum is to be discarded.

29 Farm and Off-Highway

Machinery*
Farm tractors, off-highway machinery, industrial tractors and related equipment require a variety of
lubricants, ranging from engine oil to hydraulic fluids and transmissions oils to wet brake fluids.
Except for engine oils, worldwide performance standards for tractor lubricants are sent by original
equipment manufacturers. The most common standards are summarized in Table 1 to 4.
Today’s tractor fluids lubricate transmissions, final drives, we brakes and clutches, and hydraulic
systems, typically from a common fluid reservoir on the tractor. These unique performance charac-
teristics make tractor fluids acceptable for use in both on and off-highway commercial transmissions
and high-pressure hydraulic systems. They can also be used in mining equipment. Because of this
versatility, these fluids are often called universal tractor transmission oils (UTTOs) in North America.
In Europe and some other areas of the world, farmers have accepted the concept of super tractor
oil universal (STOU). STOU oils are formulated to be used in the engine, wet brakes, hydraulic sys-
tems, and transmissions of many farm tractors currently in service.
* From Ready Reference for Lubricant and Fuel Performance, Lubrizol Corp., Wickliffe, OH, 1995, 97-104. With Permission.
0-8493-3904-9/97/$0.00+$.50
Farm and Off-Highway Machinery 299


Farm and Off-Highway Machinery 301
30 Food Industry Lubrication

George R. Arbocus
CONTENTS
Introduction..........................................................................................................................................303
Maintenance Guidelines......................................................................................................................304
Typical Lubricant Applications in the Food Industry...................................................................304
References..............................................................................................................................................308
INTRODUCTION
Processing of food and beverages requires special care in lubricant selection and application to
meet the unique sanitation and toxicity needs of the industry. To meet these requirements, the
federal government exercises direct control over food grade lubricants through standards issued
by two agencies: the U.S. Department of Agriculture (USDA) regulates primarily meat and
poultry plants, while the Food and Drug Administration (FDA) monitors other food manufac-
ture as well as drug production.1,2
Upon satisfactory evaluation of nontoxicity, USDA issues one of two ratings: H1 for use
as a lubricant where there is incidental contact as by splashing or dripping from machinery
above an edible product, or H2 for use where there is no contact, as in sealed gear boxes or
machinery below an edible product line. These classes include a number of petroleum and syn-
thetic oils and greases.
For severe requirements where lubricants contact food on a regular basis, FDA published a
list of authorized ingredients in the Code of Federal Regulations.3 The following three classes
of lubricants are identified:
1. White mineral oil (21 CFR 172.878) used, for example, as a release agent for bakery products, con-
fections, dehydrated fruits and vegetables, and egg whites.
2. Petrolatums (21 CFR 172.880), used in applications similar to white mineral oils.
3. Technical white oils (21 CFR 178.3620), used in processing aluminum foil for food packaging, in
manufacture of animal feed and fiber bags, and on food machinery.
These are highly purified petroleum products which have been fully refined by either acid
treatment or hydrogenation to remove all unsaturates, aromatics, and coloring materials to meet
U.S. Pharmacopoeia (USP) requirements.
While the lubricant applications that follow are based on previous use, equipment manu-
facturers should be consulted on specific cases. Much of the equipment utilized in food plants
is of unique design, often operates in wet or moist environments, and may be exposed to high
pressure hoses and cleaners for maintaining the required degree of sanitation.
0-8493-3904-9/97/$0.00+$.50
MAINTENANCE GUIDELINES
Lubricant selection
• Select lubricants per machine manufacturer’s instructions.
Lubricant storage
• Store indoors in clean, dry areas.
• Avoid contact with hot pipes, ovens, etc.
• Use older stock first.
Lubricants in use
• Transfer containers must be clean.
• Do not use glass or galvanized metal transfer containers, use plastic.
• Avoid contamination! Replace lids and bungs.
Grease applications
• Flush old grease out when changing brands.
• Isolate guns used for “food grade” greases.
• Remove vent plug before applying, replace plug after new grease appears.
• Over-greasing can damage seals and contaminate product.
Oil applications
• Check level when equipment is idle.
• Foaming can be due to incorrect oil level, moisture, air, leaks, or wrong oil.
• In wet applications, allow water to separate, drain off, replace with fresh oil to proper level.
Bearing care
• Keep bearings in factory container — wrapped until ready to use.
• Never use compressed air to dry or spin bearings.
• Check housing and shaft fits before mounting. Check print or bearing manufacturer for
corect dimensions.
Hydraulic systems
• Keep oil clean!
• Replace or service oil filters as recommended.
• Clean strainers regularly (monthly or as required).
• Don’t change oil because it looks old — analyze!
Air compressors
• Check oil level daily.
• Service air intake filters monthly, more often in dusty environment.
• Service or change oil filters per manufacturer’s recommendations.
TYPICAL LUBRICANT APPLICATIONS IN THE FOOD INDUSTRY

Note: Refer to manufacturer’s recommendations to verify lubricant type and grade.
BAKERIES
Dough Mixer, Sifter, Divider
General greasing: NLGI #2 USDA “H-l” aluminum complex grease

Gear drives: ISO 320 or ISO 680 gear oil (check manufacturer)
Open gears: over product line: USDA “H-l” tacky grease; below product line — industrial com-
pound
Chains and general: ISO 150 or ISO 220 USDA “H-l” products where contact is possible
Oil applications: ISO 150 or ISO 220 where no product contact anticipated

Food Industry Lubrication 305
Proofers and Coolers
Chains, product contact possible: ISO 150 “H-1” oil; no contact anticipated: ISO 150 tacky oil
Gear drives: ISO 320 or ISO 680 gear oil
Bearings: NLGI #2 “H-l” aluminum complex grease
Ovens
Bearings in ovens: Synthetic high temperature NLGI #2 grease

Bearings outside of ovens: NLGI #2 aluminum complex grease
Oven chains: graphite or molybdenum disulfide oil
General oiling: ISO 150 lubricating oil
BREWERIES
Brew House
Beer cocks, lauter tubs (stuffing box), oil plungers, miscellaneous oil applications: ISO 68 “H-l”
General grease
Product contact possible: NLGI #2 “H-l” grease
No product contact: NLGI #2 lithium or aluminum complex
De Palletizers
Airline oil: ISO 32 oil

Hydraulic system: ISO 32 or 46 oil
Bearings: NLGI #2 lithium or aluminum complex grease
Gear drives: ISO 220 or 460 gear oil
Packaging
Fillers — valves
Grease: NLGI #1 or 2 “H-l” grease
Oil: ISO 100 “H-l” oil
Can closers
Grease: NLGI #1 or 2 “H-l” grease
Oil: ISO 100 “H-l” oil
Pasteurizers
Chain: tacky ISO 150 chain oil

Grease: NLGI #2 aluminum complex
Palletizers
Airline oil: ISO 32 oil

Hydraulic system: ISO 32 or 46 oil
Bearings: NLGI #2 aluminum complex grease
Gear drives: ISO 460 gear oil

AIRIES
Milk Receiving
Truck pusher, dock leveler: ISO 32 or 5W20 hydraulic oil

Conveyors, rails: NLGI #2 aluminum complex grease
Compactor
Hydraulic power unit: ISO 32 or 5W20 hydraulic oil
Milk Processing
Mixing tank gear drives: ISO 460 gear oil

Homogenizer gear drive: ISO 460 gear oil
Fillers (Various Types)
Grease fittings: NLGI #2 grease

Airline lubricator: ISO 32 hydraulic oil
Chain drives: tacky ISO 150 chain lubricant
Automatic Casers

Airline lubricator: ISO 32 hydraulic oil
Case Conveyors
Chain drives: tacky ISO 150 chain oil

Airline lubrication: ISO 32 hydraulic oil
ICE CREAM MANUFACTURE

Note: Some dairies may operate special equipment to prepare ice cream products. This equip-
ment frequently requires lubricants similar to those used in milk processing operations.
Lubricants with low-temperature performance are also utilized.
FRUIT AND VEGETABLE PROCESSING

Bearings
Grease, normal conditions

Possible product contact: NLGI #2 “H-l” grease
No contact anticipated: NLGI #2 aluminum complex or lithium base grease
Grease for acids and alkali conditions: NLGI #2 chemical resistant grease
Oil lubrication, normal conditions: ISO 100 or 150 rust and oxidation inhibited
Oil lubrication, acid, and alkali conditions: consult lubricant supplier

Food Industry Lubrication 307
Fillers
Valves: NLGI #1 or #2 “H-l” aluminum complex grease

Gear drives: ISO 220 or ISO 460 gear oil
Chains: ISO 150 “H-l” tacky lubricating oil
Can Closers
Feed chains: “H-l” ISO 150 lubricating oil

Bearings (hand gun): NLGI #2 “H-l” grease or NLGI #2 aluminum complex or lithium
grease
Bearings (lubrication system): NLGI #0 or #1 “H-l” aluminum complex grease or NLGI
#0 or #1 lithium grease
Can covers in stack: semifluid “H-l” lubricant
Freezing/Cold Storage
Bearings, hand gun: low-temperature NLGI #2 lithium grease

Refrigeration compressors
Ammonia service: ISO 68 naphthenic oil
Other refrigerants: check manufacturer’s recommendation
SOFT DRINK PLANTS

De Palletizers
Airline oil: ISO 32 lubricating oil

Hydraulic system: ISO 32 or 46 hydraulic oil
Bearings: NLGI #2 lithium or aluminum complex grease
Gear drives: Check manufacturer’s recommendation
Fillers, Crowners
Bearings (hand gun): “H-l” NLGI #1 or #2 grease

Chain drives: “H-l” ISO 100 lubricating oil
Can Closers
Bearings (hand gun): NLGI #2 “H-l” grease or NLGI #2 bearing grease

Bearings (lubrication system): NLGI #0 or #1 “H-l” grease or NLGI #0 or #1 grease
Chains: “H-l” ISO 100 lubricating oil
Can covers in stack: semifluid “H-l” lubricant
Labelers
Grease gun: “H-l” NLGI #2 aluminum complex grease or NLGI #2 bearing grease
Open gears, slides, and cams: tacky “H-l” grease or industrial open gear lubricant aerosol

REFERENCES AND ADDITIONAL READING
1. Guidelines for Obtaining Authorization of Compounds to be used in Meat and Poultry Plants,
FS&I Service Agriculture Handbook #562, reprinted December 1990, U.S. Department of
Agriculture, Washington, D.C.
2. Morawek, R. and Rhodes, R., Food Grade Lubricants and Their Applications, paper presented at
S.T.L.E. Ann. Meeting, Dearborn, MI, April 17 to 20, 1978.
3. Code of Federal Regulations, Vol. 21, Parts 170 to 199, revised annually, U.S. Government Printing
Office, Washington, D.C.
4. Food Engineering Magazine, Chilton Publication, Radmor, PA, (published 11 times per year).
5. Arbocus, G., Lubrication practices in food processing industries, CRC Handbook of Lubrication, Vol.
1, Booser, E. R., Ed., CRC Press, Boca FL, 1983, 359–371.
6. Brown, J., Power Transmission Design, Penton Publishing, Cleveland, OH, 39–42, Oct. 1991.

31 Forest and Paper Products

Frederick J. Villforth, III
CONTENTS
Key to Lubricants..............................................................................................................................309
Some Lubricant Recommendations in the Forest and Paper Products Industry....................311
References...........................................................................................................................................319
KEY TO LUBRICANTS
HO — Antiwear Hydraulic Fluids
Typically ISO VG-32, 46, 68, 100, 150, 220, antiwear hydraulic fluids made from high quality
paraffinic base oils with excellent stability, containing additives to prevent rust, oxidation, and
deposit formation, and to promote very rapid release of entrained air. Excellent wear protec-
tion is required for a variety of hydraulic pump metallurgy.
CO — Circulating Oils for Centralized Lubrication Systems
Typically ISO VG-32,46, 68, 100, 150, 220 lubricating oils made from high quality paraffinic
base oils, with additives to prevent rust, oxidation and deposit formation, antifoamants. They
must exhibit good water separation and filterability.
RC — Residual Compounded Oils for Open Gears, Sprockets, Wire Rope, and Chains
Heavy, adhesive-type lubricants typically meeting requirements of AGMA Lubricants 14R and
15R. These compounded residual oils can be semifluid to solid. They should provide excellent
wear protection, prevent rust, resist water washout, and adhere to metal surfaces.
GO-IEP — Industrial Gear Oils, Extreme Pressure
Typically ISO VG 68, 150, 220, 460, and 680 oils which meet requirements for AGMA No.
2EP, 4EP, 5EP, 7EP, 8EP. A high quality industrial gear oil with effective extreme pressure
additive, good oxidative and thermal stability, good antifoam and water shedding properties.
GO-HY — Gear Oil for Hypoid Gears
Typically SAE 80W-90 viscosity grade oils, demonstrating API GL-4/5 (shock loading) per-
formance are used for hypoid gear differentials in the transportation industry. Oils should
demonstrate excellent thermal stability, EP, antiwear and antifoam properties, demulsibility,
rust and corrosion protection.
GR-C — Coupling Grease
Typically NLGI-0/1 greases, meeting requirements of AGMA CG-1, CG-2, or CG-3. Special
grease for all types of couplings, formulated with special thickeners, high-viscosity base oil,
and tackifier to prevent high speed separation and throw-off. Also provides extreme pressure
and antiwear properties, superior resistance to water washout, corrosion, and rust protection.
Suitable for use in continuous service up to 250°F and for short periods up to 325°F.
0-8493-3904-9/97/$0.00+$.50
GR-M — Multipurpose Industrial and Automotive, Extreme Pressure (EP) Grease

Typically NLGI-2 greases, or NLGI-1 for some applications. Multipurpose grease, prepared from
highly refined mineral oils and containing oil-soluble, nonlead extreme pressure additives. Provides
rust and oxidation inhibitors, and resists water washout. Suitable for use in continuous service up to
250°F and for short periods up to 350°F.
GR-S — Heavy Duty (HD) Industrial, EP, High-Temperature (HT) Operation Grease
Typically NLGI-2 greases, or NLGI-1 for some applications. Grease with high dropping points, pre-
pared from highly refined paraffinic base oils, with additives to provide superior rust and corrosion
protection, resistance to water washout, oxidation stability, extreme pressure properties, and wear pro-
tection under high loads. Suitable for use in continuous service up to 325°F and for short periods up
to 450°F.
GR-P — HD Industrial, EP, High Load, High Water Exposure, HT Operation Grease
Typically NLGI-1 grease with characteristics described for GR-S, but higher viscosity base oils (ISO
460) provide protection under high loads and under excessive water exposure conditions. Suitable for
use from 0°F to continuous service up to 325°F, and for short periods up to 450°F.
GR-NS — HD Industrial, EP, HT Operation, Nonstaining, Synthetic Base Oil Grease
Typically NLGI-1 or 1½ grease, made with a synthetic base oil to provide a nonstaining grease. These
types of greases have high dropping points (450°F+), provide the highest levels of EP and antiwear
properties, superior rust and corrosion protection, resistance to water washout, and excellent oxida-
tion stability. Suitable for use from -30°F to continuous service up to 350°F, and for short periods up
to 450°F.
GR-MG — Grease for Operating under Severe Water and Load-Carrying Conditions
Typically an NLGI-2 grease made with high-viscosity base oil, with molybdenum and graphite added
to provide high load-carrying capability and superior resistance to water washout.
WR — Wire Rope Lubricant
A wire rope compounded oil, usually semifluid and tacky, with a low pour point so that it remains pli-
able under most ambient conditions, adheres well to metal surfaces, provides wear and rust protec-
tion, and resists water washout.
PT — Pneumatic Tool, and Other Air Cylinders, EP Lubricant
Typically ISO VG 100 oils, blended specifically for air tools from stable base stocks. They contain
extreme pressure and oiliness additives, have low fogging, good antifoam, rust and corrosion protec-
tion, low deposit-forming tendencies, and easy emulsification.
PMO — Paper Machine Oil
Paper machine oils are specially designed circulating oils for use in centralized lubrication systems of
paper-making machines. These oils use highly refined base stocks with additives to provide excellent
resistance to oxidation, rust and copper corrosion protection, resistance to deposit formation, excel-
lent demulsibility, and antiwear and filterability properties. PMOs are typically available in ISO VG-
150, 220, 320, and 460.
SCO — Steam Cylinder Oils and Worm Gear Lubricants
Typically ISO VG-460, 680, and 1000, meeting requirements for AGMA 7 Comp, 8 Comp, and 8A
Comp oils. These oils are compounded high VI oils that separate easily from condensate and have
excellent lubricity, wetability, foam resistance, and rust protection.
USDA/FDA — Personal Care Product Manufacture Lubricants
Lubricating oils, greases, and hydraulic fluids that are approved by the U.S. Department of Agriculture
as H-1, Lubricants with Incidental Contact, and meeting the U.S. Food and Drug Administration spec-
ification 21 CFR 178.3570. These lubricants must be the correct viscosity and provide the perform-
ance required by the machine in which they are used.
API — American Petroleum Institute
API classifications indicate a product quality level demonstrated by successfully passing performance
tests in the type equipment in which the lubricant is to be used. Engine oil tests must be conducted
according to the Chemical Manufacturers Association Product Approval Code of Practice. Oils must
be licensed to use an API designation.

Forest and Paper Products 311
SAE — Society of Automotive Engineers

SAE defines viscosity ranges of lubricants under various test conditions. These specifications
do not define lubricant performance characteristics that may be required for the intended
application.
ISO — International Standards Organization
Eighteen ISO Viscosity grades from 2 to 1500 are based on minimum/maximum kinematic
viscosity (cSt) measured at 40°C. These grades do not define lubricant performance character-
istics that may be required for the intended application.
ILSAC — International Lubricant Standardization and Approvals Committee
ILSAC issues specifications listing minimum performance standards for gasoline engine oils in
a variety of engine and physical tests. Qualifying oils of 0W-, 5W-, and 10W-SAE viscosity
grades can use the ILSAC “Starburst” Certification Mark.
NLGI — National Lubricating Grease Institute
A series of numbers classifying the consistency range of greases, in order of increasing hard-
ness defined by an ASTM penetration test. This classification does not define grease perform-
ance characteristics that may be required for the application.
AGMA — American Gear Manufacturers Association
A series of lubricant specifications for industrial enclosed gear drives and industrial open gear-
ing. Various applications include Rust and Oxidation Inhibited, Extreme Pressure (EP),
Compounded Lubricants, and Residual Lubricants.
SOME LUBRICANT RECOMMENDATIONS IN THE FOREST

AND PAPER PRODUCTS INDUSTRY

(Note: After January 1996, API CD, CD-II, CE categories will no longer be licensed; some
products may still be in the marketplace.)







REFERENCES
1. LUBRICATION, Forest Products Industry-I, Logging and Lumber, Volume 80, No. 2, 1994; LUBRICA-
TION, Forest Products Industry-II, Stock Preparation and Chemical Recovery, Volume 80, No. 3, 1994;
LUBRICATION, Forest Products Industry-III, Paper Making and Finishing, Volume 80, No. 4, 1994 —
Texaco Inc., New York.
2. Handbook of Paper Science: The Science and Technology of Papermaking, Paper Properties & Usage, 2
Volumes, 1980 and 1982, Ranee, H. E, Elsevier Scientific, New York.
3. Saltman, D., Paper Basics: Forestry, Manufacture, Selection, Purchasing, Mathematics and Metrics, Recycling,
Kroeger Publishing, 1991, Melbourne, FL.
4. Timber Harvesting, 4th ed., American Pulpwood Association Staff, 1988, Interstate Printers and
Publishers, Danville, IL.

32 Machine Tools*
Douglas W. Vallance
CONTENTS
Introduction..................................................................................................................................................320
Machine Tool Construction......................................................................................................................320
Environmental Considerations.................................................................................................................322
Particulate Contamination in Hydraulic and Lubrication Systems....................................................322
Machine Condition Monitoring................................................................................................................325
Typical Lubricant Delivery Systems.........................................................................................................326
Lubricants Classification............................................................................................................................327
References.....................................................................................................................................................331
INTRODUCTION
Machine tools are relied upon heavily by manufacturing industries for production of parts and
ultimately finished goods. Machine tools include a diverse array of types, such as milling machines,
lathes, grinders, planers, broaches, drills, and a wide variety of multipurpose and specialized equip-
ment. Computer numerical control and automatic work handling are common.
The quality of a machine tool is inevitably judged by its speed and precision. Lubrication facil-
itates this performance through the reduction of friction and its two detrimental attendant effects,
wear and thermal instability. For simplification, ease of maintenance, and increased reliability,
there has been a concerted attempt to reduce the number of different lubricants required in a
given machine. Since a great multiplicity of components all perform different functions on even
the simplest machine, however, it is not uncommon to require several different products.
MACHINE TOOL CONSTRUCTION

A brief discussion of the types of materials used in machine tools may promote a better under-
standing of their lubrication requirements.
STRUCTURAL MEMBERS
The degree of rigidity required to minimize deflection dictates a somewhat massive structure and,
consequently, stress levels are insignificant in beds, bases, slides, housings, and other structural
members. Cast iron serves in most applications. Fortunately, gray cast iron possesses excellent
vibration dampening capacity, and the free graphite particles provide some inherent lubrication.
* This section is revised and updated from J. E. Denton, Machine Tools, in CRC Handbook of Lubrication, Vol. 1, CRC Press, 1983,
167-180.
0-8493-3904-9/97/$0.00+$.50
Machine Tools 321
Fabricated mild steel weldments are frequently used in very large machines where a casting is
not practical. While fabricated steel weldment design has progressed to the point where dynamic
vibration dampening is equivalent to cast iron, bearing properties of mild steel are unsuitable, and
attached bearing strips of another material are required. Aluminum castings take advantage of their
low density and reduced inertia in high-speed equipment-supporting members such as brackets,
housings, and arms. Since bearing properties of aluminum are marginal, bushing inserts of bronze
or some other material are sometimes required.
SLIDEWAYS
Where cast iron is used as the base or structural material, the slideways are usually made integral
with the casting. When steel fabrications are used, slideways of hardened steel or specially alloyed
and heat-treated cast iron strips may be attached to the bed. By far, however, the major application
in plain slideways (i.e., flat surface vs. flat surface) involves the use of pearlitic gray cast iron.
In numerically controlled equipment, two different systems are used to achieve the lowest pos-
sible friction: (1) plastic bearing inserts based on polytetrafluroethylene (PTFE) and (2) antifriction
linear roller bearings on hardened steel ways.
POWER TRANSMISSION COMPONENTS

Spindles, shafts, gears, and other power transmission components are generally made of heat-treat-
ed steel. Hardened and tempered medium carbon alloy steel such as AISI 4150 is common.
Carburized and hardened steels such as AISI 8620 are frequently used where high-bearing contact
stress is encountered. Cams, guides, rails, and other members subject to extreme wear are some-
times made from highly alloyed tool steels such as AISI A-2, M-2, or similar wear-resistant grades.
BEARINGS
Antifriction ball or roller bearings are used extensively in machine tools. Through-hardening and
case-hardening steels are commonly used in these rolling element bearings. Hydrostatic bearings,
also frequently employed in machine tools, use cast iron, tin bronzes, oil impregnated sintered
bronzes, tin babbitt, and occasionally nylon.
SURFACE COATINGS
Typical coatings used on machine tool components to enhance friction characteristics, to increase
wear resistance, or to improve corrosion resistance include anodizing, hard chromium, phosphat-
ing, and nickel-based coatings with and without fillers. Under low-unit load conditions, anodized
coatings perform well on aluminum to prevent galling and to increase wear and corrosion resist-
ance. Hard chromium deposits are sometimes specified for enhancement of frictional characteris-
tics or resistance to fretting. They are frequently used on shafts that run against elastomeric lip seals.
Hard chromium shows a remarkable tendency towards nonwetting and does not maintain a con-
tinuous fluid film of lubricant.
Phosphate coatings are used primarily as attrition coatings to provide resistance to pick-up and
scoring during the wear-in phase on new equipment. The crystalline coating is sacrificially worn
away, with the wear debris serving to prevent metal-to-metal contact. Phosphate coatings are typi-
cally absorbent and provide a good base for retention of lubricants. Manganese phosphate coat-
ings are the preferred type for this application.
Electroless nickel systems provide hard, corrosion-resistant surfaces of uniform thickness that
resist wear and abusive environmental conditions. Very low surface friction can be achieved
through addition of second phase particles such as PTFE-based compounds.

ENVIRONMENTAL CONSIDERATIONS
TEMPERATURE FLUTUATIONS
Temperature fluctuations can have a drastic effect on the precision of a machine tool. Thermal gra-
dients existing within a structure can result in very complex geometric distortions. Dissimilar metals
such as steel, cast iron, bronze, aluminum, and stainless steel can introduce further complexities owing
to their different coefficients of expansion. Temperature changes and subsequent thermal expansions
may significantly affect precision-bearing preloads as well.
Ideally, machine tools operate in benevolent surroundings for the comfort of the operator. Where
very high-precision work is being done, it may be necessary to provide a controlled constant temper-
ature environment. Most machine tool lubricants operate in a “room” temperature ambient at or near
40°C. Thermal gradients may arise from operational effects as well as changes in ambient conditions.
Heat is generated within the machine itself by such sources as friction, electrical motors, fluid shear,
and gas compression. Normal operating procedure involves a warm-up period to allow the machine
to reach some degree of thermal equilibrium before beginning actual production.
The hydraulic system represents the dominate source of internally induced heating. Fluid shear
contributes to most of the bulk system temperature rise. Another real heat source is adiabatic com-
pression of entrained air bubbles to intense elevated temperatures as the fluid passes through the
hydraulic pump.1 High-production equipment, where heat generation exceeds heat loss, requires sup-
plemental cooling by chilled water or refrigerated heat exchangers. This is necessary both to control
thermal distortion of the equipment and to protect the hydraulic fluid from thermally induced degra-
dation. These devices are normally set to maintain a bulk oil temperature of 40°C (104°F).
MOISTURE CONSIDERATIONS
Moisture, both as condensation from humid air and as contamination from water-based cutting flu-
ids, can have a very deleterious effect on the performance and life of the lubricant. If the housing is
not properly vented, cooling-off periods when the machine is shut down can generate substantial neg-
ative pressure inside the machine to draw cutting fluid past otherwise tight seals.
Normally, water is undesirable as a dispersant in machine tool lubricants. The maximum oil tem-
perature reached in service is not sufficiently high to drive off dispersed water, and sludging or rust-
ing problems may result. It is preferable that entrained water in the system be allowed to separate out
in a location where it can be drained off. The oil should contain a rust inhibitor to prevent rusting of
component parts.
Water can also have a detrimental effect on the life of rolling element way bearings and internal
ball and roller bearings when the lubricant in use inadvertently becomes cross contaminated with
water-based metal working fluids commonly employed during machine tool usage. “A concentration
of water of 0.01% is enough to decrease rolling element bearing life to half its original value.”2,3
PARTICIPATE CONTAMINATION IN HYDRAULIC AND

LUBRICATION SYSTEMS
Solid particulate matter can accumulate in lubricants, causing excessive wear, seizing of hydraulic com-
ponents, and degradation of the lubricant. The typical radial clearance between the spool and bush-
ing in a hydraulic servo valve is 10 µm (0.0004 in. or 10 microns). This means a 10-µm particle can
seize the valve, and 5- to 10-µm particles can promote severe wear, cause sticking and subse-
quent reduced performance and reliability. The lower limit of resolution of the unaided human
eye is approximately 40 µm (0.0016 in.). Obviously, it is impossible to visually determine when
a fluid is clean for numerically controlled servo system requirements without the aid of a
microscope.

Machine Tools 323
Hard, solid particles of size greater than the elasto-hydrodynamic film thickness in a rolling
element can decrease bearing fatigue life 80 to 90%,3,5 while extremely clean lubricant can
extend bearing life 15 to 30 times past normally calculated life.3,6
SOURCES OF CONTAMINATION
Most particulate matter that finds its way into hydraulic systems comes from three basic
sources: residual debris from manufacturing operations, contamination from external sources,
and internally generated wear debris.
Typical examples of built-in contamination include machining chips, core sand from cast-
ings, rubber fragments from hoses and seals, lint from shop towels, rust, and weld scale.
Contaminates from external sources include airborne grinding grit, paint spray, dust, and lint,
which enter the system through lack of adequate filtration in air breathers, open fill caps, and
through seals on actuators. Even though oil as refined may be very low in particulate level, oil
from drums is invariably contaminated unless special filtration procedures are followed during
machine reservoir additions. Internally generated contamination may consist of wear debris,
paper fibers from deteriorating filter elements, sheared “O” rings, and oil degradation prod-
ucts.
FILTRATION
The practice of using the hydraulic fluid as a general purpose lubricant for gear trains, clutch-
es, and bearings requires a properly designed filtration system. During break-in periods of
operation, excessive amounts of wear debris may be generated which can result in self-destruc-
tive operation. During assembly of a new machine, it is common practice to substitute a tem-
porary manifold block for critical servo valves and flush the system by recirculating the
hydraulic fluid with appropriate external filtration. When it has been determined by periodic
particle counts that the system is clean, the temporary flushing manifolds are removed and the
servo valves installed. This procedure prevents clogging and seizing of these critical valves dur-
ing the period when the built-in contamination level is highest.
In general operation, machine tools require continuous filtration to remove airborne con-
taminants and internally generated wear debris. Two general categories of filtration use either
absolute or nominal type filters. Absolute filters generally require a beta ratio of 75 or better,
where the beta ratio is given by:7
Filter efficiency is then calculated as follows:7
These efficiencies may be calculated during multipass testing.

Filters rated to a nominal micron value will usually allow passage of a portion of particles
greater in size than the filter rating, but these filters usually increase in efficiency as they
become dirtier, which allows for collection of smaller size particles.
Absolute filters at pump outlet lines are used to protect critical systems from debris in the
event of a pump failure. Filtration can also be used in return lines or in bypass systems such
as those used on oil coolers. Return line and bypass system filters can be generally rated to a
much lower operating pressure, thereby reducing cost.

A pressure differential sensor gives a signal when a predetermined level of filter loading is
reached, and the filter automatically shifts into by-pass. It is essential to change the filter promptly
when this occurs to protect system components. In very critical systems the filter load signal may
actually shut down the equipment.
DETERMINATION OF CONTAMINANT LEVEL

Several techniques have been devised to determine the contamination level in hydraulic systems.
Perhaps the most direct method is to filter a known volume of the fluid through a membrane fil-
ter that retains all of the particles on its surface. These particles can then be examined microscop-
ically to identify their origin and counted to yield a quantitative contamination level. The disadvan-
tage of this technique is that it is very tedious and time-consuming. A semiquantitative method
sometimes used is to filter a known volume of sample through a membrane-type filter and com-
pare the resulting appearance to a series of standard filter samples. This method can yield mislead-
ing information, since evaluation depends upon the intensity of color rather than particle size or
distribution.
Direct reading ferrography subjects a stream of fluid to a magnetic field gradient and measures
decreased light penetration at known positions of the field. This decrease in light passing through
the stream is correlated to the amount of ferrous particles in the oil. Analytical ferrography also
subjects a thin stream of fluid to a magnetic field gradient. Particles are precipitated from the fluid
as a function of size and magnetic permeability to produce a sample “streak.” These samples may
be fixed for retention as a permanent record. They may also be evaluated qualitatively by micro-
scopic examination.
Probably the most appropriate method for rapid particulate level determination is automatic
counting by light beam interruption. In this technique, the sample fluid is made to flow through a
narrow aperture past a window. A laser light beam passes through the window and fluid and falls
upon a photo tube. When an opaque particle carried by the fluid stream passes through the light
beam, an electric signal is generated by the photo tube, which is proportional to the size of the par-
ticle. By suitable circuitry these signals may be classified and counted to yield a particle size vs. count
distribution curve. Entrained air must be removed from the sample prior to particle counting as gas
bubbles will also be counted as particles. Vacuum degassing is one common way to remove
entrained air from oil samples, or slight pressurization will cause the air bubbles to dissolve in the
oil.
Automated techniques to measure oil flow through calibrated membranes are available which
have shown good correlation with light- or laser-type particle counters. Capacitative methods are
also used with commercial success to determine contamination levels in hydraulic and lubrication
samples.
Sampling techniques for oil analysis are extremely important. Sampling locations and conditions
should remain constant over time. Clean sample bottles and draw tubes should be utilized. Sampling
should occur away from the sides or bottom of reservoirs. Sampling ports in hydraulic lines should
be positioned in areas of turbulent flow. Samples should be agitated or shaken prior to measuring
particle contamination. Failure to take these precautions may result in inaccurate results and
improper corrective action.
Standards in current use with hydraulic fluids for expression of particle size and distribution
tests include A1A NAS 1638 and ISO 4406 as shown in Table 1. The current industry standard in
machine tool oil cleanliness is to report a two-digit ISO cleanliness code based on the number of
particles greater than 5 and 15 as an ISO range5µm/range15µm. For example, an oil sample containing
2000 particles greater than 5µm /ml fluid and 30 particles greater than 15 µm/ml fluid would be
reported as an ISO 18/12 cleanliness code. This code can also be reported with particles greater
than 2 µm for increased resolution, i.e., an ISO 24/18/12 code. The methodology used should be
reported along with the result code.
Oil cleanliness levels to be maintained should be determined on an individual basis due to the
wide variety of systems in use. Hydraulic servo control systems require the greatest cleanliness,

Machine Tools 325
while simple hydraulic power transmission systems may be more tolerant to particle contamination.
Hydraulic pump and valve manufacturers recommend oil cleanliness values in their literature or will
provide values upon request.
Ten micron-nominal rated filters have been found to maintain cleanliness levels around 18/15
(5- and 15-µm size, respectively). This level is generally more contaminated than recommended for
machine tool hydraulic pumps and valves. Use of 3- to 5-µm filters can produce levels 12/8 and
below which is a fairly clean range for machine tool operation. These levels can vary dramatically,
depending on the effectiveness in prevention of ingress of external contamination. Table 2 reports
some general guidelines for machine tool hydraulic cleanliness levels. Increased cleanliness has been
shown to be effective in reducing internal machine tool component wear and increasing long-term
reliability.
MACHINE CONDITION MONITORING

Machine condition monitoring is enjoying more widespread use as it has become more exact and
cost-effective in helping to prevent catastrophic failure, reduce down time, decrease maintenance
costs, and increase reliability. Machine condition monitoring is in part accomplished through analy-
sis of wear particles carried in lubricants during normal operating service. Oil or grease samples are
taken periodically and characterized for amounts of wear particles along with morphologies and
potential sources to trend the machines’ operating characteristics. When abnormal

particles are present or seen to be significantly increasing, corrective actions are recommended. These
can usually reduce downtime for machine repair and often eliminate secondary failures due to system
contamination.
Instrumentation for in-house analysis and commercial laboratories which provide machine con-
dition monitoring services are becoming more common. At the same time the machine condition is
checked, evaluation of the lubricant for properties which make it effective (viscosity, total acid num-
ber, etc.) extend the lubricant use as long as possible.
TYPICAL LUBRICANT DELIVERY SYSTEMS

SYSTEM DESIGN
A detailed analysis of recommended practice when designing a lubrication system for a machine tool
is given in ASLE Standard Number 70–4.8 The machine tool user must be furnished with a lubrica-
tion schedule including a schematic drawing showing fill points, a description of the lubricant to be
used, the capacity of the system, and the lubrication intervals to be observed. ISO 5169 — Machine
Tools — Presentation of Lubrication Instructions provides an effective way to present this informa-
tion as illustrated for a vertical machining center in Figure 1. Plates containing this information are
attached to individual machines.
LUBRICATION SYSTEM ELEMENTS

There is a trend in the machine tool industry to simplify lubrication requirements through fewer types
of lubricants, lubed-for-life units, and automatic lube delivery systems. ISO 5170 — Machine Tools
— Lubrication Systems provides an international standard for system classification and specifications
regarding components of these systems. Hand oilers are used only in the simplest equipment because
lubrication can only be applied to accessible points, and the operator must be relied upon to attend
conscientiously to this chore. Sight feed oilers represent some improvement over hand oilers in that a
reservoir is provided along with a metered rate of application.
Gear boxes and transmissions usually involve partial immersion or splash lubrication to lubricate
gears and bearings. In cascade or flood systems, a continuous stream of lubricant is pumped over
enclosed components such as spindles and gear trains mounted in housings. Frequently, supply oil
from the hydraulic system is used for this purpose.
Centralized forced feed systems incorporated in virtually all high-production machines consist of
a reservoir, a pump, and delivery lines to adjustable metering valves at the various points requiring
lubrication. This type of system can also utilize the hydraulic oil supply. The advantage of a central
system is that a constant supply of lubricant is delivered even to points inaccessible to the operator
whenever the machine tool is in operation, without the need for attention by the operator.

Machine Tools 327
FIGURE 1 Schematic illustrating effective lubrication instructions and schedule for machine tool
lubrication maintenance. (From Cincinnati Milacron, Cincinnati, OH. Saber Vertical Machining
Center lubrication plate. With permission.)
Mist lubrication is a specialized method which pneumatically atomizes the lubricant into an
aerosol for delivery, usually to ball bearings. The aerosol particles coalesce into larger droplets on
the bearing surfaces to provide the desired lubrication. The air stream that carries the droplets
also serves to cool the bearing. When operating at moderate to high velocity, a ball bearing can
act as a pump to force a liquid stream back out of the bearing so that flow of the lubricant
through the bearing is impeded. Mist lubrication helps to overcome this tendency.
Air/oil systems are becoming more frequently utilized as the trend for increased spindle
speeds continues. Using a controlled oil injection system to deliver precise amounts of oil to indi-
vidual bearings at controlled intervals, these systems allow for better delivery control than does
mist lubrication.
LUBRICANTS CLASSIFICATION
Lubricants are classified by the ISO 3498 system shown in Table 3, which consists of letters iden-
tifying the lube function followed by a number representing the viscosity in centistokes at 40°C.
For example, CKC 320 is a gear lube having a viscosity of 320 cSt with extreme pressure and
antiwear properties. The following list describes some of the functions and special requirements
of the lubricants used in machine tools.

GEAR OILS
These consist of mineral oils with extreme pressure (EP) additives designed to react with the metal
surfaces to enhance protection of highly loaded gears. Extreme pressure additives vary in the degree
of reactivity from mild to very aggressive. Some EP additives are corrosive to copper alloys such as
those used in worm gear sets, and caution should be taken in the selection of such products. Many
lightly loaded high-speed gears are lubricated with hydraulic or spindle lube. Typical viscosity ranges
for gear lubes are 68, 150, 320, and 460 cSt at 40°C.
Worm gears generally utilize heavier viscosities and less aggressive extreme pressure additive
packages. Worm gears primarily have a sliding interface which requires the oil to exhibit good lubric-
ity in order to help reduce friction. While in the past compounded oils were utilized, the current
trend is for use of synthetic lubricants in worm gear applications.
SPINDLE OILS
These are highly refined mineral oils with good oxidation resistance. Viscosities are relatively low,
since the parts lubricated are usually operating at high velocities. Mechanisms involved in spindle
lubrication include antifriction and hydrostatic bearings, electromagnetic clutches, and lightly loaded
gears. Typical viscosity ranges for spindle oils are 2, 10, 22, and 32 cSt at 40°C.
WAY LUBRICANTS
These require special antistick-slip and tackiness additives for the lubrication of plain bearing slide-
ways. When slideways operate at low relative motion, in the order of 1 to 5 cm/min (0.5 to 2.0
in./min), two coefficients of friction are significant. The static or break-away coefficient of friction
represents the force required to put the system into motion. The kinetic coefficient of friction rep-
resents the force required to maintain motion. When the static coefficient of friction is sufficiently
greater than the kinetic coefficient of friction, motion may progress in a series of jumps called stick-
slip.9 The additive should ensure that the ratio of the static to kinetic coefficient of friction is less
than unity and preferably as low as 0.80. The function of the tackiness additive is to impede runoff
of the lubricant, especially on vertical surfaces. Way lubricants are normally supplied in viscosities
of 32, 68, and 220 cSt at 40°C.
HYDRAULIC OILS
These products consist of two basic families: conventional rust- and oxidation-inhibited oils and
antiwear hydraulic oils. While their basic function is to transmit fluid power, they are also called
upon to lubricate pumps, valves, and other system components. Combination systems are common
whereby the hydraulic oil also serves as a spindle oil and way lubricant.
Conventional rust- and oxidation-inhibited hydraulic oils have proven to be very stable and are
useful at system pressures up to 90% of the rated capacity of the pumps. In high-pressure systems,
especially those employing vane and rotor type pumps, antiwear additives may be required. The
original zinc dithiophosphate antiwear additives were particularly unstable, and moisture, copper-
bearing metals, and elevated operating temperatures catalyzed oxidation, sludging, and general
degradation. Nonmetal sulfur-phosphorus type antiwear additives and very stable zinc based addi-
tives have now been developed that provide the required resistance to oxidation and sludging while
imparting very good antiwear properties. Only the best quality antiwear lubricants should be used,
since in machine tools (a) copper metals are used, (b) moisture will probably be present, and (c)
high-localized temperatures are generated. The preferred viscosity ranges for hydraulic fluids are 32,
46, 68, and 150 cSt at 40°C.
The reasonably discriminating Standard Test Method for Thermal Stability of Hydraulic Oils
(ASTM D 2070) consists of heating 200 ml of oil containing polished copper and steel rods to a
temperature of 135°C (275°F) for 168 hr. Subsequent filtration of the precipitated sludge and

Machine Tools 329
Machine Tools 331
evaluation of the corrosion of the copper and steel rods form the basis of determination of
oil stability. Products which form less than 25 mg of sludge per 100 ml of oil are considered
satisfactory, between 25 and 100 marginal, and over 100 mg unsatisfactory.
GREASES
As lubricated-for-life components become more prevalent in the machine tool industry, greas-
es are seeing more widespread use. Greases used in permanently lubricated applications need
to exhibit long life properties and good durability. Increasingly higher speed spindle assemblies
necessitate the use of greases employing lower viscosity base oils.
Multipurpose greases are used in machine tools to lubricate plain and rolling bearings and
miscellaneous parts where runoff of a once-through system cannot be tolerated. While many
metallic soap types are available, the greatest volume involves lithium-base greases, which gen-
erally have excellent resistance to softening upon working and good resistance to water wash-
ing. It should be emphasized that different types of greases are not necessarily compatible.
Soda-based greases, for example, should not be mixed with lithium-based greases or thinning
will result. Polyglycol-based lubricants should not be exposed to mineral oils. Extreme pressure
greases containing EP additives are very useful in lubrication of shock-loaded ball and roller
bearings. Greases containing molybdenum disulfide are also useful for extreme pressure slid-
ing applications, especially where very low speeds are prevalent. In general, greases used in
machine tools should not contain fillers such as clay, mica, or asbestos.
Grades ranging from NLGI 00 (semifluid grease) to NLGI 3 (high consistency) are seeing
more widespread use. For general purpose applications, base oil viscosity generally ranges from
ISO 100 to 220 grades and consistencies of NLGI 1 or 2 are utilized. Worm gears may be
lubricated with synthetic, semifluid greases (NLGI 00) with base oil viscosities from ISO 220
to 680, depending on loading and speed. These worm gear lubricants must exhibit good lubric-
ity to combat excess heating due to high friction and sliding. Lithium and barium complex
thickened synthetic greases with low base oil viscosity (near ISO 32) see wide use in high-speed
spindle bearing applications. These usually utilize an NLGI 2 or 3 consistency to help keep the
small amount of lubricant required in place during service.
REFERENCES
1. Roberton, R. S. and Allen, J. M., A study of oil performance in numerically controlled hydraulic sys-
tems, paper presented at the National Conference on Fluid Power, Mobil Oil Corp., New York,
1974.
2. Schatzberg, P. and Felsen. I. M., Influence of water on fatigue failure location and surface alteration
during rolling contact lubrication, J. Lubr. Technol., ASME Trans., F, 91, 1 (1969), 301–307.
3. Ioannides, E. and Jacobson, B., Dirty lubricants — reduced bearing life, Ball Bearing J. Special ′89,
22–27.
4. Okamoto, J., Fujita, K., and Yoshioka, T., Effects of solid particles in oil on the life of ball bear-
ings, J. Mech. Eng. Lab., Tokyo, 26(5), Sept. 1972.
5. Fitzsimmons, B. and Cave, B. J., Lubricant contaminants and their effects on bearing performance,
Society of Automotive Engineers, 750583 (1975).
6. Tallian, T, Prediction of rolling contact fatigue life in contaminated lubricant, II. Experimental,
ASME Trans., July 1976, J. Lubr. Technol., pp. 384–392.
7. Fitch, J., Oil Analysis and Proactive Maintenance, Proactive Maintenance Institute, 1995-1 ed.
8. Lubrication Standard for Mass Production Industry, Machine Tools and Related Equipment, Standard No.
70-4, American Society of Lubrication Engineers, Park Ridge, IL, 1973.
9. Rabinowicz, E., Friction and Wear of Materials, John Wiley & Sons, New York, 1966.

33 Mining Excavation Equipment

Lubricant Guidelines
Charles D. Barrett
CONTENTS
Introduction....................................................................................................................................332
Gear Oil — Single Viscosity Grade; Extreme Pressure (EP)................................................333
Gear Oil — Multiviscosity Grade; Extreme Pressure (EP)....................................................334
Synthetic Gear Oil.........................................................................................................................335
Circulating/Hydraulic Oil: Antiwear...........................................................................................336
High VI Circulating/Hydraulic Oil: Antiwear..........................................................................337
Multipurpose Grease; Extreme Pressure (EP)..........................................................................338
Open Gear Lubricant....................................................................................................................339
Wire Rope Lubricant.....................................................................................................................340
INTRODUCTION
These lubricant guidelines have been developed to assist users of mining excavation machin-
ery to select lubricants for shovels, draglines, blast hole drills, front end loaders, haul trucks,
etc. When used in accordance with their suppliers’ recommended practices, these guidelines
should provide a minimum level of satisfactory equipment performance. The use of premi-
um lubricants that exceed these guidelines and performance requirements is suggested.
Despite their higher initial purchase cost, these higher performance products routinely gen-
erate a significant return on investment over the useful service life of mining excavation
machinery.
The minimal lubricant performance characteristics that follow do not attempt to address
the multitude of individual federal, state, and local safety, health, environmental, and dispos-
al issues that may affect their use in mining excavation machinery applications. It is the
responsibility of the machine user to verify that lubricants in service meet all applicable safe-
ty, health, and environmental regulations.
The eight most common lubricant types used in mining excavation machinery are cov-
ered by these guidelines. Other products such as cam and slide and multiservice lubricants are
not included. These products are either application specific for individual manufacturers, or
their use is not universally accepted by the majority of equipment manufacturers. The man-
ufacturer of the mining excavation machinery should be consulted prior to selecting a suit-
able lubricant for applications requiring these types of products.
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Mining Excavation Equipment Lubricant Guidelines 333
TABLE 1
GEAR OIL — SINGLE VISCOSITY GRADE; EXTREME PRES-
SURE (EP)
SCOPE
This specification covers premium single-grade gear oils produced from refined mineral oil-
base stocks, and compounded with extreme pressure additives for high load-carrying ability,
used in sump (splash), pressure circulating, or total loss applications.
These products are intended to lubricate gears, bushings, plain and rolling element bear-
ings, and other components enclosed in oil-tight housings, and operating under low speed,
high-torque, high-shock load, and/or high-speed, low-torque conditions.
PHYSICAL CHARACTERISTICS
These gear oils are to be manufactured from highly refined mineral oil-base stocks. These lubri-
cants must maintain their viscosity and performance characteristics throughout their intended
service life. They may not contain viscosity or viscosity index enhancers that are subject to
breakdown under extended shearing conditions.
EP or other friction modifiers used in the formulation of these lubricants must be fully oil
soluble, and/or be in a stable colloidal suspension.
MINIMUM PERFORMANCE REQUIREMENTS

TABLE 2
GEAR OIL — MULTIVISCOSITY GRADE; EXTREME PRESSURE
(EP)
SCOPE
This specification covers premium multiviscosity gear oils, produced from refined mineral, syn-
thetics, or blends of synthetic and mineral-base fluids. Materials furnished under this specifi-
cation are intended to lubricate gears, bushings, plain and rolling element bearings, and other
components enclosed in oil-tight housings, and operating under low-speed, high-torque, high-
shock load, and/or high-speed, low-torque conditions. They may be used in sump (splash),
pressure circulating, or total loss applications. Materials furnished under this specification are
intended for use when extremes in ambient temperatures may dictate seasonal changes to dif-
ferent viscosity grades.
These gear oils shall be a homogeneous petroleum product, a synthetically prepared product,
or combination of the two types of products. These lubricants may not contain viscosity or
viscosity index enhancers that are subject to breakdown under extended shearing conditions.
These lubricants must have chemical and physical stability to maintain viscosity and perform-
ance characteristics throughout their intended service life.
Any EP or other friction modifiers used in the formulation of these lubricants must be
fully oil soluble, and/or be in a stable colloidal suspension.

TABLE 3
SYNTHETIC GEAR OIL
SCOPE
This specification covers premium gear oils, produced from synthetic or semisynthetic base
stocks, intended to lubricate enclosed gears, bushings, plain and rolling element bearings, and
other components enclosed in oil-tight housings and operating under low-speed, high-torque,
high-shock load. They may be used in sump (splash), pressure circulating, or total-loss appli-
cations.
Materials furnished under this specification are primarily intended for use in applications
where bulk oil temperatures routinely range from 77°C/170°F to 121°C/250°F. They may also
be beneficial in applications subject to arctic conditions. While materials furnished under this
specification provide extreme pressure protection, there is no requirement that they contain
EP additives to achieve this property.
These gear oils must be formulated with full synthetic or semisynthetic base fluids. These
lubricants must have chemical and physical stability to maintain viscosity and performance
characteristics throughout their intended service life. They may not contain viscosity or vis-
cosity index enhancers that are subject to breakdown under extended shearing conditions.
EP or other friction modifiers used in the formulation of these lubricants must be fully oil
soluble, and/or be in a stable colloidal suspension.

TABLE 4
CIRCULATING/HYDRAULIC OIL: ANTIWEAR
SCOPE
This specification covers premium circulating oils produced from refined mineral oil-base
stocks, and compounded with antiwear additives for high load-carrying ability. These materials
are primarily intended for use in hydraulic systems operating within an ambient temperature
range of -18°C/0°F to 54°C/130°F. They may also be used to lubricate high-speed plain or
rolling element bearings, lightly loaded enclosed gear drives, and miscellaneous items such as
links, pins, and bushings operating in circulating, sump (splash), or total loss applications.
These lubricating oils must be manufactured from highly refined mineral oil base stocks. They
must have chemical and physical stability to maintain viscosity and performance characteristics
throughout their intended service life. These lubricants may not contain viscosity or viscosity
index enhancers that are subject to breakdown under extended shearing conditions. All addi-
tives used in the formulation of these lubricants must be fully oil soluble.

TABLE 5
HIGH VI CIRCULATING/HYDRAULIC OIL: ANTIWEAR
SCOPE
This specification covers premium high VI (viscosity index) circulating oils produced from
highly refined mineral oils, full synthetic base stocks, or semisynthetic blends. They are com-
pounded with antiwear additives for high load carrying ability.
Materials furnished under this specification are primarily intended for use in hydraulic sys-
tems operating within an ambient temperature range of -40°C/-40°F to 66°C/150°F. They
may also be used to lubricate high-speed plain or rolling element bearings, lightly loaded
enclosed gear drives, and miscellaneous items such as links, pins, and bushings operating in cir-
culating, sump (splash), or total loss applications.
These lubricating oils must be manufactured from highly refined mineral oils, full synthetic
base stocks, or semisynthetic blends. They must have chemical and physical stability to main-
tain viscosity and performance characteristics throughout their intended service life. These
lubricants may not contain viscosity or VI enhancers that are subject to breakdown under
extended shearing conditions.
All additives used in the formulation of these lubricants must be fully oil soluble.

TABLE 6
MULTIPURPOSE GREASE; EXTREME PRESSURE (EP)
SCOPE
This specification covers premium multipurpose, extreme pressure greases with essential prop-
erties and characteristics that make them suitable for use in diversified applications through a
wide range of ambient temperatures. Both mineral and synthetic base oils may be used to for-
mulate greases that comply with this specification.
Materials furnished under this specification are intended to lubricate bushings, plain and
rolling element bearings, and miscellaneous items. They may be applied by hand, hand pressure
guns, pneumatic or electric pressure guns, or centralized lubrication systems of the single line
parallel, single line progressive series, and/or dual line progressive construction.
These lubricating greases shall be manufactured with a lithium 12 hydroxystearate, lithium
complex, or other thickeners, provided care is taken by the end user to avoid grease incom-
patibility with other lubricants or equipment components. They must contain extreme pressure
additives, and be formulated to resist oxidation, corrosion, separation, and water washout.
These greases must have chemical and mechanical stability to maintain consistency and per-
formance characteristics throughout their intended service life.
The NLGI grade of the grease must be appropriate for prevailing ambient temperature
range. Class 3 grease is the preferred grade for all temperature ranges. However, at lower ambi-
ent temperature ranges, or where the application dictates, class 1 or 2 products may be recom-
mended by the lubrication supplier.

SPECIAL CONSIDERATIONS
The material furnished under this specification must be dispensable through the distribution lines
of a centralized lubrication system to the most remote application point, at the lowest anticipated
operating temperature. It must not plate or plug components of the centralized lubrication system,
such as injectors, metering blocks, or spray nozzles. When the material furnished under this speci-
fication is formulated with solid film additives, particle size must not exceed 10 µm.
TABLE 7
OPEN GEAR LUBRICANT
SCOPE
This specification covers open gear lubricants with highly fortified blends of viscous fluids com-
bined with additives to form stable, long-lasting, high load-carrying, wear-resistant films that lubri-
cate under boundary conditions. Materials furnished under this specification are intended to lubri-
cate open gears, racks, bushings, rails, rollers, dipper handles, and propel mechanisms. They are
intended to be dispensed intermittently by centralized lubrication systems of the single line paral-
lel, single line progressive series, and/or dual line progressive construction.
This specification covers all grades of open gear lubricants that are usable, from -46°C/-50°F
to 49°C/120°F. The particular grade and product selected must perform within the specific tem-
perature range in which it is utilized and will depend on climate, application, performance, and reg-
ulatory requirements. Materials may be semifluid asphaltic compounds or semifluid pastes.
These open gear lubricants must have excellent adhesive and cohesive qualities, must not chip or
throw off, provide sufficient film thickness to prevent metal-to-metal contact between applications
under all operating conditions, must have excellent water-resistant and rust-preventive qualities, and
have retarded dripping qualities for operation over wide temperature ranges.
These open gear lubricants must be specifically formulated to protect surfaces, reduce wear, and
provide normal component service life under all anticipated operating conditions.

The material furnished under this specification must be dispensable through the distribution
lines of a centralized lubrication system to the most remote application point, at the lowest
anticipated operating temperature. It must not plate or plug components of the centralized
lubrication system such as injectors, metering blocks, or spray nozzles. Should the material fur-
nished under this specification contain a diluent to improve dispensability, special care must be
exercised to ensure its compatibility with all centralized lubrication system components, i.e.,
gaskets, O-rings, vent valves, etc. Diluent-containing lubricants furnished under this specifica-
tion must conform to the Performance Requirements after the diluent has evaporated. When
the material is formulated with solid film additives, particle size must not exceed 10 µm.
TABLE 8
WIRE ROPE LUBRICANT
SCOPE
This specification covers wire rope lubricants manufactured from mineral oil or synthetic base
stocks, or a blend of mineral oil and synthetic base stocks. These materials are intended to
lubricate large-diameter wire ropes such as those used for hoist and/or drag functions on
draglines or shovels.
Materials furnished under this specification are intended to be ideally dispensed by cen-
tralized lubrication systems of the single line parallel, single line progressive series, and/or dual
line progressive construction. However, they are also suitable for application by pressure cham-
ber, brush, or dip methods.
This specification covers all grades of wire rope lubricants that are usable from -46°C/-
50°F to 49°C/120°F. The particular grade and product selected must perform within the spe-
cific temperature range in which it is utilized and will depend on climate, application, per-
formance, and regulatory requirements
Materials furnished under this specification may contain a diluent to enhance penetration
to the rope core, or improve sprayability.
These wire rope lubricants must have excellent adhesive and cohesive qualities, must not chip
or throw off, have excellent water resistant and rust-preventive qualities, and be capable of
penetrating into the body of wire rope, yet maintain retarded dripping qualities for operation
over wide temperature ranges.
These products shall contain chemical EP and/or solid film additives to improve film
strength and control fretting and rubbing friction during operation.

The material furnished under this specification must be dispensable through the distribution
lines of a centralized lubrication system to the most remote application point, at the lowest
anticipated operating temperature. It must not plate or plug components of the centralized
lubrication system such as injectors, metering blocks, or spray nozzles. When the material is
formulated with solid film additives, particle size must not exceed 10 µm.
Should the material furnished under this specification contain a diluent to improve dis-
pensability, special care must be exercised to ensure its compatibility with all centralized lubri-
cation system components, i.e., gaskets, O-rings, vent valves, etc. Diluent-containing lubricants
furnished under this specification must conform to the Performance Requirements after the
diluent has evaporated.

34 Refrigeration and Air

Conditioning Lubricants
Kenneth C. Lilje, Thomas E. Rajewski, and

Edan E. Burton
CONTENTS
Compressor Lubrication...................................................................................................................................342
Lubricant Requirements....................................................................................................................................343
Lubricant Types...................................................................................................................................................347
Retrofit of Existing Systems............................................................................................................................353
References.............................................................................................................................................................354
Lubricants play a key role in the success of refrigeration applications. The functions of the lubricant
include reducing friction and wear, removing the heat of compression and providing sealing of the
compressor. The increasing complexity of compressor system requirements, as well as the shift to
non-ozone-depleting refrigerants, is affecting a change from traditional mineral oil refrigeration
lubricants to synthetic lubricants. The wide range of properties available with synthetic lubricants
allows for the customization of fluids to meet the specific needs of various refrigeration systems.
COMPRESSOR LUBRICATION
LUBRICATION MODES
Compressors generally operate under hydrodynamic and/or elastohydrodynamic-hydrodynamic
lubrication conditions. Boundary lubrication is occasionally experienced under severe operating con-
ditions such as start-up and high pressure operation.1 Lubrication under hydrodynamic or elastohy-
drodynamic conditions can usually be achieved using a correctly chosen lubricant alone. Antiwear
additives are often required to protect metal surfaces exposed to prolonged boundary lubrication
conditions.
COMPRESSOR TYPES
Compressor designs for refrigeration applications include reciprocating, rotary screw, rotary vane,
scroll, and centrifugal. Within each compressor type, individual design as well as the refrigerant used
affects the choice of lubricant. Although generalizations are often made, care must be exercised
when selecting lubricants as each system is often unique in at least one aspect.1-4
Reciprocating compressors are utilized in a variety of applications and have a multitude of designs.
Principal areas of lubrication include the crankshaft and associated bearings, connecting rods, wrist
pins, pistons, cylinders, piston rings, and valves. Lubricant supply to the required area can be accom-
plished by methods ranging from simple “splash” to more complex pressurized forced-feed sys-
tems.
0-8493-3904-9/97/$0.00+$.50
Refrigeration and Air Conditioning Lubricants 343
Rotary screw compressors require lubrication of the rotors, bearings, and shaft seals. Flooded machines
of this type require the lubricant to remove heat from and to seal the rotors. Oil is typically injected
into the rotors with the refrigerant gas and sees higher refrigerant gas concentrations and pressures
than are found in reciprocating systems. Usually oil is supplied to the bearings by pressurized forced-
feed systems.
Rotary vane and scroll compressors require lubrication of bearings and shaft seals. Both of these types
of compressors have severe lubricant requirement in the “tip” portion of the compressor (rotor tip
and/or scroll tip). Oil is supplied by entrainment in the return gas, splash, or by oil pumps.
Centrifugal compressors typically have bearings, gear reducers and seals which require lubrication.
Generally, lubrication is provided by some type of pumping system.
REFRIGERANT AND LUBRICANT FACTORS

The wide variety of refrigerants used today (e.g., hydrochlorofluorocarbons (HCFC), hydrofluoro-car-
bons (HFC), ammonia, hydrocarbons, carbon dioxide, etc.) afford significantly different properties
when used with a given lubricant. Miscibility (liquid/liquid interaction) and solubility (gas/liquid inter-
action) can vary greatly from refrigerant to refrigerant and impact properties such as working viscos-
ity, compressor/system efficiency, and lubricant return to the compressor. Because of the wide tem-
perature extremes found in refrigeration systems, the temperature/viscosity characteristics of the
lubricant are extremely important as are the low temperature properties. Also important, particularly
with some of the synthetic lubricants, is system cleanliness. Contaminants in the system can lead to a
number of potential problems including plugging of expansion devices, copper plating, and lubricant
breakdown.
LUBRICANT REQUIREMENTS
Factors critical to the success of the lubricant in refrigeration applications include viscosity, solubility,
miscibility, chemical and thermal stability, and materials compatibility.
VISCOSITY
Lubricant-related problems often involve the loss of viscosity, which can result in failure in critical
areas of the compressor.5 To determine the proper lubricant viscosity, the first consideration is the vis-
cosity of the lubricant itself. Most lubricants are supplied to an ISO viscosity grade which specifies the
viscosity at 40°C. Table 1 shows typical viscosity grades used in various refrigeration systems. The fluid
viscosity–temperature relationship (viscosity index, VI) becomes more important with the increased
use of synthetic lubricants. Different classes of lubricants provide different viscosity behavior with
varying temperature as shown in Table 2. Since the working temperature of a compressor is rarely
40°C, knowledge of the lubricant viscosity at operating temperature is important.
Viscosity of the lubricant itself is not the only consideration when selecting the appropriate vis-
cosity grade. The most common cause of reduced viscosity is excessive dilution of the lubricant with
refrigerant which results from improper miscibility and/or solubility of the refrigerant/lubricant pair.
A liquid refrigerant which mixes in a clear, single phase with the lubricant is miscible; separation
into two separate phases reflects immisciblity. These miscibility characteristics depend on temperature
and lubricant concentration. As an example, Figure 1 compares the miscibility of various lubricant
classes with HCFC-22. Figure 2 compares the miscibility of an ISO 32 POE in R-134a, R-507, and
R-407C. The use of synthetic lubricants complicates the miscibility criteria. Even different lubricants
within the same class and ISO grade can show vastly different miscibility characteristics, as illustrated
in Figure 3 with various ISO 32 polyol ester lubricants and R-134a refrigerant.

Solubility characteristics of lubricants can vary greatly, depending on the pressure and tem-
perature of the system as well as the chemical composition of the lubricant. Significant solu-
bility can greatly impact the working viscosity of the refrigerant lubricant pair. Figures 4 to 9
show examples of pressure–temperature–viscosity data, used to predict refrigerant dilution for
various refrigerant/lubricant pairs.
Overdilution of the lubricant with refrigerant can lead to many problems. Occurrence at
compressor sump conditions (either during operation or shutdown) can lead to compressor
failure due to insufficient lubrication. Excessive refrigerant solubility may also increase the
foaming tendencies of the lubricant, which can interfere with lubricant delivery.1-6 The lack of
solubility at evaporator conditions can result in the accumulation of lubricant out in the sys-
tem away from the compressor sump. This can lead to oil starvation of the compressor and
ultimate failure.
CHEMICAL AND THERMAL STABILITY

Lubricant breakdown as a result of poor chemical or thermal stability can potentially lead to
problems. One extreme can result in the formation of varnish, sludge, or other insoluble
deposits. The opposite extreme can lead to reduced lubricant viscosity. Either situation can
result in compressor and/or system-related failures. ASHRAE/ANSI 97-1989 Sealed Tube
Stability Test7 is used to evaluate this stability for any potential refrigerant/lubricant pair.

FIGURE 1 Miscibility of lubricants with R-22.
FIGURE 2 Miscibility of ISO 32 POE with (Lines A and D) R-507; (Line B) R-407c; (Line C) R-
134a.
MATERIALS COMPATIBILITY
Polymeric materials of construction (e.g., insulating materials, wire enamels, and elastomers) used
in refrigeration systems must be compatible with the refrigerant lubricant pair. Extensive evaluation
of materials has been done and is collected in the ARTI Refrigerant Database.8

FIGURE 3 Miscibility of ISO 32 POEs with R-134a.
FIGURE 4 Viscosity-temperature-pressure chart for R-134a and ISO 32 POE.

FIGURE 5 Viscosity–temperature–pressure chart for R-134a and ISO 32 POE.
LUBRICANT TYPES
A wide variety of lubricant types available for refrigeration applications allows the lubricant suppli-
er to tailor lubricants for specific applications. Table 3 gives an overview of the key properties of
the lubricants most commonly used.
MINERAL OILS
Highly refined mineral oils, similar to white oils, have been used for refrigeration applications for
many years. These petroleum-base lubricants can vary in their physical properties, chemical struc-
ture, and degree of refining — all of which influence performance in refrigeration applications.
They are generally classified as either paraffinic or naphthenic.
Paraffinic mineral oils generally contain predominantly linear or straight-chain paraffins. These
oils are typically available in viscosity grades ranging from ISO VG 10 to ISO VG 100. Generally
the higher viscosity grades have poorer low temperature properties. They are currently used in

FIGURE 6 Viscosity–temperature–pressure chart for R-134a and ISO 68 polyol ester. (From Short,
G. D., CRC Handbook of Lubrication and Tribology, Vol. 3, CRC Press, Boca Raton, FL, 1994.)9
HCFC, ammonia, and hydrocarbon applications. Utilization of these oils in HFC applications has
been limited due to their immiscibility with these refrigerants.
Naphthenic refrigeration oils contain higher levels of unsaturated aromatic molecules. They have
better low temperature properties than the paraffinics and are generally available in ISO VG 10-100
grades. Naphthenics have slightly higher miscibility characteristics than paraffinics and are used in
the same applications. These oils are also immiscible with the new HFC refrigerants.

FIGURE 7 Viscosity–temperature–pressure chart for R-134a and ISO 68 polyalkylene glycol. (From
Short, G. D., CRC Handbook of Lubrication and Tribology, Vol. 3, CRC Press, Boca Raton, FL, 1994.)9
SYNTHETIC OILS
Synthetic fluids offer a wide range of chemical classes and functionalities. As a result, generalities
about these fluids are difficult to make. The use of synthetic oils for refrigeration was first proposed
in 1929,10,11 to solve problems with mineral oils such as wax separation, low miscibility with some
refrigerants, and carbonization of valves in reciprocating compressors. Additional advantages for

FIGURE 8 Viscosity–temperature–pressure chart for HCFC-22 and ISO 32 alkyl benzene. (From
Short, G. D., CRC Handbook of Lubrication and Tribology, Vol. 3, CRC Press, Boca Raton, FL, 1994.)9
some of these lubricants may include improved stability in the presence of refrigerants at high
temperatures, and better viscosity/temperature characteristics resulting in improved hydrody-
namic lubrication and better lubricity in the presence of refrigerants. Each category of lubri-
cant represents a broad class of base fluids which can have greatly different properties.
Development of synthetic-based lubricant for refrigeration applications is expected to contin-
ue for the next several years.

FIGURE 9 Viscosity-temperature-pressure chart for HCFC-22 and ISO 32 naphthenic mineral oil.
(From Short, G. D., CRC Handbook of Lubrication and Tribology, Vol. 3, CRC Press, Boca Raton, FL,
1994.)9
Alkyl benzenes (AB) are used in some R-22 and R-12 systems and with ammonia. The aromatic
portion of this molecule enhances miscibility with HCFCs, while the alkyl chain is used to build vis-
cosity. This limits the effective use of this lubricant to lower viscosity grades of ISO VG 22-100.
Blends of synthetic oils with mineral oils are sometimes used to enhance the properties of the mix-
ture and minimize potential detrimental effects. The most common blends are those of mineral oil
and alkyl benzenes. Mineral oil/alkyl benzene blends produce additional miscibility compared

to mineral oil alone, while maintaining the better lubricity of the mineral oil. Figure 10 shows
the miscibility improvement with an alkyl benzene/mineral oil blend with HCFC-22.
Polyalphaolefins (PAO) are available in viscosity grades ranging from ISO VG 5 to 1000.
These synthetic hydrocarbons are immiscible with HFC refrigerants and have seen only limit-
ed use in these systems. PAOs are used as high-stability ammonia oils. The low temperature
properties of these lubricants enables flow at temperatures of and lower.
FIGURE 10 Miscibility of a mineral oil/alkyl benzene blend with R-22.
Polyol esters (POE) have seen signifiacant developement for use in refrigeration and are available for
all HFC refrigeration applications. High viscosity grades have also found utility in some HCFC

systems. This class of compounds affords an extremely wide range of products of different
properties and viscosity grades. Polyol esters cannot be used in ammonia applications because
they chemically react with the refrigerant.
Polyalkylene glycols (PAG) lubricants have found utility in a number of refrigeration applica-
tions and are the lubricant of choice in automotive air conditioning with R-134a. They are also
finding use in some hydrocarbon and ammonia systems. Like POE, PAGs afford a wide vari-
ety of lubricant properties and viscosity grades.
ADDITIVES
Additives are sometimes used in refrigeration lubricants. The most common types of additives
include: stability improvers, lubricity aids, and antifoam agents. Need for additives is depend-
ent on the lubricant, refrigerant, and equipment design. The lubricant qualification procedure
must be used to insure there are no detrimental effects with the additives.1
RETROFIT OF EXISTING SYSTEMS

One of the most important issues facing the refrigeration industry is that of retrofitting the
existing systems which are currently using CFC-based refrigerants. While some of these sys-
tems are being replaced by new environmentally friendly units, many existing systems have sev-
eral years of viable service remaining. For these systems, retrofitting offers a cost-effective way
of changing the system to the newer HFC-based refrigerants.
The primary problem with mineral oils left in a system which has been converted to an
HFC refrigerant is that they are often immiscible with the refrigerant. This can lead to reduced
system efficiency by fouling or coating of the evaporator, and reduced bearing life by adverse-
ly affecting the lubricity of the fluid. Even low amounts of mineral oil can also reduce the mis-
cibility characteristics of the synthetic lubricant to an unacceptable level. This is illustrated in
Figure 11.
FIGURE 11 Effect of mineral oil concentration on miscibility of ISO 68 POE with R134a.
To prevent this type of problem from occurring, the mineral oil can be removed by flush-
ing the system with the replacement synthetic lubricant. This can be accomplished by the fol-
lowing guidelines:

• Transfer the current refrigerant charge to a receiver. This will isolate the refrigerant, keep-
ing it from being lost when the system is opened to drain the mineral oil.
• Drain the mineral oil from the compressor. For certain small, hermetic systems without a
preinstalled oil drain, this may be accomplished only by cutting the compressor from the
piping and tipping the compressor on its side. In larger systems, the many possible areas
where the lubricant can collect should also be drained.
• Recharge the machine with the new lubricant and reattach the machine. The amount of
fluid to be added to the system should not exceed the amount of mineral oil which was
drained. Since some mineral oil may be left in the system, installing a full charge of new
fluid may overfill the system.
• Recharge with the CFC refrigerant and run for a period of time. CFC refrigerants are mis-
cible in mineral oil as well as the new synthetic lubricants. By running the system with
the CFC refrigerant, mineral oil in the evaporator and other inaccessible portions of the
system is flushed out and returned to the oil sump. The length of time necessary to com-
plete this portion of the operation is dependent on the size of the system and the com-
plexity of the piping involved. A large, extended system, with hundreds of feet of pip-
ing will require a much longer flush interval than a smaller, compact system.
• After this running period, a sample should be taken to determine the mineral oil level in
the lubricant. If the amount of mineral oil is still above the maximum level set by the
system manufacturer, the previous steps must be repeated until the residual mineral oil
content meets acceptable levels: 1 to 5%, depending on the system design and manu-
facturer.
• Charge the system with the HFC refrigerant and fresh fill of lubricant.
Several other areas which require attention during a retrofit include changing the filter dry-
ers and expansion valves. In addition, monitoring of the system performance before and after
the retrofit will assist in determining if the system is operating at the expected capacity. The
system should also then be reidentified with the correct refrigerant and lubricant.
REFERENCES
1. Spauschus, H.O., Evaluation of lubicants for refrigeration and air conditioning compressors,
ASHRAE J., 26, (5), 59, 1984.
2. Kruse, H.H. and Schroeder, M., Fundamentals of lubrication in refrigeration systems and heat
pumps, ASHRAE J., 26, (5), 5–9, 1984.
3. Daniel, G., Anderson, M.J., Schmid, W., and Tokumitsu, M., Performance of selected synthetic
lubricants in industrial heat pumps, J. Heat Recovery Syst., (2), 4, 359–368, 1982.
4. Short, G.D., Synthetic lubricants and their refrigeration applications, Lubr. Eng., 46, (4), 1990.
5. Burkhardt, J. and Hahne, E., Surface tension of refrigeration oils, IIR — Commisions B1, B2, El,
E2, Mons, Belgium, 1980, 111.
6. Reese, L., Accessible hermetic compressors, Warmepumpen-Grundlagen-Komponenten-Auslegung- Bau and
Betrieb, Vulkan-Verlag, Essen, Germany, Ed. 1, 1978, 100.
7. ASHRAE Standard 97-1989, American Society of Heating, Refrigerating, and Air Conditioning
Engineers, Atlanta, GA, 1986.
8. Calm, J.M., ARTI Refrigerant Database, Air Conditioning and Refrigeration Technology Institute,
Arlington, VA, July, 1996.
9. Short, G.D., Refrigeration and Air Conditioning, CRC Handbook of Lubrication and Tribology, Vol. 3,
CRC Press, Boca Raton, FL, 1994, 387–408.
10. Sanvordenker, K.S. and Larime, M.W., ASHRAE Trans., 78(2), 1990.
11. Shoemaker, B.H., Symposium, Synthetic Lubricating Oils, Ind. Eng. Chem., 42(12), 2414, 1959.

35 Space and High Vacuum Lubricants

Robert L. Thom and Michael R. Hilton
CONTENTS
Solid (Dry) Lubricants...................................................................................................................................355
Fluid Lubricants — Oils...............................................................................................................................358
Greases .............................................................................................................................................................360
References.........................................................................................................................................................362
Three types of lubricants are used in vacuum environments: solids (dry), oils, and greases.
Descriptions of most solid and fluid space lubricants are given, together with conditions for use,
in the NASA handbook by McMurtrey.1 This section will define and review the lubricants available,
including an assessment of their favorable and unfavorable properties. Whenever appropriate,
methods of application or processing will be reviewed.
SOLID (DRY) LUBRICANTS

Four types of solid or dry lubricants are available for vacuum applications: soft metals, lamellar
solids, polymers, or other soft solids (see Table 1). Composites of these four types of lubricants or
combinations of one or more of them with matrix or support materials are also available.
SOFT METALS
Soft metals, including lead, gold, silver, and indium, have all been used as lubricants in vacuum
applications.2 Of these metals, lead has had the most success and use. To apply lead, burnishing or
electroplating has been used; however, deposition by ion plating provides the best adhesion and is
preferred for (uniform) coverage. Optimum performance of lead and other metals is achieved at
approximately 1 thickness. Ion-plating lead films have been particularly effective in spacecraft bear-
ings found in solar array drive mechanisms, especially in European satellites. Silver and gold are use-
ful in situations requiring electrical conductivity. However, silver is generally too hard for most
applications, and gold work-hardens quite easily. Lead remains soft at room temperatures, and evi-
dence indicates that it can lubricate at 20K.
LAMELLAR SOLIDS
Lamellar solids in relatively wide use as lubricants include the disulfides and diselenides of Mo, W,
Nb, and Ta. Graphite is also a lamellar solid lubricant, but the pure material is not suitable for vacu-
um applications since it depends on water vapor for low-shear qualities. The anisotropic, planar crys-
tal structures of lamellar solids provide low-shear planes for lubrication. These solids also have
0-8493-3904-9/97/$0.00+$.50
high load-bearing capacity when compressed in a direction perpendicular to their low-shear planes.
This load-bearing capability of the lamellar solids is an advantage over solid polymer lubricants.
Of the lamellar solids, MoS2 films deposited by sputtering have been the most widely investigat-
ed and developed since early in the space program3 and especially in the last few years.4.5 MoS2films
have a lower friction coefficient than Pb films ( 0.01 vs. 0.1 in vacuum, respectively), which lowers
mechanism torque and power consumption. MoS2 films are also superior to Pb films in pure sliding
applications. Sputter-deposited MoS2 has superior endurance and lower running friction than either
burnished or bonded MoS2. An important property of MoS2 is its high compressive strength relative
to steel — the lubricant will not cold flow out of highly loaded contacts that remain static until use
during flight.
The performance of sputter-deposited MoS2 is critically dependent upon film microstructure,
which includes composition, morphology, crystallinity, and preferred orientation.6 These properties, in
turn, are very dependent upon deposition conditions; the presence of water vapor during deposition
is a particularly insidious variable.7 The general trend in film development in recent years has been the
production of dense films with low porosity, because porosity leads to large-scale film debris genera-
tion early in wear.6 Most films grow with their low-shear basal planes perpendicular to the substrate.
Reorientation of the basal planes to a parallel alignment with the substrate occurs during wear. Stress-
induced crystallization has also been observed after sliding wear in some dense films that were disor-
dered as-deposited.8 There are several deposition practices that can yield these dense films, including
high growth rates,9 low deposition pressures,10 ion bombardment during film growth,11,12 and the incor-
poration of dopants (Au, Ni, water vapor) that are either co-sputtered continuously,13 or deposited as
multilayers.14,15 Some of these films have an initial preferred orientation of low-shear basal planes par-
allel to the substrate.
A recent testing program has extended the known limits of performance of sputter-deposited
MoS2 in precision gimbal bearings.16-18 Specifically, endurances of 48 million cycles have been

Space and High Vacuum Lubricants 357
achieved for small angular contact bearings appropriate for gimbals. Lifetimes of several mil-
lion cycles have also been achieved for larger bearings. Metal-MoS2 multilayer films, to date,
have the best-controlled fracture toughness properties which affect spallation.19,20
POLYMERS AND POLYMER COMPOSITES

Polymers, consisting of anisotropically bonded molecules, can provide low friction surfaces in
vacuum, if the molecule chains align properly at the contacting surface. However, the load-
bearing capability of polymers is generally low, so additives are required to strengthen the poly-
mer to avoid ploughing into the bulk. For vacuum applications, polymer composites rather
than pure polymers are generally used.21,22 Since these composites have structural integrity, self-
lubricating composite components can be fabricated that can, in principle, provide a continu-
al source of solid lubricant to critical components.
To date, polytetrafluoroethylene (PTFE) has been the polymer used the most in vacuum.
This is because PTFE performs well in vacuum and in the presence of absorbed vapors.
However, PTFE has a tendency to cold-flow under load, necessitating a binder to restrain the
polymer bulk, i.e., to prevent ploughing. Some polyimides appear to be excellent in vacuum
because they exhibit low friction coefficients without significant cold-flowing of the bulk.23
However, polyimides are very sensitive to water vapor absorption. Water molecules appear to
hydrogen bond to the polymer molecules and then inhibit molecular shear. Thermal pretreat-
ment of polyimides appears to be essential for good performance in vacuum.
When making polymer composites, other materials are added to the polymers for several
reasons: to increase load-carrying capacity, to lower the friction coefficient, to promote a low
wear rate, and to increase the composite’s thermal conductivity. Fibers and particulate additives
can be used, although fibers are more effective for increasing composite load-carrying capaci-
ty. Studies indicate that MoS2 in some composites facilitates polymer transfer to a critical com-
ponent; the polymer is the primary lubricant, not the MoS2.24
Table 2 lists some self-lubricating composites that are available and their possible uses in
space. When a polymer composite is selected for an application, contact stress is probably the
most important property to consider. The ideal composite must support, in the bulk of the
material, the dynamic stresses of the application and must allow for the formation, by local
deformation, of a low-shear layer at the surface.
An important application of polymer composites is in the fabrication of bearing retainers. For

solid lubricated bearings, a variety of materials are now available, as noted in Table 2. These retainers
can be made with solid lubricants as a constituent. Such sacrificial or active retainers provide, or aug-
ment, lubrication to the bearing raceways by material transfer. Such transfer is difficult to control

uniformly — torque noise can result from uneven transfer. For torque noise-sensitive applica-
tions, retainers that are not sacrificial and that operate in a benign manner with solid lubricant
films on the raceways are needed. Such benign retainers need further development. By far the
largest application of polymer composite retainers are for fluid lubricated bearings. Retainers
consisting of cotton fiber-reinforced phenolic resin have the most use. A polyimide composite
retainer material has been developed that has had some use in space systems.25
OTHER (NONPOLYMER-BASED) COMPOSITES

Two examples of nonpolymer-based composites are particularly worthy of attention. One type,
leaded bronze composites, have been fabricated into bearing retainers. When used in conjunc-
tion with a lead-coated bearing (for example, in solar array drive mechanisms), the lead in the
retainers provides an effective supplemental source of lead when the original film is worn. In
another example, composite blocks of silver, MoS2, and either graphite26 or copper27 are used as
brushes in sliding electrical contacts. The silver provides conductivity and structural integrity,
the MoS2 lubricates in vacuum, and the graphite or copper may lubricate in air.
FLUID LUBRICANTS — OILS

There are several types or categories of liquid lubricants that have been used or could be used
for vacuum/space applications. These categories include: (1) silicone oils; (2) mineral oils; (3)
perfluoropolyalkylethers (PFPEs); and (4) other new synthetics (including multiply-alkylated
cyclopentanes [MACs], poly- -olephins [PAOs], and polyolesters [POEs]. Except for gyroscope
applications, these lubricants generally encounter boundary contact conditions at least at some
time during their service life.
SILICONE OILS
The low vapor pressures and low pour points of some silicone oils led to their early use in space
applications. However, these oils are only moderately effective lubricants. One problem is that
some of these oils tend to form polymers on the bearing surface, which leads to torque noise.
Another problem is that these oils creep readily on metal surfaces. Because of these problems
and the availability of better alternatives, silicone oils would not be used on contemporary
spacecraft. However, these oils are used as damper fluids and as thermal conduction media in
some instances.
MINERAL OILS
Highly refined mineral oils have been a popular choice for sealed mechanisms, such as momen-
tum wheels, reaction wheels, and despin mechanisms. A series of super-refined gyroscope lubri-
cants (SRG and KG-80) have been available and comprise a homologous group of natural
polymers that allows the designer to choose a fluid having particular viscosity characteristics for
a specific application.28 Mineral oils also can be formulated with antiwear and other additives.
Due to their high vapor pressures and wide distribution of molecular weights, these natural oils
are being replaced by synthetic oils in space applications.
PERFLUOROPOLYALKYLETHERS (PFPEs)
PFPE lubricants have lower vapor pressures, lower pour points, and higher viscosity indexes
than mineral oils (see Table 3). Thus, they are useful in space mechanisms that are not com-
pletely sealed or that are somewhat cooler (200K) than would be acceptable for mineral oils. In
particular, one of the PFPEs (Fomblin Z25) has a very high viscosity index and is exceptional-
ly useful over a wide temperature range.

PFPEs perform reasonably well under nonboundary contact conditions. Conventional antiwear
additives do not dissolve into the PFPE fluids, although a new class of compatible additives has
been reported.29 Lubricant degradation by polymerization leads to increased bearing torque noise
and wear. The substrate-induced degradation can be retarded by substituting one or both of the
steel surfaces with either ceramic components or ceramic-coated steel (or presumably by using the
new additives). TiC- and TiN-coated steel and Si3N4 components have shown improved perform-
ance.
PFPEs have extremely low surface tensions (18 dyne/cm) and, therefore, creep very readily
over metal and other surfaces. Because of their similar chemical structures, the lubricants also dis-
solve fluorocarbon coatings that are used as antimigration barriers. The available commercial
PFPEs and their properties are listed in Table 3.
OTHER SYNTHETIC LUBRICANTS

MAC, PAO, POE, and other polymer oils can be synthesized and blended to produce viscosity,
vapor pressure, pour point, and other properties in a controlled way that will suit various
needs.26,30,31Vapor pressures that are almost as low as those of linear PFPEs have been obtained for
the MAC oils.32 The vapor pressures of PAOs and POEs are not as low, but they can be lower than
those of conventional mineral oils, as noted in Table 3.
A variety of laboratory testing has shown that the synthetic hydrocarbons and esters have
longer endurance, due both to the lower volatility of these oils and to their better chemical stabili-
ty. Laboratory screening tests have shown that synthetic hydrocarbons give the longest wear life-
times in a simulated boundary-lubrication test facility. Bearing tests with a fixture designed to sim-
ulate the oscillatory motion of a weather scanner have shown that a PAO provides near freezing
(0°C) temperature capability and significantly outlasts both a silicone oil and a PFPE.33 PAO oils
have given very good performance in lightly loaded, high-speed gyroscope bearings.

Another relatively new class of synthetic lubricants with vapor pressures acceptable for vacuum
applications and the capability to be compounded with additives is known by the term “silahydro-
carbons.”34 Their tribological performance has not been thoroughly tested in specific applications,
but the results of conventional four-ball and traction tests are very encouraging.35
GREASES
Greases are comprised of oils compounded with a pore network-forming thickener, such as a soap
or a fine particle suspension. For results of an extensive testing program of greases in vacuum, see
the reference by McMurtrey.36
Depending on the type of oil and the nature of the thickener, greases can be formulated for var-
ious applications involving a variety of components with different types of contact (e.g., slow or
high-speed angular contact ball bearings, journals, gears). Oils in greases can be from any of the cat-
egories discussed in previous sections. However, the solubility properties (i.e., chemical compatibili-
ty) of the oil determine the selection of thickener and, hence, the grease properties. Mineral oils and
certain synthetics have good solvent properties, so they can be formulated with soaps of different
cations to make what are known as channeling greases. Such greases are pushed out of the way and
form a path (channel) when the balls of a bearing pass through the grease. When working properly,
oil will continually diffuse out of the mounds of grease on the edges of the ball path to supply lubri-
cant to the contacting surfaces. If a grease is fluid enough that it tends to fill the spaces between balls,
it is a “slumping” (nonchanneling) grease. The consistency of a grease depends on the type of thick-
ener used and the relative amounts of oil vs. thickener.
The primary role of grease in a vacuum application is as a reservoir for supplying oil to con-
tacting surfaces. A bearing properly packed with grease will also suffer less oil loss by creep or phys-
ical spattering because of the physical barrier the grease can provide. However, the lubrication prop-
erties of any grease can be only as good as those of the base oil, so care must be exercised in selec-
tion of the base oil. For example, formulation of a volatile oil into a grease cannot prevent the oil
from contaminating a vacuum system; a low-volatility oil must be used.
Real time long-term tests were performed at the Marshall Space Flight Center to determine ade-
quate lubricants for use in space environments. Select data are provided from McMurtrey’s report of
long-term testing performed in a vacuum environment under several different conditions. These
conditions included a constant temperature of 38°C and 93.3°C. A start-stop test was also per-
formed with the motors held at ambient lab temperature. All three of these conditions were per-
formed for two lengths of time, 1 year and 5 years. The tests were continuous for those periods of
time, i.e., 24 hours a day, 7 days a week until either failure of the lubricants occurred or the time peri-
od was reached. Over 30 different grease samples were evaluated in each of the conditions for the
1-year duration test. Data of the top 10 performers are provided for these tests and the 5-year tests
include data from four different greases.
Table 4 exhibits data from greases tested at 38°C. All of the top ten greases made it through the
1-year test with no failures. They are sorted in order of average weight loss. The 5-year test was bet-
ter able to discriminate between the four tested greases. Even so, the top two greases had no failures
for the 5-year period of time. Table 5 exhibits data from the same group of 35 greases tested at a
temperature of 93.3°C. Again, there are no failures of the top ten greases tested for 1 year. However,
after 5 years, none of the greases made it through the test period unscathed. Also, at the higher oper-
ating temperature the average mass loss is significantly greater than for greases evaluated at 38°C.
Table 6 exhibits data from the start-stop test performed. This test increased the severity of the eval-
uation by forcing a boundary lubrication regime into the test. As in the previous two tables, there are
no failures for the 1-year test. However, after 5-years, only one lubricant was able to make it thor-
ough the entire test with no failures. This test data represents performance under strict laboratory
conditions which may or may not be similar to the design used in other vacuum/space applications.
For this reason, the data should be used judiciously.


REFERENCES
1. McMurtrey, E. L., Lubrication Handbook for the Space Industry — Part A: Solid Lubricants; Part B: Liquid
Lubricants, NASA TM-86556, NASA George C. Marshall Space Flight Center, Huntsville, AL, Dec.
1985.
2. Roberts, E. W., Tribol. Int., 23(2), 95, 1990.
3. (a) Spalvins, T., ASLE Trans., 14, 267, 1971; (b) Ibid., 17, 1, 1973.
4. See, for example, articles in New Materials Approaches to Tribology: Theory and Applications, Pope, L. E.,
Fehrenbacher, L. L., and Winer, W. O., Eds., Mat. Res. Soc. Sump. Proc, 140, 215–284, 1989.
5. See, for example, articles appearing in Thin Solid Films: 154, 309–332, 1987; 181, 461–495, 1989; and
in Surf. Coat. Technol, 36, 329–359, 1988; 43/44, 622–629, 1990.
6. Hilton, M. R., Bauer, R., and Fleischauer, P. D., Thin Solid Films, 188, 219, 1990, and references
therein.
7. Buck, V., Thin Solid Films, 139, 157, 1986.
8. Hilton, M. R. and Fleischauer, P. D., Mat. Res. Soc. Symp. Proc., 140, 227, 1989.
9. Nabot, J.-Ph., Aubert, A., Gillet, R., and Renaux, Ph., Sur. Coat. Technol, 43/44, 629, 1990.
10. Muller, C., Menoud, C., Maillat, M., and Hintermann, H. E., Surf. Coat. Technol., 36(1-2), 351,1988.
11. Kuwano, H. and Nagai, K., J. Vac. Sci. Technol. A, 4, 2993, 1986.
12. Bolster, R. N., Singer, I. L., Wegand, J. C., Fayeulle, S., and Gossett, C. R., Surf. Coat. Technol., 46,
207, 1991.
13. References on porous films with less than 5% nickel: (a) Stupp, B. C, Thin Solid Films, 84, 257, 1981;
(b) Stupp, B. C, Proc. Third Int. Conf. Solid Lubrication, ASLE SP-14, 7-10 August 1984, Denver, CO,
STLE, Park Ridge, IL, 217–222.
14. Hilton, M. R., Bauer, R., Didziulis, S. V., Dugger, M. T., Keem, J., and Scholhamer, J., Surf. Coat.
Technol., 53, 13, 1992.
15. Jayaram, G., Marks, L. D., and Hilton, M. R., Nanostructure of Au–20%Pd Layers in MoS2
Multilayer Solid Lubricant Coatings, Surf. Coat. Technol., 76–17, 393, 1995.
16. Loewenthal, S. H., SDIO Tribomaterials/Precision Gimbal Demonstration Program Phase 2 Final
Report, Wright Laboratory WL-TR-94-4094, Dayton, OH, December 1993.

17. Loewenthal, S. H., Chou, R. G., Hopple, G. B., and Wenger, W. L., STLE J., 162–164, 919, 1993.
18. Hopple, G. B. and Loewenthal, S. H., Surf. Coat. Technol., 68/69, 398, 1994.
19. Hopple, G. B., Keem, J. E., and Loewenthal, S. H., Wear, 162–164, 919, 1993.
20. Hilton, M. R., Surf. Coat. Technol., 68/69, 407, 1994.
21. Gardos, M. N., Self-lubricating composites for extreme lubricating conditions, in Friction and Wear
of Polymer Composites, Klaus, F., Ed., Elsevier, Amsterdam, 1986, 397–447.
22. Fusaro, R. L., Tribol. Int., 23(2), 105, 1990.
23. Fusaro, R. L., Tribol. Trans., 31(2), 174, 1988.
24. Sutor, P. and Gardos, M. N., in Proc. Third Int. Conf. Solid Lubrication, ASLE SP-I4 (7–10 August
1984, Denver, CO), STLE, Park Ridge, IL, 1984, 258. See also Ref. 32, pp.154–163.
25. Meldin 9000.
26. Fleischauer, P. D. and Hilton, M. R., Mat. Res. Soc. Symp. Proc., 140, 9, 1989.
27a. Roberts, E. W., A Review of Sliding Electrical Contacts for Space Applications, European Space
Agency/European Space Tribology Laboratory (Risley, U.K.), ESA Report, Contract No. ESA
4099/79/NL/PP, ESA(ESTL)52, (October 1981).
27b. Roberts, E. W., Sliding electric contacts in space: observations on existing technology and new
trends in low-speed applications, in Proc. First European Space Mechanisms and Tribology Symposium,
(October 1883, Neuchatel, Switzerland) ESA SP-196, 3-10.
28. Kannel, J. W. and Dufrane, K. F., Rolling element bearings in space, Twentieth Aerospace Mechanisms
Symposium, NASA CP-2423, 1986, 125–132.
29. Sharma, S. K., Gschwender, L. J., and Synder, C. E., Jr., J. Syn. hub., 7(1), 15, 1990.
30. See, for example: (a) Mobil Chemical Tech. Bull., SHFBSD72, Mobil SHF Base Stocks (discusses
Polyalphaolefins). (b) Nye Specialty Lubricants Tech. Bull., Synthetic Hydrocarbon Precision Lubricating
Oils (discusses Polyalphaolephins). (c) Bray Oil Co. Tech. Bull, NPT 4 Lubricating Oil, Synthetic for
Low and High Temperatures (discusses synthetic ester base fluids), (d) Pennzoil Products Co. Tech.
Bull. No. CF0BF1 (February 1991), Pennzane Synthesized Hydrocarbon Fluid X 2000 (discusses multi-
ply alkylated cyclopentanes).
31. Venier, C. L. and Casserly, E. W., Multiply-alkylated cyclopentanes (MACs) — A new class of syn-
thesized hydrocarbon fluids, Lub. Eng., 47(7), 586, 1991.
32. Venier, C. L., (Pennzoil Products Co.), private communication to M. R. Hilton (Aerospace Corp.),
The Woodlands, TX, May 1991.
33. Carré, D. J., Fleischauer, P. D., Kalogeras, C. G., and Marten, H. D., J. Tribol, 113, 308, 1991.
34. Snyder, C. E., Jr., Tamborski, C, Gschwender, L. J., Chen, C. J., and Anderson, D. R., ASLE Trans.,
25(3), 299, 1982.
35. Sharma, S. K., Snyder, C. E., Jr., and Gschwender, L. J., Tribological properties of some advanced
space lubricants, Tribol. Trans., in press.
36. McMurtrey, E. L., High Performance Liquid and Solid Lubricants — An Industrial Guide, Noyes Data
Corp., Park Ridge, NJ, 1987.

36 Steel Industry Lubricant

Guidelines
Richard C. Schrama and Daniel D. McCoy

INTRODUCTION
These steel industry lubricant guidelines have been developed to supply maintenance and lubrication
personnel in the steel mills and the lubricant manufacturers alike with some performance require-
ments for various lubricants. These requirements or lubricant properties are benchmarks, not spec-
ifications to be followed as standards in the industry. The lubricant types covered are: circulating oils,
hydraulic oils, gear oils, greases, fire-resistant lubricants, and speciality lubricants. The performance
guidelines or properties for the lubricants are based on standard ASTM and industry-accepted test
methods.
There is no attempt made to provide guidelines for rolling oils used in the cold rolling and tem-
pering of strip and for oils used in the hot rolling of steel, since the properties of the oil and the
formulations are tied into the performance of the mill and rolls. These oils can be classified as met-
alworking fluids and treated in the manner as cutting or forming fluids. In most cases rolling oils are
made up of animal fats or synthetic esters, biocides, surfactants, and pH modifiers. They are then
mixed with water to create a solution of between 0.5% to 5% concentration. The rolling oil per-
formance is tied to the surface finish of the steel, heat transfer rate to remove the frictional heat of
rolling, and cleanliness of the strip. This chapter also does not deal with the other process fluids used
in the steel mill. These include: pickling oils, preservative oils and coatings, coating oils for the pre-
vention of rust on the steel surface, cleaning solvents and agents, and general maintenance oils and
coatings.
These lubricants would be used for most steel industry applications including: pumps, steam tur-
bines, gearboxes, pinion gearboxes on rolling mills, oil film bearings for backup rolls, slewing rings,
caster turrets, caster segments, mobile equipment, cranes, fans, rolling mill work roll assemblies,
machine tools, blast furnace valves, blast furnace skip hoisting machinery, and mandrels.
These guidelines cover only the minimal lubricant requirements. In many applications, premium
products with properties which excede the guidelines are required to meet the application and/or
health and safety, disposal, and federal or state regulations.
The tables for the lubricant types are:
A. Circulating oils
Table 1. Turbine Oil
Table 3. Circulating Oil
Table 4. Extra-Duty Circulating Oil
Table 6. Circulating Turbine Oil
Table 14.Pale Paraffin Slushing Oil
B. Hydraulic oils
Table 2. Hydraulic - Extra-Duty, Antiwear
Table 10.Inhibited Hydraulic Oil
Table 13.Inverted Emulsions
0-8493-3904-9/97/$0.00+$.50
Steel Industry Lubricant Guidelines 365
Table 15.Noninhibited Hydraulic Oil

Table 20.Combination Synthetic–Petroleum Fluids
Table 24.Water–Glycol Fluids
Table 25.Phosphate Ester Fluids
C. Engine oil
Table 7. Engine Oil
Table 8. Circulating Engine Oil
D. Greases
Table 5. Ball and Roller Bearing Grease
Table 26.Mill Utility Grease
Table 27.High Temperature Grease
Table 28.High Temperature EP Greases — Complex Soaps and Nonsoaps
Table 29.Molybdenum Disulfide Greases
Table 30.Roll Neck Grease
Table 31.Journal Roller Bearing Grease — AAR Specification M-942-92
E. Rolling oils
Table 9. Sendzimir Rolling Oil
F. Open gear lubricants
Table 11.Open Gear Lubricants — EP Type
Table 12.Open Gear Lubricants — Non-EP Type
G. Gear oils
Table 16.Roll Neck Spray or Gear Oil
Table 17.Mist EP Gear Oil
Table 18.Extra-Duty Gear Oil
Table 19.Hypoid Gear Oil
Table 21.Insulating Oil for Transformers and Oil Switches
Table 22.Extreme Pressure Oil
Table 23.Heavy-Duty Brake Fluid — SAE-J-1703
















REFERENCES
1. Lubrication Engineers Manual, Section 5: Lubricant Performance Guidelines, U.S. Steel Corp. and
Association of Iron and Steel Engineers, Pittsburgh, PA, 1971.
2. ASTM Test Methods for Petroleum Fluids, American Society for Testing of Materials, Philadelphia, PA,
1996.

IV
Lubricant Application
Systems


37 Centralized Lubrication for

Industrial Machines
James H. Simpson, III*

CONTENTS
Introduction....................................................................................................................................385
Single Line Parallel Systems.........................................................................................................386
Progressive Feeder Systems..........................................................................................................390
Dual Line Parallel Systems...........................................................................................................390
Pump to Point Systems.................................................................................................................391
Oil and Air Systems.......................................................................................................................391
Planning, Installation, and Maintenance....................................................................................392
System Capacity..............................................................................................................................394
References.......................................................................................................................................395
INTRODUCTION
The basic purpose of centralized lubrication is to supply either individual or groups of lubri-
cation points with varying lubricant quantities, from one central position, with the required,
metered lubricant quantities. The lubricants may be oil, fluid grease, or grease of NLGI
grades 000–2 being applied to machine tools and to a variety of machinery used in applica-
tions such as printing, paper processing, metal and plastic production, woodworking, and tex-
tile manufacturing.
Figure 1 illustrates a basic layout with typical devics for a centralized lubrication system
with no return of oil from the lubrication points to the reservoir (total loss design).
In a centralized lubrication system (Figure 1), oil is supplied by manually, mechanically,
hydraulically, or pneumatically operated piston pumps or intermittently operated gear pumps.
Metered quantities of the lubricant, in the range of 0.01 to 1.5 cm3 per lubrication cycle and
lubrication point, are dispensed by piston distributors mounted in the tubing system. This
quantity delivered to the lubrication points is set by metering nipples fitted to the distributors
and by the frequency of lubrication cycles.
Of the available types of systems indicated in Figure 2 and compared in Table 1, those
used for most applications include: single line parallel, single line progressive, and dual line
parallel. Larger systems are broken down into zones to simplify and provide ease of mainte-
nance. These types of systems include: dual line/single line, zoned single line progressive, and
zoned single line parallel.
Descriptions of the more common system types follow. Automatic lubrication systems
are recommended on equipment with ≥ 6 lubrication points or with lubrication application
intervals ≤ 200 hours. Manual lubrication systems are recommended on equipment with ≤ 5
lubrication points or with lubrication application intervals ≥ 200 hours.1
0-8493-3904-9/97/$0.00+$.50
FIGURE 1 Basic system layout of a total loss system. (1) Pump (manually, mechanically,
hydraulically, or pneumatically operated piston pump, electrically operated gear pump); (2)
main line (connection pump –distributor); (3) piston distributors; (4) secondary line (connec-
tion distributor – lubrication point); (5) lubrication point (connection to the friction point of
the machine). Automatically controlled systems are additionally provided with the following:
(6) Control and monitoring equipment, time- or counter-controlled switch gear, and, if neces-
sary: (7) pressure switch; (8) float switch; and (9) indicator lights.
SINGLE LINE PARALLEL SYSTEMS

This type of system is designed using piston distributors, injectors, or restrictors as metering
devices. A system pump is used to provide lubricant to each metering device through a piping
network. These devices are actuated at the same time and distribute the desired metering quan-
tity to their lubrication point. The quantity of lubricant delivered is determined by the meter-
ing device’s allowable amount per lubrication cycle (nipple) and the frequency of such cycles.
PISTON DISTRIBUTORS
The basic concept of a piston distributor is a two-cycle effort: the fluid used to propel the pis-
ton will be the fluid metered on the subsequent stroke. System designs using piston distribu-
tion have to provide the following fluid cycle:

Centralized Lubrication for Industrial Machines 387
FIGURE 2 Types of centralized lubrication systems.
1. Pressurize the main line: during this cycle the piston distributor meters its fluid to the lubrication
points.
2. Depressurize the system: after main line pressure has equaled system pressure and has been main-
tained for some seconds, the depressurizing cycle is initiated. It returns the pistons home, ready
for the next cycle.
To control the system, a pressure switch typically feeds back the information on the sys-
tem pressure to ascertain that the pressure relief cycle was present during the pause time. The
use of piston distributors in centralized lubrication is fairly simple, since all the lube points are
parallel and the expansion of a system is facilitated by adding additional metering devices; elim-
inating lube points is easily accomplished as well, by removing or plugging metering devices
(Figure 3).
Due to the parallel distribution, each metering device is independent of the others. As long
as the main line reaches system pressure, all metering pistons should allocate their metered
lubricant quantity into the bearing to which they are connected, unless they encounter back
pressure equal to or higher than the system pressure. While piston distributors are produced in
many configurations, the standard is the manifold system shown in Figure 3.
Piston distributors measure and distribute oil intermittently by means of a pump. The
quantities of each lubrication point are defined by the exchangeable metering nipples or meter-
ing units. The total amount of oil required can then be regulated by the lubrication frequency.
INJECTION OILERS
These pneumatically operated piston pumps supply the lubricant in small metered quantities
to every lubrication point. Injection oilers can function as group oilers or as single operation
distributors. (See Figure 4.) The main header piping size must be chosen so that the back pres-
sure does not exceed 50% of the system pressure. A control method should be implemented
to monitor the change in pressure.1

FIGURE 3 Piston distributor function. (1) The oil allocated for the lubrication point is in
front of the piston in the distributor. (2) When the central lubrication pump begins feeding oil,
the piston is moved so that the oil in front is delivered by the main line pressure (10–45 bar)
to the lubrication point. (3) On release of main line pressure, the piston in the distributor
returns to its original position, allowing the oil to flow into the space in front of it.
FIGURE 4 Injection oiler system
RESTRICTORS
Specific requirements for the restictors (commonly orifices and capillaries) in single line paral-
lel systems are: (1) that the back pressure of the lube points shall not exceed the change in pres-
sure requirements to establish rated flow, (2) the control method should provide a means to
measure flow, pressure, and time, and (3) the viscosity range should be limited.

PROGRESSIVE FEEDER SYSTEMS

Progressive feeder systems consist of a pump, progressive feeder blocks (master feeders and
secondary feeder blocks), tubing for lubricant distribution, and a control unit. The lubricant is
distributed progressively as shown in Figure 5.
The sequence of delivery is dependent on the number of sections and the metering quan-
tity of the progressive feeder block. The quantity is determined by the diameter of the spool
and the travel within the feeder block. Every spool can only discharge its lubricant if the pre-
ceeding outlet has cycled its lubricant. A cycle switch can be used to monitor the feeder’s activ-
ity. When the switch is activated, the cycle is complete. The progressive feeder system requires
a higher operating pressure than does a piston distributor. Changing the outlet quantity of
lubrication for a progressive feeder system is complex, in that the proportional relationship for
the entire system has to be recalculated.
FIGURE 5 Progressive feeder systems. (A) Piston side 4 is under pump pressure and piston
side 1 has delivered lubricant to outlet 1a. By the movement of piston 1/4, the connection
main line — piston side 5 — is free. (B) Piston side 5 is filled with a measured amount of lubri-
cant, and piston 2 will deliver lubricant through outlet port 2a. Next, piston side 6 will be
refilled — and so forth — in sequence.
DUAL LINE PARALLEL SYSTEMS

In the dual line system, the lubricant is supplied by a pump to the metering devices connected
with a two-line header system. The amount of lubricant dispensed can be controlled by varying
the size of the metering stroke, altering the metering devices, or changing the frequency of the
lubrication cycles.1 Dual line systems can be arranged as one of the following types.
Loop type system. The flow charges the header, cycling all metering valves in one direction. After
all valves have cycled, the pump flow returns, hydraulically actuating a reversing valve (sig-
naling half cycle). Pump flow is then redirected to the alternate supply line, cycling all the
valves in the opposite direction. When the pump flow returns, it resets the reversing valve
(signaling full cycle).
Nonreturn type system. The flow charges the header, cycling all metering valves in one direction.
After all valves have cycled, the pressure rise hydraulically actuates a reversing valve (sig-
naling half cycle). The pump flow is then redirected to the alternate supply line, cycling all
the valves in the opposite direction. When the header has filled and built up predeter-
mined pressure, the reversing valve hydraulically resets (signaling full cycle).

FIGURE 6 Dual-line feeder operation diagram

End-of-line type system. The flow charges the header, cycling all metering valves in one direction.
After all valves have cycled, the pressure rise actuates a pressure switch located at the end of
the line, which controls a reversing valve (signaling half cycle). Pump flow is then redirect-
ed to the alternate supply line, cycling all the valves in the opposite direction. When the pres-
sure rises, a pressure switch located at the end of the alternate line resets the reversing valve
(signaling full cycle)1 (see Figure 6).
PUMP TO POINT SYSTEMS

With this type of system, oil is supplied to the lubrication points directly with only one feed circuit
per point provided in the pump as illustrated in Figure 7.1 This type of system uses multicircuit
pumps, cam-actuated piston pumps, or grouped pneumatic/hydraulic piston pumps.
FIGURE 7 Multicircuit pump diagram
OIL AND AIR SYSTEMS

This type of system makes use of a continuous air flow carrying a small volume of oil (Figure 8). A
mixing device is used to combine air and oil in a designated conductor. The dynamics and friction
forces of the air stream are used to break up and move particles through the conductor as evenly
spaced droplets along the conductor wall and onto the bearing, or the mixing may occur at the

FIGURE 8 Oil + air system diagram.
termination point.1 The metering can be accomplished by using any of the previous systems,
but is restricted to the use of oil only.


PLANNING, INSTALLATION, AND MAINTENANCE

The essential points in planning, installation, and maintaining a centralized lubrication system
are:
1. Ascertain the number of lubrication points.

2. Estimate the oil quantity required per lubrication point (see Tables 2 and 3 for established for-
mulas for oil) and the total oil requirement per stroke (for piston pumps) or per work cycle (for
gear pumps).
3. Select distributors according to metering range and space available.
4. Select pumps according to type of actuation and system capacity.
5. Define type of control for automatic systems (timer- or counter-controlled) and the monitoring,
if necessary.
6. In the layout of a system, arrange the run of the main lines and the positions of the distributors
in such a way that any air that has entered the system may escape via the lubrication points. For
this purpose, mount the distributors at suitable positions and at the end of the system with the
outlets to the lubrication points directed upwards. Ensure that the run in the main line rises from
the pump to the distributor.
7. When installing especially large and widely branched systems, or if high viscous oils are used, the
resistances of the main lines are to be checked, especially for the release process.
8. Confirm the stability of all considerations by an experimental installation, if pure computations
will not achieve your goal.
9. Connect each distributor outlet with one lubrication point only.
10. Tighten the bushings of the solderless tube connections firmly, but do not overtighten. (No def-
inite resistance can be felt; a tubing sleeve and tube will be slightly deformed when tightened.)
11. Only connect the secondary line (connection distributor - lubrication point) to the lubri-
cation point after bubble-free oil can be seen leaving the tube end after the pump has
been actuated several times.
• Longer secondary lines should be filled with oil beforehand.
Plastic parts and sealing elements (oil seal rings, lip seals, O-rings) fitted in centralized lubri-
cation units must not be allowed to touch aggressive liquids such as carbon tetrachloride, trich-
lo-roethylene, aromatic solvents; alkaline solutions and acids.
When relatively large oil quantities (not only for tribology purposes) are also utilized for
heat dissipation from the lubrication point, a continuous flow of oil should be supplied by
gear, Gearotor, or vane pumps. The lubricant for the lubrication points may be optionally dis-
tributed via restrictor tubes, metering valves, adjustable metering valves, adjustable metering
valve distributors, flow control valves, progressive feeders, or multicircuit gear pumps, from
which up to 20 pipelines may be fed directly (or via flow volume dividers) to the individual
lubrication points.
When oil is distributed via restrictors or multicircuit gear pumps, every lubrication point is
continuously fed oil flow with a previously adjusted oil quantity. Progressive feeders, however,
are operated by pulsating the flow. Circulating lubrication systems must have an oil return from
the lubrication point to the oil reservoir; the returning oil needs to be filtered.
SYSTEM CAPACITY
Special consideration during designing is necessary to ensure that the distribution system fluid
consumption does not exceed two thirds of the output per stroke or work cycle of a pump.
Apply the following to determine the system capacity:
Total output of all distributors in system + 25% of this value + allowance of 1 cm3 per m
of flexible main line (expansion loss).

REFERENCES
1. Spiekerman, R., J1751 — Lubrication components and systems used on machine tools and equip-
ment for the automotive industry, SAE, J1751, 1995.
2. Shigley, J.E. and Mischke, C. R., Mechanical Engineering Design, 5th ed., McGraw-Hill, New York,
1989, 480–523.
3. Avollone, E.A. and Baumeister T., III, Mark’s Standard Handbook for Mechanical Engineers, 9th ed.,
McGraw-Hill, New York, 1987, 197–206.
4. Beitz, W. and Küttner, K.-H., Eds., Dubbel Handbook of Mechanical Engineering, (English edition, edit-
ed by Davies, B.J.; translation by Shields, M.J.) Springer-Verlag, London, 1994, Sec. D, Materials
Technology, Tribology, pp. D67-D76; and Sec. F, Mechanical Machine Components, Lubrication of Roller
Bearings.
5. Centralized Lubrication for Industry, Vogel Centralized Lubrication (Catalog), Pr. 0105 e, EOOO/93.
6. Tribology Centralized Lubrication Systems, Vogel Centralized Lubrication (Handbook), Pr. 0111US,
W000/96.

38 Oil Mist Lubrication

Stanley C. Reiber
CONTENTS
Introduction....................................................................................................................................396
Operating Principle........................................................................................................................396
Application......................................................................................................................................398
Oil Selection....................................................................................................................................399
Temperature Control Requirements...........................................................................................402
References.......................................................................................................................................403
INTRODUCTION
Oil mist lubrication was developed in the 1930s by a European bearing manufacturer. Today,
few machine elements cannot be lubricated by an automatic, centralized mist system using
compressed gas to continuously convey oil mist. In addition to improvements in safety, pro-
ductivity, and housekeeping, continuous delivery eliminates the over-lubrication that results
in periodic applications of lubricant. Lubricant consumption is usually reduced, sometimes
by as much as 80’, energy-wasting churning in oil sumps is eliminated, and bearing tempera-
tures are often lowered dramatically.
OPERATING PRINCIPLE
The heart of the system is a mist generator (Figure 1), where compressed air, passing through
a venturi or vortex, draws oil up into a high-velocity air stream to produce very small oil
droplets. After baffles drop larger oil particles back into the reservoir, small particles in the
discharge mist generally have diameters less than 6 to 7 µm. With this size, surface tension is
high compared to the mass, and droplets wet a surface only on impact at relatively high veloc-
ities — hence, the term “dry mist.”
This mist is distributed for distances up to 1000 feet or more through pipes, tubing, and
hoses sized generally for flow velocities of 15 to 20 ft/s. When the mist flow becomes tur-
bulent above 24 ft/s, the mist particles will strike walls hard enough to stick or “wet out.”
Mist flow is metered to each lubrication point by a mist, spray, or condensing fitting with
arrangements such as shown in Figures 2 to 5. Since mist fittings only meter flow, they
depend on turbulence in and around rolling element bearings to cause oil to wet out directly
on bearing elements. Spray and condensing fittings not only control flow but also “reclassi-
fy” the “dry mist” into larger droplets. Spray fittings expel oil as fine, wet sprays. Condensing
fittings reclassify the oil from a dry mist into coarser, wet sprays or larger drops which then
run down adjacent surfaces.
0-8493-3904-9/97/$0.00+$.50
Oil Mist Lubrication 397
Copyright1 ©Basic
FIGURE oil-mist
1997 CRC generators.
Press, LLC.
FIGURE 2 Mist lubrication of rolling element bearings.
APPLICATION
Normally, the mist generator output and manifold pressures are commonly 20 inches of water col-
umn. Recently, higher pressures have been used for more efficient mist reclassification at delivery
points and reduced venting of stray mist to the atmosphere. Mist application is generally based on a
standard oil/air ratio in the mist of about 0.4 in.3/h of oil per standard cubic foot per minute (cfm)
of mist flow. Table 1 gives a summary of calculations for cfm inputs to various machine elements.
These formulas for mist flow requirements may vary somewhat from one manufacturer to another,

FIGURE 3 Mist lubrication of plain bearings.
depending on their mist generator characteristics. Manufacturers and machinery builders should be
consulted for unusual or demanding circumstances.
OIL SELECTION
As a rule, oil suppliers should be consulted in selecting appropriate oils for mist systems. While pri-
mary consideration is the lubrication requirements of the machine elements, the mist system places
some restrictions. Since the oil must be capable of being misted, vigorous foam suppressers,

FIGURE 4 Mist lubrication of gears.
FIGURE 5 Mist lubrication of chains.


tackiness additives, and soap filler should be avoided. Automobile engine oils should not be
used because their mistability varies widely, even from lot to lot. Most oils with viscosities of
up to more than ISO viscosity grade 1000 can be used when compounded with rust and oxi-
dation inhibitors, EP additives, detergents, and dispersants. Many oil suppliers offer “mist oils”
that are slightly mist-inhibited to reduce problems with stray mist.
TEMPERATURE CONTROL REQUIREMENTS

Heater recommendations are given in Figure 6 for low ambient temperatures and high oil vis-
cosity. In general, whenever air heaters are used, oil reservoir heaters are also used. Even
though heaters might not be required, they are often used to provide a more stable oil/air ratio
under widely varying ambient temperatures.

FIGURE 6 Heater recommendations.
REFERENCES
1. Bornarth, D.M., Oil mist lubrication, in CRC Handbook of Lubrication and Tribology, Vol. 3, CRC
Press, Boca Raton, FL, 1994, 409-422.
2. Schrama, R.C., Oil mist vs. air-oil for consumable lubrication systems, Lub. Eng., 49, 8-17,1993.
3. Bajaj, K.K., Oil-mist lubrication of high temperature paper machine bearings, Lub. Eng., 50, 564-
568, 1994.
4. Alemite Oil Mist Application Manual, Alemite Corporation, Form 37-88, 3-31, 1992.

39 CIRCULATING OIL SYSTEMS

E. R. Booser
CONTENTS
Reservoirs..............................................................................................................................................404
System Piping........................................................................................................................................407
Pumps.....................................................................................................................................................408
Sizing Example.....................................................................................................................................409
Coolers...................................................................................................................................................410
Filtration and Purification...................................................................................................................410
Instrumentation and Control.............................................................................................................411
References.............................................................................................................................................412
A circulating oil system is generally brought into use where equipment needs, cooling, or relia-
bility requirements preclude simpler lubrication supplies. These circulating systems usually
involve an oil reservoir, piping, pumping, cooling, and filter elements. While Figure 1 shows a
typical arrangement, there are wide variations. The reservoir, for instance, might simply be the
oil sump for a gasoline engine or an industrial gas turbine. Characteristics of typical systems
and their components are listed in Table 1 and discussed in this chapter.1-3
RESERVOIRS
The reservoir is the core of the system in serving as a storage vessel, settling tank, foam sepa-
rator, and deaerating chamber. The reservoir top surface is frequently used for mounting
pumps, coolers, filters, controls, and instrumentation. See Figure 2 for a typical layout.
RESERVOIR CAPACITY
The system lubricant volume is the total feed requirement of all bearings, gears, controls, and
other machine elements at maximum flow conditions multiplied by the oil dwell time. For a
paper mill dryer section requiring 20 gpm feed and a 40-min dwell time for settling of con-
taminants (see Table 1), for instance, the working capacity becomes 800 gallons.
Variables such as thermal expansion, foam, and air venting require extra free space above
the normal oil level to assure that the reservoir does not overflow and oil return lines are not
blocked. This allowance normally comprises about 1 min of flow rate or a minimum of 4 to 8
in. of height.
PROPORTIONS
Low oil depth permits faster escape of entrained air and quicker settling of water and solids. A
long tank desirably enables locating the pump suction farther from the returning oil. The most
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Circulating Oil Systems 405
FIGURE 1 Typical system arrangement. (From Twidale, A. J. and Williams, D. C. J., in CRC
Handbook of Lubrication, Vol. 2, Booser, E. R., Ed., CRC Press, Boca Raton, FL, 1984, 395.)
suitable proportions are commonly width = height = length/2. Available headroom and floor area
also frequently influence reservoir proportions.
CONNECTIONS
Oil draining back from bearings and gears should return at one end of the reservoir and just above
the oil level to minimize foam and to release entrained air. Any line returning air-free oil from a pump
pressure-relief valve or oil conditioning system should extend 6 in. or more below the reservoir oil
level to avoid introducing air into the bulk oil. Internal reservoir baffling, by lengthening the path to
the oil pump and minimizing stagnant areas, then promotes separation of entrained air and contam-
inants.
Sloping the reservoir bottom from 1 in 15 to 1 in 30 diverts water and impurities to a drain at the
low end for removal to the purification system. Oil-pump suction must be kept well below the low-
est oil level to avoid sucking air and losing pump prime, but should be 6 in. or more above the

FIGURE 2 Typical reservoir layout. (From Twidale, A. J. and Williams, D. C. J., in CRC
Handbook of Lubrication, Vol. 2, Booser, E. R., Ed., CRC Press, Boca Raton, FL, 1984, 395.)
reservoir bottom to avoid pickup of dirt and water. Where oil level varies widely, a floating suction
with attached strainer will serve.
RESERVOIR HEATING
Either electric or steam immersed heaters should be sized to heat the oil from ambient temperature
to that required for starting, often in the 70 to 100°F range (20 to 40°C), within 4 hours. For steam
heating coils, the pressure should not exceed 50 psig (equivalent to 300°F) to avoid oil decomposition
on the heater surface. Surface temperature with electric heaters is controlled by limiting heat flux to
about 8 W/in.2 for low viscosity oils in the VG 32- to VG 68-range and 4 watts above VG 250.1

SYSTEM PIPING
Pipes must be large enough to prevent cavitation in pump suction lines, to avoid undue pres-
sure drop in feed lines, and to avoid back-up in drain lines at the minimum oil operating tem-
perature. As indicated in Figure 3, feed lines usually operate at 5 to 10 ft/s This may sometimes
be raised to 20 ft/s for low-viscosity hydraulic oils and to keep contaminants from separating
in transit. For high-viscosity oils in long lines, velocities below 5 ft/s are desirable to minimize
the pressure drop.2
FIGURE 3 Chart for approximating feed and drain line sizes. (From Booser, E. R. and
Smeaton, D. A., in Standard Handbook of Lubrication Engineering, McGraw-Hill, New York, 1968,
Feed line flow is characterized by the dimensionless Reynolds number:
where flow is Q gpm, d is pipe i.d. in inches, and v is centistoke oil viscosity from Figure 4.
For Reynolds numbers up to 2000, flow is viscous and pressure drop Pf psi in a feed line
L feet long becomes:
where oil density p lb/in.3 is commonly about 0.0307.

For turbulent flow when Reynolds number exceeds 2000, pressure drop is given by:

FIGURE 4 Viscosity at operating temperature for pipe sizing. (From Booser, E. R. and
Smeaton, D. A., in Standard Handbook of Lubrication Engineering, McGraw-Hill, New York, 1968,
Drain lines should not run more than half full to allow space for foam and escape of air, both
entrained in the oil and pulled along by the flowing oil. About 1 ft/s is a common full-drain velocity
(2 ft/s for running half full) for VG 32 oils with a drain sloped 1 in 40 toward the reservoir. A greater
slope in the 1 in 10 range would be appropriate with the more viscous oils in steel- and paper-mill sys-
tems. Minimum drain line slope for running half full is obtained from the following relation, using the
viscosity from Figure 4 at the minimum operating temperature:
where s is the drain-line slope. While minimum slope is commonly 1 in 40 and is the basis
of Figure 5, all available drop is often employed.
FIGURE 5 Drain line sizing. (From Twidale, A. J. and Williams, D. C. J., in CRC Handbook of
Lubrication, Vol. 2, Booser, E. R., Ed., CRC Press, Boca Raton, FL, 1984, 395.)

PUMPS
Gear pumps are widely used for oil supply with industrial equipment, automobile and aircraft
engines, turbines, and compressors involving volumes of up to 250 gpm or more at discharge
pressures to over 1000 psi. Screw-type positive displacement pumps are available for delivery
up to 1000 gpm and 1000 psi pressure; since some can accommodate moderate axial displace-
ment, they are often conveniently coupled in-line to the end of a machine shaft. Both gear and
screw pumps are limited to a maximum suction lift of about 24 ft.
Centrifugal pumps can deliver much larger volumes at moderate pressures up to 175 psi
and will handle dirty oil, but they do require a flooded suction and oil viscosity below 250 cSt.
While they can operate with restricted output, protection against overheating under a no-flow
condition requires continuous bleed through a restrictor in a bypass line.
Feed pressure, P (psi), required from the pump is given by:
where Po is psi pressure in the reservoir; P2 is the required oil pressure to be delivered at bear-
ings or other machine elements, commonly in the 10 to 30 psi range; ∆h is the delivery height
in inches above the reservoir level for oil of density p (lb/in.3); and ΣPf is the flow friction pres-
sure drop through piping, coolers, and filters. In many systems a filter pressure drop of about
10 psi and a cooler drop of 5 to 10 psi should be included.
Power, H, needed to drive the pump in delivering Q gpm is:
where pump efficiency e is commonly 0.6 to 0.8.
SIZING EXAMPLE
As an example of sizing a lubrication system, consider a machine requiring 200 gpm of ISO
VG 32 light turbine oil at 115°F and 30 psig for a bearing supply manifold 22 feet above an oil
reservoir.
For a dwell time of 5 min, reservoir capacity would be set at 1000 gallons with 10% free
space above the static oil level. Figure 3 indicates that a feed pipe i.d. of 3 in. is adequate. Since
VG 32 oil at 115°F has a viscosity of 26 cSt, Reynolds number Re to characterize the flow is
given by Equation 1 as:
Since Re is greater than 2000, flow is turbulent.

Pipe length is 40 ft. Equivalent length of three elbows and a tee fitting is given from Table
2 as 3(25) + 60 = 135 diameters, or 34 ft. With a total equivalent length of 40 + 34 = 74 ft,
Equation 3 gives a turbulent pressure drop of
From Equation 5, the total pressure P to be supplied by the pump with allowance of 10
psi pressure drop through the cooler and 10 psi through the filter is:

Assuming pump efficiency of 0.7, power needed to drive the pump from Equation 6 is:
To accommodate oil draining at 70°F during starting when viscosity of VG 32 oil is 75 cSt, the drain
line i.d. required from Figure 5 is 5 in. for running half full with a slope of 1 in 40.
COOLERS
Friction loss from bearings, gears, pumps, and contact with high temperature surfaces all combine to
heat oil returning to the reservoir, commonly to the 50 to 70°C (120 to 160°F) range with conven-
tional petroleum circulating oils; higher temperatures lead to shortened oil life. An oil cooler posi-
tioned between the main oil pump and the lubricated elements then uses water or air to drop the oil
by 10 to 20°C (20 to 40°F) for feeding to bearings and other machine components at 45 to 60°C (105
to 140°F).
Various plate, fin, and tube coolers are used in small oil-circulating systems, while shell-and-tube
coolers are usually employed in larger systems. Oil pressure drop through the shell is commonly 6 to
15 psi, while cooling water pressure drop through the tubes is 2 to 5 psi. When water is unavailable,
air is commonly blown by a fan over tubes carrying the hot oil in a radiator.
FILTRATION AND PURIFICATION

Degree of oil cleanliness influences the type of oil purification indicated in Table 1. Filtration down
to 1 micron (1 millionth of a meter [1 mm] or 0.00004 in.) may be needed with some hydraulic valves
and actuators, while 150-micron strainers suffice in steel rolling mills with their rugged construction
and frequent maintenance.
Filters, the most common means for cleaning additive-type oils, are generally disposable cartridges
of pleated paper, cotton bags, or waste cellulose or fine mesh screens. Activated clay or alumina car-
tridges are used to adsorb small amounts of water and oxidation products with phosphate ester fire-
resistant fluids and some uninhibited petroleum oils, but these active filters should be avoided with
additive-type oils since they tend to remove rust and oxidation inhibitors. Up to 1% water contami-
nation can be removed with blotter type cartridges; extensive water removal requires a separate purifi-
cation unit.
Frequently a combination of techniques are advantageous. Settled water and sludge collecting on
the sloping reservoir bottom can be removed in a batch process. A centrifuge in a by-pass circuit pro-
cessing 10% of the oil per hour effectively removes water and dirt particles down to l-µm size.
Magnets can be incorporated with dual basket filters using a changeover valve. Mechanically cleaning
filters employ interleaved radial metal plates which plough the dirt from gaps between metal
discs when the filter pack is rotated.

INSTRUMENTATION AND CONTROL

Table 3 and the following considerations reflect controls and alarms needed to ensure contin-
uous feed of sufficient lubricant to bearings, gears, and related machine elements.
RESERVOIR INSTRUMENTATION
The simplest device to indicate proper oil level is a sight gauge. Large reservoirs may use high-level
and low-level mercury float switches to sound an alarm. A cooler water leak would trip the high-level
switch; an oil leak or excessive oil consumption would sound the low-pressure alarm.
A thermocouple or resistance temperature detector would indicate temperature at a central con-
trol console. A thermally actuated switch with electric immersion heaters or a temperature-actuated
valve with steam heating would be used to bring the oil to a suitable start-up temperature. When oil
viscosity reaches operating condition, closing a second temperature-actuated switch makes the plant
operative.
PUMP CONTROLS
A pressure-relief valve at their output protects positive displacement pumps from overload. No such
protection is ordinarily needed with centrifugal pumps which accommodate broad changes in flow
demand with little variation in delivery pressure.
If a lubricated machine must continue to run after failure of the main pump, one or even two
back-up oil feed supplies must be automatically started by flow- or pressure-operated switches. As an
alternative, as in steel mill systems, an elevated emergency supply or pressure tank downstream of the
cooler can provide a diminishing oil supply for up to 5 min (see Figure 6). Sized to accommodate
emergency oil quantity Q with the tank 2/3 full, the upper air cushion V1 maintains the pressure at
that of the pump discharge. In case of a pumping system failure, this air cushion drives enough oil
for a satisfactory shut-down (as in clearing of hot steel in a steel mill). Since some air is absorbed in
the oil, air must be added from time to time. To avoid accidental over-pressurization, an air regulator
is installed along with a safety valve set to open 10 psi above the pump relief-valve setting.
COOLER DEVICES
To assure oil delivery at the proper temperature, a temperature sensor in the cooler outlet oil flow can
be used to control pneumatically or electrically an inlet water valve to the cooler.
INSTRUMENTS AT LUBRICATED MACHINERY

Pressure and temperature should be monitored in bearing headers with switches to give low-pressure
and high-temperature alarms. In critical systems, automatic controls back up these alarms and start

FIGURE 6 Pressure tank for oil supply during emergency shutdown. (From Twidale, A. J. and
Williams, D.C. J., in CRC Handbook of Lubrication, Vol. 2, Booser, E. R., Ed., CRC Press, Boca
Raton, FL, 1984, 395.)
spare or emergency oil pumps. Secondary switches will trip out the lubricated equipment if
temperature rises or pressure falls to the danger zone.
Resistance temperature detectors or thermocouples at each bearing and in oil drains from
bearings and gears provide a useful check on machine operation. When a monitored bearing
operates 10 to 15°C (20 to 25°F) hotter than normal, warning signals or even automatic shut-
down should be provided.
REFERENCES
1. Twidale, A. J. and Williams, D.C. J., Circulating oil systems, in CRC Handbook of Lubrication, Vol. 2,
Booser, E. R., Ed., CRC Press, Boca Raton, FL, 1984, 395–409.
2. Booser, E. R. and Smeaton, D. A., Circulating-oil-system design, in Standard Handbook of Lubrication
Engineering, McGraw-Hill, New York, 25, 1968, 23–44.
3. Wilcock, D. F. and Booser, E. R., Lubrication techniques for journal bearings, Machine Design, Vol.
59 (15), 1987, 84–89.

V
Friction, Wear, and Surface
Characterization


40 Surface Texture
V. V. Dunaevsky, Y.-R. Jeng, and J. A. Rudzitis
CONTENTS
Summary and Tips on Surface Texture......................................................................................415
Surface Texture Characterization................................................................................................417
Measurement of Surface Texture................................................................................................422
Contact Interaction of Surfaces..................................................................................................423
Effects of Surface Texture on Machine Components............................................................430
Acknowledgment...........................................................................................................................433
References.......................................................................................................................................433
SUMMARY AND TIPS ON SURFACE TEXTURE

METROLOGICAL ASPECTS
All engineering surfaces are not perfect. Due to manufacturing causes and physics of solids,
they have macro- and microgeometrical deviations from the nominal dimensions which are
called surface texture and surface topography. Figure 1 illustrates the relative size of surface-
related phenomena.
FIGURE 1 Comparative size of surface-related phenomena.1

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These deviations have varied magnitude and patterns, and they affect various functional
characteristics of machine components including wear, life, and reliability.
For convenience of analysis, a measured or total profile of the surface is attenuated
through mechanical or electronic filtering into several individual waveforms called waviness
and roughness, of which roughness has a smaller wavelength.
The individual waveforms are represented through a set of geometrical characteristics
which are known as amplitude, spacing, and hybrid parameters of surface texture. Some stan-
dards for surface texture are given in Table 1.
FUNCTIONAL ASPECTS
Because of surface texture and regardless of its magnitude, except for very smooth surfaces,
actual contact area between solids is very small and in all situations does not depend on nom-
inal area.

Surface Texture 417
Because of smallness of the real area of contact, friction temperature and contact pressure
are very high.
In general, the smaller the roughness height, the less is the thickness of lubricant film nec-
essary to support the load.
Average roughness height parameter, Ra, which is also known as center line arithmetic aver-
age (AA) and center line average (CLA), is the most popular surface texture assessment char-
acteristic which in many occasions interrelates with other roughness parameters.
Typical values of roughness height for a large variety of mating surfaces of precision, slid-
ing and sealing members are in a range of 0.025 to .6 µm Ra with the lowest values related to
bearing balls and gauges.
The original magnitude and pattern of the surface texture of a component tend to change
in a process of contact interaction with other components by adapting to the operational con-
ditions.
Lay is an important surface texture characteristic.
SURFACE TEXTURE CHARACTERIZATION

Schematics of departure of roughness profile from an ideal shape:
a. Theoretical profile of turned surface.

b. Random component due to physical processes developed on the interface between tip of the tool
and work-piece.
c. Resulting profile.
The randomness of a surface profile dictates a statistical approach in the analysis of sur-
face finish. Hence, all surface parameters are statistical parameters.
FIGURE 2 Pictorial view of engineering surface.

FIGURE 3 Distortion of the measured profile in its graphical representation due to nonequal
horizontal and vertical magnifications.
FIGURE 4 Statistical nature of the surface finish.
PARAMETERS DERIVED FROM ABBOTT-FIRESTONE CURVE, AFC

(BAC)15,16
These parameters, which are calculated using Rk filtering, are referred to a datum line comput-
ed from the AFC and intersecting with the ordinates at bearing ratio zero and 100%. This line
separates the surface profile into three parts:

Surface Texture 419

• Material-filled profile peak area (A,) — a measure of the amount of material that will be
removed in the run-in period.
• Core roughness area of profile.
• Profile depth or profile valley area (A2) — a measure of the area in the profile that can
retain lubricant.

Surface Texture 421
Within these areas the following parameters are distinguished:

• Rk — core roughness depth. The depth of the roughness profile excluding prominent
peaks and grooves. It will, after initial run-in period, carry the load and influence life and
performance.
• Rpk — reduced peak height. The height of the top portion of the surface profile, i.e., of
the profile peaks exceeding the core profile. It is often worn away during the run- in peri-
od.
• Rvk — reduced valley depth. The depth of the lowest part of the surface profile, i.e., of
grooves extending below the core profile. It is a measure of the oil-retaining capacity of
the surface in question.
• Mr1 — material component relative to peaks. The material ratio (tp) at which Rpk and Rk
meet. This is the upper limit of the core roughness profile.
• Mr2 — material component relative to valleys. The material ratio (tp) at which Rvk and Rk
meet. This is the lower limit of the core roughness profile.

SURFACE TEXTURE SYMBOLSA (PER ANSI Y 14.36 — 1978)
MEASUREMENT OF SURFACE TEXTURE
Cutoff length or sample (sampling) length or roughness width cutoff (RWC), which is usual-
ly = 0.8 mm (0.03 inch) define the filter. The other standard cutoff values are 0.08 mm (0.003
inch), 0.25 mm (0.01 inch), 2.5 mm (0.1 inch), 8 mm (0.3 inch), or 25 mm (~1 inch). The upper
scale profilometers allow also customary values of cutoff. Waves shorter than cutoff length are
classed as roughness, R. Waves longer than the cutoff length are classed as waviness, W. All
roughness parameters are measured within a certain number of sampling lengths — typically
five. Waviness and total parameters are also measured on a specified traversing length. A mag-
nitude of the RWC does not depend on a type of filter among which a so-called Gaussian fil-
ter, which is both ISO and ANSI/ASME recommended, distinguishes waviness from rough-
ness more sharply than other filters such as, e.g., analog 2RC and digital phase-correct filter
2RC. Selection of the proper cutoff length should be based upon surface being measured.

Surface Texture 423
a. For periodic surfaces, e.g., turned surface, the value of cutoff is based on the spacing feature param-
eter, Sm, mean spacing, as defined by Table 7.7
b. For random, nonperiodic type surfaces, e.g., ground surface, select the proper cutoff based upon
Ra, roughness average, per Table 8.7
CONTACT INTERACTION OF SURFACES

CONTACT OF IDEAL AND ROUGH SURFACES10
A diagram of a contact interaction of the ideal and rough surfaces: 1, plastically deformed asperi-
ties; 2, elastically deformed asperities. P, load; aCR, deformation of the asperities at which plastic flow
of the asperity commences. I, initial position of the ideal rigid flat; II, position to which a rigid flat
was transferred, producing elastic and plastic deformations of the asperities; S, distance between II
and mean line m (separation between the surfaces). The load is supported by those asperities (shad-
ed) whose heights are greater than the separation u between the planes.

FIGURE 5 Roughness ranges of production processes (NSI B46.1—1985).

Surface Texture 425


Surface Texture 427
CONTACT OF TWO ROUGH SURFACES19
(a) Geometric presentation of the contact interaction of two rough surfaces; (b) equivalent sur-
face; L, separation between the surfaces, h, roughness heights of the surfaces; o, mean line.
The equivalent surface, ES, has been introduced to simplify a contact analysis of two rough
surfaces. ES is such a surface which, after being compressed by a smooth rigid plane, maintains
contact area and separation (from the rigid plane) equal to those of two rough surfaces under
the same load. See Tables 9 and 10.
In the above: v, n(0)i = number of the intersections of the profile with mean line per unit
length for ES and the individual isotropic surface respectively; µ, mi, = number of the profile
peaks for ES and an individual isotropic surface, respectively; i = 1,2, indices of the individual
isotropic surfaces.

CONTACT OF IDEAL SURFACE AND ASPERITY

A contact of the individual asperity with the ideal surface is often presented as a contact of the
hemisphere with a plane: (a) plastic contact; (b) elastic contact.

Surface Texture 429

EFFECTS OF SURFACE TEXTURE ON MACHINE COMPONENTS

Surface Texture 431


Surface Texture 433
ACKNOWLEDGMENT
The author gratefully acknowledges the contribution to this work, as it relates to the sections of sur-
face roughness measurement and filtering, stemming from technical discussions with Ira Kerns,
Precision Devices, Inc., and Richard Wismer from Measuretech, representing Hommel Werke.
REFERENCES
1. Williamson, J.B.P., The shape of the surfaces, CRC Handbook of Lubrication, Theory and Practice of
Tribology, Vol. 2, Theory and Design, Booser, E.R., Ed., CRC Press, Boca Raton, FL, 1984, 3–16.

2. Surface Texture (Surface Roughness, Waviness and Lay), ANSI/ASME B46.1 — 1985, American
Society of Mechanical Engineering (ASME), New York, 1985.
3. Chung, Y.-W. and Sriram, T.S., Scanning tunneling microscopy, ASM Handbook, Vol. 18, Friction,
Lubrication and Wear Technology, ASM International, 1992, 393–398.
4. Garbini, J.L. et al., Surface profile measurement during turning using fringe-field capacitive profilom-
etry, ASME Preprint 90 - WA - DSC - 25, 1990.
5. Moore, D., Principles and Applications of Tribology, Pergamon Press, New York, 1975.
6. Hailing, J., Principles of Tribology, Macmillan Press Ltd., London, 1975, 38–47.
7. Nordberg, M.E., Surface Finish Concepts, Mathematics and Measurement Techniques, Precision Devices,
Milan, MI, 1993.
8. Dunaevsky, V.V., Measurement of local microscopic wear, J. Tribol., 108, 35–41, 1986.
9. Peters, J. et al., “Assessment of Surface Typology Analysis Techniques,” Annals of CIRP 28/2, 1979.
10. Rudzitis, J. A., Microgeometry and Contact Interaction of Surfaces, Zinatne, Riga, Latvia, 1975,12–38.
11. Kragelsky, I.V. and Michin, N.M., Handbook of Friction Units of Machines, Dunaevsky, V.V., Ed., ASME
Press, New York, 1988, 8–11.
12. Dunaevsky, V.V., Research on the Relationship between the Type and Quality of Production
Processes and Wear of the Main Components of Cylinder/Piston and Valve Groups of the Internal
Combustion Engines, Doctoral thesis, Riga Technical University, Riga, Latvia, 1975, 72–82.
13. Greenwood, J.A. and Williamson, J.B.P., Contact of nominally flat surfaces, Proc. R. Soc. London, Ser.
A, 295, 300–319, 1966.
14. Kragelsky, I.V., Friction and Wear, Pergamon Press, London, 1965, 25.
15. Drews, W. and Weniger, W., Rediscovering the Abbott-Firestone curves, Quality, pp. 50–53, Sept.
1989.
16. Measurement of Surface Roughness, Parameters Rk, Rpk, Rvk, Mr1, Mr2 for the Description of the
Material Portion (Profile Bearing Length Ratio) in the Roughness Profile, DIN 4776—1985, Beuth
Verlag GmbH, Berlin, 1985.
17. Sander, M., A Practical Guide to the Assessment of Surface Texture, Feinpruf Perthern, Göttingen,
Germany, 1989, 35–55.
18. Marks’ Standard Handbook for Mechanical Engineers, 8th ed., McGraw-Hill, New York, 1979,
13.73–13.79.
19. Dunaevsky, V.V. and Rudzitis, J.A., Determination of geometrical parameters of an equivalent sur-
face when studying the process of contact interaction of rough surfaces, Machinery Construction, No.
3, Mashinostroenie, Moscow, 1975, 66–70.
20. Bowden, F.P. and Tabor, D., Friction and Lubrication of Solids, Clarendon Press, Oxford, 1986, 20.
21. Moore, D.F., The Friction and Lubrication of Elastomers, Pergamon Press, New York, 1972, 224–227.
22. Piggot, M.R. and Wilman, H., Nature of the wear and friction of mild steel on mild steel and the
effect of surface oxide and sulfide layers, Conference on Lubrication and Wear, Institution of Mechanical
Engineers, London, 1957, 613.
23. Jeng, Y.-R., Experimental study of the effects of surface roughness on friction, Tribol. Trans., 33,
402–410, 1990.
24. Shneyder, Yu G., Development of the Regular Microrelief on the Machine Members and Its Operational
Characteristics, Mashinostroenie Publishing House, Leningrad, 1972, 21.
25. Lubricomp® Internally Lubricated Reinforced Thermoplastics and Fluoropolymer Composites,
Bull.254, LNP Engineering Plastics, Exton, PA, 1994, p. 4.
26. Husu, A.P., Vittenberg Yu R., and Pal’mov, V.A., Surface Roughness Theory Probability Approach, Nauka,
Leningrad, 1975, 15.
27. Reshetov, D.N., Machine Design, Mir Publishers, Moscow, 1978, 104–115.
28. Tallian, T.E., Rolling contact failure control through lubrication, Proc. Inst. Mech. Eng., 182, 205–236,
1967–1968.
29. Dunaevsky, V.V., Surface Texture and Topography. Measurement, Characteristics & Application, Allied
Signal/Truck Brake System Co., Elyria, OH, 1995.
30. Mummery, L., Surface Texture Analysis. The Handbook, Hommelwerke, New Britain, CT, 1991.
FURTHER READING
An extensive list of references on the subject of surface texture and topography can be found
in Reference 3 of the ASM Handbook and in a section on Surface Topography in Mechanical
Engineer’s Reference Book, 12th ed., Smith, E.H., Ed., SAE, Warrendale, PA, 1994, 125–132.

41 Typical Friction and Wear Data

A. W. Ruff
CONTENTS
Metal and Polymer Friction and Wear Data..............................................................................435

Ceramic Friction and Wear Data.................................................................................................435
Abrasive Wear Standard Test Data.............................................................................................435
METAL AND POLYMER FRICTION AND WEAR DATA
This set of data was extracted from the ACTIS Tribomaterials I Database, NIST Reference
Database 22 (1989). The entire database includes about 370 records covering metals, poly-
mers, composites, and ceramics. The data sources were archival publications, and round-
robin activities. For more complete information, NIST Database 22 or the original sources
should be consulted.
CERAMIC FRICTION AND WEAR DATA
This set of data was extracted from the ACTIS Tribo-ceramic Materials Database, NIST
Reference Database 47 (1994). The entire database includes about 370 records, covering 7
different ceramic materials in 36 combinations. The data sources were NIST research proj-
ects, archival publications, and round-robin activities. For more complete information, NIST
Database 47 or the original sources should be consulted.
ABRASIVE WEAR STANDARD TEST DATA: ASTM G-65 DRY

SAND/RUBBER WHEEL TEST
These summary data were obtained from a series of interlaboratory tests done by members
and associates in ASTM Committee G-2. More details can be found in the ASTM Standard
Test G-65 and the associated Research Report G2-1004, both of which are available from
ASTM, Philadelphia, PA.
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Typical Friction and Wear Data 437
42 Friction and Wear Equations

Valery V. Dunaevsky
CONTENTS
Friction Equations..........................................................................................................................445
Influence of the Various Factors on Coefficient of Friction (Elastoplastic Contact)..........448
Wear Equations...............................................................................................................................449
Example of Use of Wear Equations...........................................................................................450
Hardness Considerations..............................................................................................................452
References.......................................................................................................................................453
FRICTION EQUATIONS
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Friction and Wear Equations 447

INFLUENCE OF THE VARIOUS FACTORS ON COEFFICIENT

OF FRICTION7 (ELASTOPLASTIC CONTACT)

WEAR EQUATIONS

EXAMPLE OF USE OF WEAR EQUATIONS

A journal bearing consists of a horizontal stainless steel shaft (Figure 3), of a diameter 25 mm,
rotating in a copper bushing with the initial diametral clearance of 0.05 mm. The shaft rotates
with a speed of 500 rpm under a normal load of 10 N (1.02 kg). Penetration hardness of the
bushing is 50 HBN (Brinell hardness number), i. e., 50 kg/mm2.

It is required to select a regime of lubrication at which the bearing can operate no less than
5000 h before reaching a clearance of 0.5 mm, at which the bearing is considered inoperable.
FIGURE 3 A journal bearing consisting of a rotating shaft and stationary bushing.
Solution:
1. Adhesive wear equation is used:
2. Considering that only wear of the bushing contributes to the increase of the bearing clearance, a
critical worn volume of the bushing is
where t = 0.5 ⋅ (cf - ci) — thickness of the worn layer; cf = final clearance; ci = initial
clearance; l = length of a bushing; dav = average diameter of worn layer.
3. Length of the sliding distance
where ω = shaft velocity, rpm; n = duration of the operation of the bearing, min.
4. Substituting ( 2 ) and ( 3) into Equation 1, obtain
5. Find k from (4) which provides 5000 h of operation
6. Substituting into (5) the related values of the parameters in the compatible units, obtain:
7. Comparing the above value of k with k values in a section on adhesive wear Ref. 38, a column for
metals with intermediate metallurgical compatibility to which shaft and bushing materials belong,39
find that the k from Equation 6 is close to the value of k for good lubrication, i.e., 2 ⋅ 10-6.
It is recommended to use good lubrication to provide 5000 h of the required bearing life.

Consequently, as a word of caution in using the demonstrated technique for lubrication and
wear analysis, wear coefficients may vary significantly, up to several magnitudes, depending on the
test conditions and materials compatibility. Besides, the wear equation we used may not necessarily
be adequate to the actual operating conditions. This demonstrated technique should be only an
approximate and preliminary tool for wear analysis which (in a demanding application) should be
verified through bench testing or testing of the actual components under conditions approaching
or representing the real operation.
HARDNESS CONSIDERATIONS
In dealing with friction and wear problems, it is often necessary to use indentation (penetration)
hardness (i.e., the ratio of load applied to area of indentation produced by plastic yielding). The
indentation hardness is best measured by a Vickers, Knoop, or Brinell test.
Brinell hardness numbers are equal to hardness stress expressed in kg/mm2. The indentation
hardness is about three times the yield stress in uniaxial tension or compression.
The Rockwell hardness test is a test of the indentation type, but it measures the vertical distance
through which the indenter (generally a cone with rounded end) moves during indentation.
Rockwell hardness number R relates to a penetration hardness H by means of the Equations:36
where k1 and k2 are constants.

The conversion between Rockwell and penetration hardness is shown graphically, Figure 4.
Note that there are several Rockwell scales, depending on load and indenter size and shape used.
FIGURE 4 Diagram to convert Rockwell hardness numbers into hardness stress, H, N/mm2.
(A) A scale, diamond brale indenter, 60-kg load; (B) B scale, 1/16” steel ball, 100-kg load; (C)
C scale, brale indenter, 150-kg load; (D) D scale, diamond brale indenter, 100 kg load; 15-N, N
scale for a superficial test using a diamond brale with a 15-kg load.

REFERENCES
1. Leonardo Da Vinci, About Myself and My Science (1508). Selective works, 1, Academia, Moscow, 1932.
2. Kraghelsky, I.V. and Schedrov, V.S., Evolution of the Science of Friction [in Russian], AN USSR (USSR
Academy of Sciences), Moscow, 1956, 1–69.
3. Amontons, G., On the resistance originating in machines, [in French], Mem. Acad. Roy., 1699,
206–222.
4. Parent, A., New static with and without consideration of friction, or rules for determination of fric-
tion forces in machines [in French], Mem. Mathem. Phys. Acad. Sci., Paris, 1704, 173–197.
5. Rabinowicz, E., Friction and Wear of Materials, John Wiley & Sons, New York, 1965, 66.
6. Coulomb, C.A., The theory of simple machines [in French], Mem. Math. Phys., 10, Paris 1785,
161–331
7. Kraghelsky, I.V. and Vinogradova, I.E., Coefficients of Friction [in Russian], Mashgiz, Moscow, 1962,
5–26
8. Ernst, H., and Merchant, I.E., Surface friction between metal — a basic factor in metal cutting pro-
cess, Proc. Spec. Summer Conf. Friction and Surface Finish, M.I.T., Cambridge, MA, 1940, 76–101
9. Merchant, M.E., The mechanism of static friction, J. Appl. Phys., 11, No. 3, 1940.
10. Kraghelsky, I.V,. Friction and Wear, Pergamon Press, London, 1965.
11. Kraghelsky, I.V., Evaluation of the friction properties of materials in sliding contact, Industrial Lab.,
34(8), 1007–1009, 1968.
12. Moore, D.F., Principles and Applications of Tribology, Pergamon Press, New York, 1975
13. Ettles, C.M., The thermal control of friction at high speeds, ASME Trans., J. Tribol., 108, 98–107,
1986
14 Dine, O.C. and Ettles, C.M., et al., Some parameters affecting tactile friction, ASME Trans., J.
Tribol., 113, 512–517, 1991
15. Euler, L., Friction of Solids [in French], Hist. Acad. Roy., Berlin, 1748.
16. Petroff, N., Friction in machines and the effect of the lubricants, (a) In Russian, Eng. J., St.
Petersburg, pp. 71–140, 228–274, 377–436, 1883; (b) German translation by L. Wurzel, L.Voss,
Hamburg, 1887, pp. 187
17. Fuller, D.D., Theory and Practice of Lubrication for Engineers, John Wiley & Sons, New York, 1956,
12–26.
18. Sneck, H.J. and Vohr, J.H., Hydrodynamic lubrication, CRC Handbook of Lubrication (Theory and
Practice of Tribology), Vol. 2, Theory and Design, Booser, E.R., Ed., CRC Press, Boca Raton, FL, 1984,
72, 73, 90.
19. Harris, T.A., Friction and wear of rolling element bearings, ASM Handbook, Vol. 18, Friction,
Lubrication, and Wear Technology, ASM International, Metals Park, OH, 1992, 499–514.
20. Errichello, R., Friction, lubrication, and wear of gears, ASM Handbook, Vol. 18, Friction, Lubrication,
and Wear Technology, ASM International, Metals Park, OH, 1992, 536–545.
21. Archard, J.F., Contact and rubbing of flat surfaces, J. Appl. Phys., 24, 1953, 981–988.
22. Hailing, J., Toward a mechanical wear equation, ASME Trans., J. Tribol, 105, 212–220, 1983
23. Rabinowicz, E., Abrasive wear resistance as a material test, Lubr. Eng., 33 (7), 378–381, 1975
24. Evans, A.G. and Marshal, D.B., Wear mechanisms in ceramics, Fundamentals of Friction and Wear of
Materials, Rigney, D.A., Ed., ASM, Metals Park, OH, 1980, 439.
25. Kruschov, M.M. and Babichev, M.A., Method of wear testing of metals by friction against abra-
sive surface [in Russian], Friction and Wear in Machines, 1, USSR Academy of Sciences, Moscow, 1941.
26. Kruschov, M.M., Resistance of metals to wear by abrasion related to hardness, Inst. Mech. Eng.,
Conf. Lubrication and Wear, London, 1957, 655–659.
27. Kraghelsky, I.V, et al., Fundamental of friction and wear analysis [in Russian], Mashinostroenie,
Moscow, 1977, 321–322.
28. Kruschov, M.M., Principles of abrasive wear, Wear, 28, 69–88, 1974
29. Kruschov, M.M. and Babichev, M.A., Investigation into the Wear of Metals [in Russian], USSR Aca-
demy of Sciences, Moscow, 1960.
30. Kraghelsky, I.V. and Michin, N.M., Friction Units of Machines. Handbook, Dunaevsky, V.V., Ed.,
ASME Press, New York, 1988, 11–16.

31. Dunaevsky, V.V., Measurement of local microscopic wear, ASME Trans., J. Tribol., 108(1), 35-41,
1986.
32. Shneyder, E. W. et al., Effect of Speed and Power Output on Piston Ring Wear in a Diesel Engine,
No. 880672, SAE Tech. Pap. Ser., Warrendale, PA.
33. Chen, G. et al., Wear prediction for unlubricated piston rings, Wear of Materials, 2, 645-647,1989.
34. Stiffer, A.K., Melt friction and pin-on-disc devices, ASME Trans., J. Tribol., 108(1), 105-108, 1986.
35. Bayer, R. G. et al., Handbook of Analytical Design for Wear, Plenum Press, New York, 1964, 67.
36. Rabinowicz, E., Wear coefficients — metals, Wear Control Handbook, ASME Press, New York,1980,
479.
37. Dunaevsky, V.V., Surface topography and surface texture, Tribology Data Handbook, Booser, E.R.,
Ed., CRC Press, Boca Raton, FL, 1997, chap. 40.
38. Dunaevsky, V.V., Generalized wear coefficients, Tribology Data Handbook, Booser, E.R., Ed., CRC
Press, Boca Raton, FL, 1996, chap. 43.
39. Rabinowicz, E., Wear coefficients, CRC Handbook of Lubrication, Vol. 2, Booser, E.R., Ed., CRC
Press, Boca Raton, FL, 1984, 204.
40. Mulhearn, T.O. and Samuels, L.E., The abrasion of metals: a model of the process, Wear, 5, 478-
498, 1969.

43 Generalized Wear Coefficients

Valery V. Dunaevsky
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Generalized Wear Coeficients 457



Examples of application of wear coefficients k in engineering analysis are shown in

References 3 and 22. A specific linear wear rate ih, Equation 11 in a section of wear equations,22
is another example of the dimensionless wear constants.
Along with generalized wear coefficients, popular measures of wear rates include wear fac-
tors (rates) taken as
where h = thickness of worn layer, m; P = average operating pressure, lb/in.2 (1 lb = 4.45 N;

1 in. = 0.0254 m); V = velocity, ft/min (1 ft = 0.304 m); T = operating time, h. The actual val-
ues of k3for various thermoplastic and fluoropolymer composites are given in References 25
and 26. For many applications a wear rate exceeding 2.5 ⋅ 10-7 m/h is considered excessive.
One should note that wear coefficients (wear rates) are highly dependent on test conditions
(specimen configuration, temperature, environment, and other factors). Consequently “...large
errors may arise if the end use conditions differ significantly from those under which data were
taken.”17
REFERENCES
1. Peterson, M. B., Design considerations for effective wear control, Wear Control Handbook, ASME,
New York, 1980, 443.
2. Archard, J. F, Contact and rubbing of flat surfaces, J. Appl. Phys., 24, 981–988, 1953.
3. Rabinowicz, E., Wear coefficients, CRC Handbook of Lubrication, Vol. 2, CRC Press, Boca Raton,
FL, 1984, 201–208.
4. Rabinowicz, E., Friction and Wear of Materials, John Wiley & Sons, New York, 1995.
5. Archard, J. F. and Hirst, W, The wear of metals under unlubricated conditions, Proc. R. Soc. London,
Ser. A, 236, 397–410, 1956.
6. Spurr, R. T. and Newcomb, T. P., The friction and wear of various materials sliding against unlu-
bricated surfaces of different types and degrees of roughness, Proc. Conf. Lubrication and Wear,
Institution of Mechanical Engineers, London, 1957, 269–275.
7. Avient, B. W. E., Goddard, J., and Wilman, M., An experimental study of friction and wear du-
ring abrasion of metals, Proc. R. Soc. London, Ser. A, 258, 159–180, 1960.
8. Lopa, M., A Study of the Influence of Hardness, Rubbing Speed and Load on Abrasive Wear, B.S.
thesis, MIT, Cambridge, MA, 1956.
9. Kruschov, M. M. and Babichev, M. A., Resistance to abrasive wear of structurally inhomoge-
neous materials, Friction and Wear in Machinery, 12, ASME, New York, 1958, 5–23.
10. Samuels, L. E., The nature of mechanically polished surfaces: The surface deformation produced
by the abrasion and polishing of 70:30 brass, J. Inst. Met., 85, 51–62, 1956.

11. Toporov, G. V., The influence of structure on the abrasive wear of cast iron, Friction and Wear in
Machinery, Vol. 12, ASME, New York, 1958, 39–59.
12. Rabinowicz, E., Dunn, L. A., and Russel, P. G., The abrasive wear resistance of some bearing
steels, Lubr. Eng., 17, 587–593, 1961.
13. Rabinowicz, E., Dunn, L. A., and Russel, P. G., A study of abrasive wear three body conditions,
Wear, 4, 345–355, 1961.
14. Fein, R., AWN — A proposed quantitative measure of wear protection, Lubr. Eng., 31, 581, 1975.
15. Rowe, C. N., Lubricated wear, in Wear Control Handbook, Peterson, M. B. and Winer, W. O., Eds.,
ASME, New York, 1980, chap. 6.
16. Rowe, C. N., Lubricated wear, in CRC Handbook of Lubrication, Vol. 2, Booser, E. R., Ed., CRC
17. Jahanmir, S. and Fischer, T. E., Friction and wear of ceramics, CRC Handbook of Lubrication and
Tribology, Vol. 3, Booser, E. R., Ed., CRC Press, Boca Raton, FL, 1984, 103–118.
18. Rabinowicz, E., Wear coefficients — Metals, Wear Control Handbook, ASME, New York, 1980, 503.
19. Rabinowicz, E., The wear equation of erosion of metals by abrasive particles, Proc. 5th Int. Conf. on
Erosion by Solid and Liquid Impact, Cambridge, England, 1979, pp. 38–1 to 38–5.
20. Bhansali, K. J., Wear coefficients of hard-surfacing materials, Wear Control Handbook, ASME, New
York, 1980, 380–382.
21. McNab, I. R. and Johnson, J. L., Brush wear, Wear Control Handbook, ASME, New York, 1980, 1091.
22. Dunaevsky, V. V., Friction and wear equations, Tribology Data Handbook, CRC Press, Boca Raton,
FL, 1997, chap. 42.
23. D 3702-78, Standard Test Method for Wear Rate of Materials in Self-Lubricated Rubbing Contact
Using a Thrust Washer Testing Machine, Annual Book of ASTM Standards, ASTM, Philadelphia,
1990, 46–50.
24. Lewis, R. B., Wear of plastics — evaluation for engineering applications, Pap. 63-WA-325, Winter
Annual Meeting ASME, Philadelphia, Nov. 17–22, 1963.
25. LUBRICOMP® Internally Lubricated Reinforced Thermoplastics and Fluoropolymer Composites, Bull.
254–691, LNP Engineering Plastics Inc., Exton, PA, 1988.
26. Wolverton, M. P., Friction and wear in plastic components, Mach. Des., September 26, 1991, 82–90.

44 Friction Temperatures
Valery V. Dunaevsky
CONTENTS
Introduction...................................................................................................................................462
Nomenclature.................................................................................................................................462
Friction Temperatures by Blok...................................................................................................464
Friction Temperatures by Jaeger.................................................................................................464
Friction Temperatures by Archard.............................................................................................468
Friction Temperatures by Rabinowicz.......................................................................................469
Numerical Examples.....................................................................................................................469
Appendixes.....................................................................................................................................471
References.......................................................................................................................................472
INTRODUCTION
Shown here are closed form solutions for contact temperature rise due to frictional heating
from heat sources both stationary and moving in fresh paths. The referenced formulas pro-
vide compatible solutions for identical frictional heating situations. A common speed criteri-
on L is used in all three groups of formulas. True interface temperature is presented as a
combination of surface temperatures of both contacting bodies.
Tips:
• For very small L, results for the moving source tend to be those for a stationary source
of the same size and strength.
• If L > 2 the difference between the band and square solutions is small.
• If the moving body is a not conductor, then a moving source theory is applicable to a
stationary body; likewise, if the stationary body is a nonconductor, then stationary
source theory is applicable to the moving medium.
• If both bodies have finite conductivity, then the slider is heated by the source and cooled
by the oncoming cooler portions of the stationary substrate, while the latter is heated
both by the source and by conduction from the slider.
• Friction temperatures are high at small real contact areas and are localized in thin super-
ficial layers of the surface.
NOMENCLATURE*
* Nomenclature is given in SI units. Other compatible units, e.g., in the CGS systems, are applicable.
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Friction Temperatures 463

FIGURE 1 Stationary heat supply evenly distributed over a round surface.

FIGURE 2 Stationary heat supply with semi-elliptical heat distribution over a round surface.
FIGURE 3 Heat source with uniform distribution of heat over a square surface: (a) uniform
heat distribution over square; (b) moving source.

FIGURE 4 Flat surface 2 slides over a protuberance on surface of body 1.
FRICTION TEMPERATURES BY JAEGER2

(Contact arrangement per Figures 5, 6, and 7. Uniform heat sources.)
FIGURE 5 Protuberance 2 slides on the plane 1: (a) square source; (b) circular source.

FIGURE 6 A long thin square rod 2 slides on the plane 1 and radiates heat from its faces.
FIGURE 7 Band heat source slides on a stationary plane 1.

FRICTION TEMPERATURES BY ARCHARD

FIGURE 8 Moving circular heat source.
FRICTION TEMPERATURES BY RABINOWICZ14

(Circular contact, Figure 8.)
NUMERICAL EXAMPLES
NUMERICAL EXAMPLE 1
A numerical example is conducted with employment of the Archard equations and contact
arrangement per Figure 8.
To apply the results to a practical problem, the proportion of frictional heat supplied to
each body must be taken into account. A convenient procedure is to first assume that all the
frictional heat liberated at the interface (Q = fNV) is transferred to body 1 and calculate its
temperature rise. Then do the same for body 2. The true temperature rise Tav for the two sur-
faces, taking into account the division of heat between bodies 1 and 2, is given as
Equation 14 is a more critical measure than Equation 13 of an interface temperature rise due to fric-
tional heating. Consider (Reference 7) a circular contact (heat source) 20 mm in diameter (i.e.,

radius = 0.01 m) formed by a protuberance (body 2 in Figure 8) and flat surface (body 1 in
Figure 8). One surface is stationary and another one moves at V = 0.5 m/s. A heat source
formed at the interface of both bodies is stationary relative to body 2 and movable relative to
body 1. (Either of the surfaces 2 or 1 can be in actual motion.)
Both bodies are of plain carbon steel (C = 0.5 %), with one end of the protuberance
(which is essentially a cylinder) maintained at 24°C bulk temperature. The coefficient of fric-
tion is 0.1, and the load is N = 3000 N. The properties of contacting bodies are (see also Table
A2 – 1 in Appendix):
If one can assume that all the frictional energy is conducted into the stationary relative to
heat source surface 2, then its temperature is obtained from the stationary source theory.
Consequently, using Equation 1 from Table 5,
In turn, if all the frictional energy went into the moving relative to heat source surface 1,
then the temperature of this surface can be obtained from the moving heat source theory using
Equation 4 from Table 5, since L = 169 >5 is large:
The true temperature rise for the two surfaces is then obtained from either of the Equations
13 or 14.
Subsequently, Tav (15) = 4.4°C and Tav (16) = 4.7°C.

To obtain true contact surface temperature, Tcontact’ the bulk temperature, Tb’ must be added
to the temperature rise, i.e.,
in the conditions of this example.

See also Reference 8, where the total maximum surface temperature rise is obtained by super-
imposing the local surface temperature rise on the nominal surface temperature rise and back-
ground temperature: Ttotal= Tlocal + Tnominal + Tbackground.

NUMERICAL EXAMPLE 2
NUMERICAL EXAMPLE 3
APPENDIX 1: ADDITIONAL EXPRESSIONS FOR SURFACE TEM-

PERATURE RISE AT THE FRICTION INTERFACE
1. Hertzian contact.
Considering an elliptical pressure distribution within a round Hertzian contact of sphere and elastic
flat surface, and using an analogy of expressions for temperature distribution due to a stationary point
heat source on a plane surface, and for elastic normal deflection of a plane surface due to a normal
point force acting on the surface, the Francis9 equation for a temperature rise at the center of a
Hertzian contact with ellipsoidal power density distribution is 3/8(Q/ K1).

2. Square source. Intermediate L.
3. Band source.
4. Surface temperature due to multiple heat sources.

See Reference 12 for bulk temperature estimation due to a repetitive braking. A bibliographic
list on the subject is in Reference 13.
APPENDIX 2
REFERENCES AND RECOMMENDED LITERATURE

1. Blok, H., Theoretical study of temperature rise at surfaces of actual contact under oiliness lubri-
cating conditions, Proc. General Discussion on Lubrication and Lubricants, Vol. 2, Institute of
Mechanical Engineers, London, 1937, 222–235.
2. Jaeger, J.C., Moving sources of heat and the temperature of sliding contacts, J. Proc. R. Soc, NSW,
76, 203–224, 1943.
3. Bowden, F.P. and Tabor, D., The Friction and Lubrication of Solids, Clarendon Press, Oxford, 1986,
33–37, (first published, 1950).
4. Archard, J.F., The temperature of rubbing surfaces, Wear, 2, 438–455, 1958–1959.

5. Greenwood, J.A. and Williamson, J.B.P., Contact of nominally flat surfaces, Proc. R. Soc., Ser. A, 295,
300–319, 1966.
6. Greenwood, J.A., An interpolation formula for flash temperatures, Wear, 150, 153, 1991.
7. Winer, WO. and Cheng, H.S., Film thickness, contact stress and surface temperature, Wear Control
Handbook, ASME, New York, 81–141, 1980.
8. Tian, X. and Kennedy, F.E., Contact surface temperature models for finite bodies in dry and
boundary lubricated sliding, J. Tribol., 115, 411–418, 1993.
9. Francis, H.A., Interfacial temperature distribution within a sliding Hertzian contact. ASLE Trans.,
14, 41–50, 1970.
10. Tian, X. and Kennedy, F.E., Temperature rise at the sliding contact interface for a coated semi-
infinite body, J. Tribol, 115, 1–9, 1993.
11. Carslaw, H.S. and Jaeger, J.C., Conduction of Heat in Solids, 2nd ed., Clarendon Press, Oxford, 1959,
269.
12. Dunaevsky, V.V., Prediction of railroad friction braking temperatures: prediction of average bulk
and average surface temperatures of railroad wheels and brake discs, Tribol. Trans., 34(3),
343–352,1991.
13. Dunaevsky, V.V., Surface temperature in oscillating rectangular contacts, Preprint 94 - NP - 4G -
3, presented at the 49th STLE Annual Meeting in Pittsburgh, May 1–5, 1994, 1–12.
14. Rabinowicz, E., Friction and Wear of Materials, 2nd ed., John Wiley & Sons, New York, 1995,
96–101.
15. Holm, R., Temperature development in a heated contact with application to sliding contacts, J.
Appl. Mech., 19, 369–374, 1952.

45 BOUNDARY
RELATIONS
LUBRICATION
Richard S. Fein
CONTENTS
Introduction....................................................................................................................................474
Severity Variables...........................................................................................................................476
Boundary Lubricants.....................................................................................................................478
Boundary Lubrication Determination........................................................................................479
Boundary Lubrication Assessment for Design and Problem Analysis.................................482
References.......................................................................................................................................485
INTRODUCTION
Boundary lubrication is the regime of liquid or grease lubrication in which the load is car-
ried on asperities by physical processes which include hydrodynamic flow, elastic and plastic
deformation, fracture, adherence, etc. Chemical processes including chemisorption, corro-
sion, oxidation, etc. interact strongly with the physical processes. Consequently, boundary
lubrication depends strongly on the chemical and physical properties of the sliding surfaces,
surface texture, chemical and physical properties of the lubricant, and products of chemical
reaction of the lubricant with the surfaces and ambient atmosphere.1,2
Table 1 shows the dependence of dimensionless friction and wear coefficients on bear-
ing, lubricant, and atmosphere. The dimensionless wear coefficient is often called the
“Archard” or the “Archard-Burwell and Strang-Holm” wear coefficient k.k is the product of
the wear volume V and indentation hardness H divided by the product of the load W and
sliding distance L; or k is the product of the depth of wear d and indentation hardness H
divided by the product of the apparent pressure P and sliding distance L.3 Usually, k is
approximately the same for opposing surfaces (within a factor of two) and is often approxi-
mately constant over considerable ranges of operating variables and bearing configuration.
Table 1 shows over a 50 million-fold range of wear coefficient and less than a 100-fold
range of friction coefficient resulting from changing the various combinations of materials
under “unlubricated” (i.e., negligible gas-film load support) to boundary-lubricated (i.e., neg-
ligible load support by bulk liquid or grease lubricant) sliding. Usually, introduction of non-
similar but compatible bearing materials,46 oxygen in air, and liquid lubricants reduces both
friction and wear. Note a considerable overlap in friction coefficients with those observed in
full hydrodynamic (including elastohydrodynamic) lubrication.
Figure 1 shows the following three (sub-)regimes commonly observed under boundary
lubrication:
1. Mild wear (MW). The mildest combinations of load and sliding velocity produce good wear pro-
tection and largely metallo-organic wear products.
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Boundary Lubrication Relations 475
FIGURE 1 Secondary lubrication regimes.

2. Damage-controlled wear (DCW). An increase in load produces an abrupt transition to higher
wear and friction coefficients. DCW wear debris often appears to be largely amorphous metallic
oxides, but always includes metallo-organic products. The wear rate, although too high to be tol-
erated for long, does not very rapidly cause an intolerable bearing geometry change.
3. Surface-damage wear (SDW). A further increase in load produces another abrupt transition to a
very rapid surface texture change and/or an intolerable very rapid bearing geometry change. Wear
products tend to be metallic and inorganic oxidation products in the case of a large surface tex-
ture change, but are likely to be predominantly inorganic reaction products in the case of very
rapid wear.

SEVERITY VARIABLES
Load and sliding velocity are just two of a number of variables termed operational severity.1,7,18
An increase in these variables usually increases the likelihood of a transition to a regime of
higher wear and friction coefficient. Friction coefficient transitions usually coincide with wear
coefficient transitions, but are often too small to observe. Table 2 lists the most common sever-
ity variables which, besides promoting transitions, appear to promote modification of sliding
surfaces through formation and removal of chemically changed surface films or boundary
films. The greater the severity of sliding, the more rapidly boundary films are formed and
removed. The consequence is that run-in to a steady-state film thickness and composition
occurs more rapidly at higher severity. Figure 2 shows schematically the variation of film for-
mation and removal rates on a previously unslid surface as a function of sliding duration (dis-
tance or time) and Figure 3 shows the resulting film thickness.7,18
FIGURE 2 Effect of severity on boundary film formation and removal rates. F, film infor-
mation rate; R, film removal rate.

FIGURE 3 Boundary film thickness dependence on sliding distance and severity.
FIGURE 4 Effect of operational severity and chemical reactivity on wear rate.7

Figure 4 schematically illustrates the dependence of wear on material reactivity and operational
severity. At low reactivity, insufficient metallo-organic film is formed to adequately shield the sub-
strate-bearing material and the metallic element content of the metallo-organic wear products is
high. If a transition to damage-controlled wear occurs at low reactivity, oxides will predominate in
the film. Extremely low reactivity for the severity level may lead to a further transition to surface-
damage wear with generation of metallic wear products. At high reactivity, the metallo-organic film
becomes too thick, and the excess is removed by the sliding process at a rate dependent on sever-
ity. Although wear in the mild- and damage-controlled regimes is often termed “abrasive” or

“adhesive,” the bearing metal is a “corrosive” chemical reaction product in the boundary film. Note
that reactivity A in Figure 4 gives smaller wear at intermediate severity than at higher or lower sever-
ities, while wear increases monotonically with severity over most of the reactivity range.
Load-carrying capacity (scuff limit, etc.) transitions seem to depend on the thickness and physi-
cal properties of a reaction product film. These depend on the particular combination of reactants
(i.e., bearing, lubricant and atmosphere materials) and the severity of the bearing system as a chem-
ical reactor. The amount of time the film shears and reacts in the load-carrying zone reactor is includ-
ed as an important part of severity. Consequently, the combination of severity variables that leads to
the sudden increase in wear and friction (and often surface damage) depends on the pathway to tran-
sition.
The effect of the pathway can be surprising. For example, Figure 5 compares the film thicknesses
at run-in durations A through E in Figure 3. Note that, if film thickness alone determines the abili-
ty to operate at higher severity, this would explain the fairly widespread experience of being able to
maximize load-carrying capacity of a bearing more rapidly by running in at an intermediate severity.
FIGURE 5 Operational severity effect on boundary film thickness.
Table 3 summarizes most of what is known about the properties of boundary films. The films
are largely amorphous and, to be effective, they must stay on the substrates and shear more easily.
The physical state shown is that apparent for the outermost portion of the film.
BOUNDARY LUBRICANTS
A wide variety of base oils is used because of their various combinations of properties.8
Hydrocarbon base oils, led by processed natural “mineral oils,” predominate because most of their
properties are good to excellent and their cost is comparatively low. Ester and polyglycol base oil use
is rapidly expanding because of some superior properties for certain applications.910 Boundary lubri-
cated wear and friction characteristics of base oils vary with chemical type and with viscosity.11
Friction and wear properties and severity for transitions of base oils can be modified by adding
small amounts of chemicals (at concentrations of a few parts per million to several percent). The
molecules used for these purposes all contain surface-attracting and base-oil solubilizing portions

as illustrated in Figure 6 for hydrocarbon base oils. Boundary lubrication additives are classed as
friction modifier (lubricity or oiliness), antiwear, or extreme pressure (EP).
Friction modifier lubricity additives, such as oleic acid, lower the friction coefficient at low slid-
ing velocity. This dampens friction-induced noise and can eliminate the stick-slip that occurs at very
low sliding velocity when static friction exceeds sliding friction. Friction modifier additives also tend
to increase the severity for the transition from mild to damage-controlled wear, but to decrease the
severity for inducing surface-damage wear. Friction modifier molecules generally have long (at least
8 to 10 backbone atoms) flexible chains in the oil-solubilizing portion.
Antiwear and EP additives usually reduce wear in the mild and damage-control wear regimes
and increase the severity for the mild to damage-control wear transition. Antiwear additives may
lower the load for the transition to surface-damage wear, but EP additives always increase the sever-
ity for this transition. Both antiwear and EP additives usually contain one or more of the elements
sulfur, phosphorous, or chlorine as illustrated by the zinc diisopropyl dithiophosphate molecule in
Figure 6. Both antiwear and EP additives are often used in a lubricant, and sometimes both func-
tions are provided by a single molecule, such as a zinc dithiophosphate.
Base oils, boundary lubrication additives, additives used for other purposes, and water and oxy-
gen interact with both positive and negative effects on wear protection and transition severities.11
BOUNDARY LUBRICATION DETERMINATION

Wear, friction, and failure analysis or prediction generally require an asperity interaction parameter
calculation to determine the regime of lubrication. It also requires estimation of the likely bound-
ary lubrication (sub-)regime, if in the boundary lubrication or mixed lubrication regime.
INTERACTION PARAMETER CALCULATION
Interaction parameter (IP) is the ratio of composite surface roughness to minimum hydrodynamic
film thickness (i.e., (film thickness parameter)-1 = A-1). Its calculation requires determination of
the composite roughness of the opposing bearing surfaces and calculation of the minimum hydro-
dynamic film thickness expected for smooth surfaces. Composite surface roughness is the

FIGURE 6 Examples of friction modifier and antiwear/EP additives for oil-based lubricants.11
root-mean square (RMS) surface roughness in which Rql and Rq2 are the RMS rough-
nesses of surfaces 1 and 2, respetively.
Minimum fluid film thickness, hm, for hydrodynamic and elastohydrodynamic smooth surfaces
can be calculated using equations and/or charts12,13 summarized in Chapter 58. The equations are quite
accurate, provided that accurate lubricant viscosity properties are used and IP is less than about 1/2 (
Λ > ∼2 ). Accurate viscosity properties require accurate lubricant temperature, since viscosity is a
strong function of temperature, and the viscosity-pressure coefficient for elastohydrodynamic film
thickness calculation varies importantly with viscosity at atmospheric pressure (and consequently with
temperature). The viscosity-pressure coefficient for elastohydrodynamic applications may be deter-
mined from equations and a chart given by Fein in Chapter 59, based upon Roelands.14 Note that the
viscosity-pressure coefficient for elastohydrodynamic calculations is not the same coefficient appropri-
ate for calculating viscosity at some specific pressure. Hence, care must be exercised before using coef-
ficients reported in the literature.
Approximate IP and A limits for the regimes of lubrication are shown in Table 4. A full thermal
analysis of the bearing system or difficult measurement is usually required to accurately determine the
appropriate bearing and/or lubricant temperature for bearing film thickness calculation. Winer and
Cheng give methods of estimating the appropriate bearing temperature.13
Estimation of the boundary lubrication (sub)-regime may be accomplished by calculating the wear
coefficient, observing the morphology of the wear surfaces, and observing the nature of the wear
products. The following equations facilitate calculation of k for various contact conditions.15
For the ith surface in continuous contact
For the surface which periodically passes through the load-carrying zone with sliding parallel
to the direction of motion (sweep direction)

If sliding and motion directions are different, the sliding velocity becomes the vector velocity
difference and W/F becomes the product of the mean pressure and length of the load-carry-
ing zone in the direction of surface motion.
Estimation of the amount of wear, Vi or di, that has occurred in a bearing is often chal-
lenging. Table 5 gives minimum detectable wear estimates for a number of common measure-
ment methods. Measurement of a wear scar width or diameter is useful only when the same
spot on one surface always carries the load, and the relative radius of curvature at that load-
carrying zone is sufficiently small (usually < ~100 mm). The most sensitive wear depth esti-
mates can often be made by profilometry or, less precisely, by visual inspection of percent
removal of surface finish marks (e.g., tool marks). Wear depth measurements or estimates can
be integrated over the wearing area to give a wear volume.

The following equations can be used to calculate wear volume from wear scar width for “point”
and “line” contacts.15 Peterson15 also tabulates k vs. scar width for some standard bench wear tests.
BOUNDARY LUBRICATION ASSESSMENT FOR DESIGN AND

PROBLEM ANALYSIS
The likelihood of problems either with new pioneering designs or designs for extending the oper-
ating severity of existing systems can be estimated by means of five operation factors shown

in Table 6. They should be used to supplement existing bearing design and analysis techniques
and experience with similar bearing systems. The factors also help solve problems of existing
systems and development of simulation tests.
Each operating factor consists of the ratio of a severity measure for bearing system
operation to a limitation for that measure. Magnitude and direction of the departure of the
factor from unity indicates the degree to which operating severity is below or above the lim-
itation imposed by the system configuration and materials or by the needs for system func-
tioning. The five factors in Table 6 are described below. All factors may not be relevant to
a given bearing system.
1. Surface interaction factor, as previously discussed, is the ratio of the minimum calculated hydro-
dynamic film thickness to the limitation imposed by the composite surface roughness. It indi-
cates whether the system is operating in the full or partial boundary lubrication (i.e., mixed
lubrication) regimes. If the latter, it estimates the departure from full bulk-lubricant fluid film
surface separation.
2. Load factor estimates the limitation on maximum load imposed by the system configuration and
materials. Commonly, it is the ratio of the mean pressure on the bearing to the pressure that begins
to cause plastic deformation beneath the softer bearing material surface (often about 1/3 the
indentation hardness at the bearing temperature). On occasion, the onset of asperity plasticity may
be important. As a measure of relative asperity strength, the “plasticity index” may be used as an
asperity load factor.16 Plasticity index where s is the composite roughness, r is
the asperity tip radius, H is the indtation hardness of the softer material, and E’ is the effective
elastic modulus for the two bearing surfaces. The hardness and effective modulus are at the bear-
ing surface temperature.
3. The thermal factor estimates the bearing system approach to a thermal limitation.
a. The measure may be a maximum surface temperature in a concentrated conjunction. The
absolute temperature should be used in the factor and its limiting value. The limitation typ-
ically would be the scuff temperature limit for a gear or the bearing material softening tem-
perature, or transformation temperature for a plain or thrust bearing.
b. PV, fPV, or PVT may also be used as measures of the thermal stress on a bearing.
In these measures, P is the mean pressure on the load supporting zone, V is the
sliding velocity, f is the friction coefficient, and T is the length of the load-carry-
ing zone in the direction of sliding.
4. The wear factor is the radio of the dimensionless wear coefficient or of dimensional wear meas-
ures (e.g., volume of wear per unit of sliding distance and load). The limiting value

is the maximum wear coefficient calculated to allow the bearing to function adequately for its
intended life.
5. The friction factor is the ratio of the friction coefficients when too-high friction represents the lim-
iting condition or the reciprocals of the friction coefficients when too-low friction is the limiting
condition.
Table 7 lists the estimated ease of meeting the boundary lubrication limitations for each of
the five operation factors. Table 8 gives some thermal factor limits compiled from literature
assessments.17’18 Last, Table 9 shows typical wear coefficient ranges and their ease of achieve-
ment for ferrous metals. Limited experience indicates that the same ranges and degree of
achievement difficulty apply to other bearing metals, but the effective lubricant additive pack-
ages frequently are different from those for ferrous metals.

REFERENCES
1. Fein, R. S., A perspective on boundary lubrication, Ind. Eng. Chem. Fundam., 25(4), 518–524, 1986.
2. Fein, R. S., Boundary lubrication, Lubr. Eng., 47(12), 1005–1008, 1991.
3. ASME, Wear Control Handbook, Peterson, M. B. and Winer, W. O., Eds., American Society of
Mechanical Engineers, New York, 1980.
4. Bowden, F. P. and Tabor, D., The Friction and Lubrication of Solids, Part I, Clarendon Press, Oxford,
1954.
5. Bowden, F. P. and Tabor, D., The Friction and Lubrication of Solids, Part II, Clarendon Press, Oxford,
1964.
6. Rabinowicz, E., Friction and Wear of Materials, Wiley, New York, 1965.
7. Rowe, C. N., Lubricated Wear, in CRC Handbook of Lubrication: Theory and Design, Booser, E. R., Ed.,
CRC Press, Boca Raton, FL, 1983.
8. Klamann, D., Lubricants and Related Products, Verlag Chemie, Weinheim, Germany, 1984.
9. Fein, R. S., Liquid lubricants, in ASM Handbook: Vol. 18, Friction, Lubrication, and Wear Technology,
Blau, P., Ed., ASM International, Metals Park, OH, 1992, 81–88.
10. CRC Handbook of Lubrication: Monitoring, Materials, Synthetic Lubricants and Applications, Vol. 3,
Booser, E. R., Ed., CRC Press, Boca Raton, FL, 1994.
11. Fein, R. S., Boundary lubrication, in CRC Handbook of Lubrication: Theory and Design, Booser, E. R.,
12. Hamrock, B. J., Fundamentals of Fluid Film Lubrication, McGraw-Hill, New York, 1993.
13. Winer, W. O. and Cheng, H. S., Film thickness, contact stress and surface temperature, in Wear
Control Handbook, Peterson, M. B. and Winer, W. O., Eds., American Society of Mechanical
Engineers, New York, 1980.
14. Roelands, C. J. A., Correlational Aspects of the Viscosity — Temperature-Pressure Relationship
of Lubricating Oils, Doctors thesis, Technical Highschool of Delft, Druk. V.R.B., Groningen,
Netherlands, 1966.
15. Peterson, M. B., Design considerations for effective wear control, in Wear Control Handbook,
Peterson, M. B. and Winer, W. O., Eds., American Society of Mechanical Engineers, New York,
1980, 413–473.
16. Greenwood, J. A. and Williamson, J. B. P., Contact of nominally flat surfaces, Proc. R. Soc., Ser.
A, 295, 300, 1966.
17. Drago, R. J., Comparative load capacity evaluation of CBN-finished gears, Gear Technology, 7(3),
8–16, 48, 1990.
18. Errichello, R., Friction, lubrication and wear of gears, in ASM Handbook: Vol. 18, Friction, Lu-
brication and Wear Technology, Blau, P., Ed., ASM International, Metals Park, OH, 1992, 535–545.

46 Lubricated Wear Problems —

Symptoms and Prevention
Douglas Godfrey
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Lubricated Wear Problems — Symptoms and Prevention 487
Lubricated Wear Problems — Symptoms and Prevention 489
BIBLIOGRAPHY
Component failures, maintenance and repair, in Tribology Handbook, Neal, M. J., Ed., SAE, R-
137, 1995.
ASM Metals Handbook, Vol. 10, Failure of sliding bearings, ASM, Metals Park, OH, 1975, 397–415.
ASM Handbook, Vol. 18, Friction, lubrication and wear, Blau, P., Ed., ASM International, Metals
Park, OH, 1992.
Godfrey, D., Common wear problems related to lubricants and hydraulic fluids, Lubr. Eng.,
43(2), 111–114, 1987.
Jahanmir, S., On the wear mechanisms and the wear equations, Fundamentals of Tribology, Suh,
N. P. and Saka, N., Eds., MIT Press, Cambridge, MA, 1980, 455–67.
Kaufman, H. N., Sliding bearing damage, CRC Handbook of Lubrication, Vol. 2, Booser, E. R.,
Source Book on Wear Control Technology, Rigney, D. and Glaeser, W. A., Eds., ASM, Metals Park,
OH, 1978.
Tallian, T. E., Failure analysis for Hertz contact machine elements, ASME Press, New York,
1992.
Wear Control Handbook, Peterson, M. B. and Winer, W., Eds., ASME, 1358 pages, 1980. (See
pages 1143–1201 for Glossary of Tribological Definitions by the Organization For
Economic Cooperation and Development).
Bulletins of engine, industrial equipment, components, and lubricant manufacturers.

VI
Material Properties


47 TYPICAL PROPERTIES OF
SLIDING CONTACT MATERIALS
A. W. Ruff
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48 ROLLING ELEMENT BEARING

MATERIALS
Charles A. Moyer
Rolling element bearing materials started with modification of tool steel in Europe about
1900, leading to AISI 52100 and derivatives that have since been used for all types of com-
mercial and automotive rolling bearings. In the U.S. AISI 52100 was the primary choice for
industrial ball bearings, spherical bearings, and other types depending on the bearing manu-
facturer. Carburizing grade steels were also developed early for tapered roller bearings and
other heavily loaded bearing types that benefited from the tougher core materials and case
compressive residual stresses that developed during the carburizing process.1
Both the popular through-hardened steels (i.e., AISI 52100) and carburized steels (i.e.,
AISI 8620) contain about 1.5 to 6% alloy content, 0.6 to 1.1% C (approximate carbon con-
tent range), and the rest iron. They have been fairly cost effective, with sufficient loading and
fatigue strength to perform well. As the inclusion content size and number have been reduced
in recent times, the fatigue strength has increased dramatically for these steels.
As rolling element bearings were used beyond automotive and industrial applications,
other materials were developed. Examples are steels with higher alloy content (10 to 15% or
more) for high temperature and better corrosion resistance (e.g., 440C) or ceramics (e.g., sil-
icon nitride or alumina) for higher strength, higher stress limits, and reduced centrifugal force
effects. Tables 1 and 22 provide compositions of standard low-alloy content-bearing steels
and Table 32 core properties of some of these steels.
Tables 4 and 52 list other materials that have been seriously considered for use in rolling
element bearings. Some of the special materials have been tested only in laboratory rigs. Hoo3
provides a good summary of several bearing material test rigs with results on various mate-
rials. Silicon nitride was the first ceramic that has been developed to the point of special
commercial use.
Costs of bearings from these special materials can be 5 to 20 times the cost of standard
industrial grade bearings because of higher alloy content or special processing. Because of
their exceptional capabilities, however, these materials will permit rolling element bearings to
be used in extremely hostile environments and much wider operating temperatures or adverse
lubrication and stress conditions. Zaretsky4 has provided summaries of typical physical and
thermal properties of some special materials as given in Table 6.
For standard bearing steels, Rockwell C hardness is usually in the range of 58 to 63 Rc.
An approximate temperature limit is 150°C (300°F) for standard steels based on the usual
temper levels. An elastic modulus of 207 GPa (30 million psi) and Poisson’s ratio of 0.3 can
be used in usual calculations for contact stresses and film thickness equations. The Weibull
slope has often been considered a material “modulus” and in a variety of fatigue tests it has
had values ranging from just less than 1.0 to over 3.0. If specific values are needed, it is rec-
ommended that they be obtained directly from the bearing manufacturer. The same is true
for the other material properties; reliable values and their range of applicability can be
obtained from the specific bearing steel maker.
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Figure I5 gives the composite fracture toughness for various carburizing and homogeneous
high-carbon steels. Very often fracture toughness is a critical property that should be consid-
ered in bearing material selection. Table 7 is a summary of bearing steels ordered by operating
temperature limits (compiled by E. E. Pfaffenberger for STLE Rolling Bearing Fundamentals
and Damage Analyses courses). Information on rolling bearing cage or separator materials is
in Table 8,6 covering a range of lubrication and temperature conditions.
For in-depth reviews of bearing materials, their processing, and their failures, see Anderson
et al.,7 the chapter on “Materials and Processing” and Moyer and Zaretsky.8

Rolling Element Bearing Materials 497

FIGURE 1 Composite fracture toughness of carburizing and homogeneous high-carbon

steels in slow bending. Case depth is 0.76 to 0.89 mm (0.030 to 0.035 in.) to 0.50% C level.
Shaded areas indicate range of K values for cracks originating in core. Cross-hatched areas
indicate range of K values for cracks originating in case. Charpy-sized specimens were carbur-
ized, hardened, tempered, and precracked to several depths in case and core regions before
testing. As cracks progress inward, the fracture resistance of carburized composites improves
significantly. (From Jatczak, C. R, Met. Prog., April 1978. With permission.)


REFERENCES
1. Rowland, E. S., Resistance of materials to rolling loads, in Handbook of Mechanical Wear, Frettage,
Pitting, Cavitation and Corrosion, Lipson, C. and Colwell, L. V., Eds., University of Michigan Press,
Ann Arbor, MI, 1961, 108–130.
2. Burrier, H. I., Bearing steels, in Metals Handbook, Vol. 1, 10th ed., Properties and Selection, ASM
International, Metals Park, OH, 380–388, 1990.
3. Hoo, J. J., Ed., Rolling Contact Fatigue Testing of Bearing Steels, ASTM STP-771, American Society
for Testing and Materials, Philadelphia, 1982.
4. Zaretsky, E. V., Ceramic bearings for use in gas turbine engines, in J. Eng. Gas Turbines and Power,
111(1), 146–157, 1989.
5. Jatczak, C. F., Specialty carburizing steels for high temperature service, Met. Prog., April 1978.
6. Waterman, N. A. and Ashby, M. F., Eds., CRC-Elsevier Materials Selector, Vol. 1, 364, 1991.
7. Anderson, W. J., Bamberger, E. N., Poole, W. E., Thom, R. L., and Zaretsky, E. V, Materials and
processing, STLE Life Factors for Rolling Bearings, Zaretsky, E. V., Ed., STLE Pub. SP-34, Society of
Tribologists and Lubrication Engineers, Park Ridge, IL, 1992, 71–128.
8. Moyer, C. A. and Zaretsky, E. V, Failure modes related to bearing life, STLE Life Factors for Rolling
Bearings, STLE Pub. SP-34, Zaretsky, E. V, Ed., Society of Tribiologists and Lubrication Engineers,
Park Ridge, IL, 1992, 47–69.

49 Oil Film Bearing Materials

George R. Kingsbury
CONTENTS
Introduction.......................................................................................................................................503
Distinctive Property Requirements................................................................................................503
Characteristics of Metallic Bearing Material Systems..................................................................503
Individual Bearing Alloys.................................................................................................................504
Other Metallic and Nonmetallic Bearing Materials......................................................................504
Defining Terms..................................................................................................................................505
For Further Information..................................................................................................................505
INTRODUCTION
Commercially practical oil film bearing materials are predominantly but not exclusively metal-
lic, and in large part are comprised of two or more separate bonded layers. The information
in this section has therefore been organized to reflect the performance of these materials in
the context of both single-layer and multilayer systems, as well as to provide relevant data on
compositions and properties of the materials that form the separate layers.
A. Table 1: Distinctive property requirements

B. Tables 2 to 4: Characteristics of one-, two-, and three-layer metallic systems
C. Tables 5 to 13: Composition, form, functions, and properties of individual bearing alloys
D. Tables 14 to 15: Characteristics and properties of other metallic and nonmetallic bearing materi-
als
DISTINCTIVE PROPERTY REQUIREMENTS

Of the six bearing material attributes listed in Table 1, only hardness and compressive strength
are measurable directly by conventional laboratory test methods. Special chemical and high-
speed dynamic mechanical test methods and equipment have been developed to evaluate the
other attributes and their interactions.
CHARACTERISTICS OF METALLIC BEARING MATERIAL

SYSTEMS
In general, fatigue resistance and load capacity in Tables 2 to 4 vary directly with hardness and
compressive strength; whereas conformability and embeddability vary inversely. Compatibility
ratings refer specifically to adhesive wear processes with steel counterfaces. These ratings have
no necessary relationship to material hardness or strength.
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INDIVIDUAL BEARING ALLOYS
Strength retention at elevated temperatures in Tables 5 to 13 is especially important in internal

combustion engine and gas turbine bearing applications. Materials selection for these kinds of
service must take this dependency into account. The relatively rapid weakening of zinc, lead,
and tin-base alloys with increasing temperature, illustrated in Figure 1, restricts their use in such
applications.
FIGURE 1 Strength retention at elevated temperatures for selected bearing alloys, (a) Copper-
base alloys, (b) Aluminum-base alloys, (c) Zinc-base alloys, (d) Lead-base alloys and tin-base
alloys. (From Kingsbury, G.R., ASM Handbook, Vol. 18, ASM International, leveland, OH,
1992, 745. With Permission.)
OTHER METALLIC AND NONMETALLIC BEARING MATERIALS

The carbon and polymeric materials in Tables 14 and 15 are most frequently used for “dry rub-
bing” bearings that can operate without oil lubrication. In general, however, they can operate
under more extreme conditions of loading and speed if oil is present. They are included here on
that basis, with PV ratings that correspond to oil-lubricated operation.

Oil Film Bearing Materials 505
DEFINING TERMS
Compatibility — The antiwelding and antiscoring characteristics of a bearing material when
operated with a given mating material. Some potential for scoring and seizure exists under
all boundary and thin-film lubrication conditions.
Conformability — The ability of a bearing material to yield plastically and to compensate for
small misalignments, variations in the shape of the journal, or of the bearing-housing bore.
Embeddability — The ability of a bearing material to embed dirt or other foreign particles and
thus prevent them from scoring and wearing journal and bearing surfaces.
Fatigue strength — The ability of a bearing material to function under cyclic loading condi-
tions without developing cracks or surface pits.
Hardness/compressive strength — The ability of a bearing material to resist deformation
under high unit compressive loads. Hardness is conventionally measured by indentation
hardness testing. Compressive strength may be determined directly by compression testing
of material specimens or by inference from indentation hardness tests.
Corrosion resistance — The ability of a bearing material to withstand chemical attack by unin-
hibited or contaminated lubricating oils.
FOR FURTHER INFORMATION

A good treatment of the underlying principles of oil film bearing design and operation is pre-
sented in “Friction and Wear of Sliding Bearings” by Ron Pike and J.M. Conway-Jones, in ASM
Handbook, vol. 18, pp. 515–521 (1992). “Friction and Wear of Sliding Bearing Materials” by this
author, pp. 741–757 of the same volume, gives a fairly comprehensive summary of current slid-
ing bearing materials technology.
Good introductory treatments of bearing materials technology are presented in “Sliding
Bearing Materials” by A.O.DeHart, in CRC Handbook of Lubrication, vol. 2, pp. 463–476 (E.R.
Booser, Ed. —1984); and in “Bearing Materials” by E.R. Booser, in Kirk-Othmer Encyclopedia of
Chemical Technology, 4th ed. (1992).
Bearings —A Tribology Handbook (M.J. Neale, Ed.), published in 1993 by The Society of
Automotive Engineers (SAE), presents practical guidance on the selection and design of both
rolling contact and sliding bearings, including both oil-lubricated and dry rubbing operation.






50 Mechanical
Materials
Properties of Gear
Lewis Rosado
Material selection is an important process when designing or choosing a gear for any given applica-
tion. The designer or user must consider not only factors such as material availability, cost, load-car-
rying capacity, manufacturing requirements, gear size, and weight, but also operating parameters such
as temperature, load, speed, type of lubrication, and expected reliability. Some of the most critical
material properties which influence gear performance include tooth surface hardness; core fracture
toughness and bending strength; and fatigue, impact, and wear resistance. Corrosion resistance is
also important, specifically when the service requirements include a corrosive working medium or a
highly oxidizing environment.
While gear materials range through the nonferrous metals, sintered powder metals, and several
plastics, ferrous metals continue to be the most widely used because of their high strength, low cost,
and heat treatment response. Ferrous materials used for gearing include cast irons, plain carbon
steels, and alloy steels. For moderate load applications, cast iron provides excellent damping proper-
ties under dynamic conditions, good sliding and wear characteristics, and minimum machining costs.
The plain carbon steels are relatively easy to machine, inexpensive, can be hardened, and are used in
power gearing with moderate load reatings despite their poor corrosion resistance. The low, medi-
um, and high alloy steels offer the widest range of mechanical properties, provide the highest
strength and durability among the gear materials, are the most versatile, and can be processed to
withstand severe power requirements.
Nonferrous gears are made from alloys of copper, aluminum, and zinc. However, the copper
alloys, particularly the bronzes, account for most of the nonferrous gear materials, mainly because
of their “wear resistance” characteristics for withstanding a high sliding velocity with a steel worm
gear. For example, most worm gearsets use a carburized and ground steel worm and a hobbed
bronze wheel because hardened, smooth steel sliding on ductile, lubricated bronze performs well. In
contrast, a stainless steel worm sliding on a stainless wheel is likely to scuff even at low loads.
Plastic gear materials are mostly based on acetate and nylon resins; polyimide gears are also used
for extreme temperature conditions or when self-lubricating gears are required. Characteristics which
make plastic gears attractive for mild operating conditions at low load include low cost, low noise
during operation, and inherent wear resistance. Plastic gears also require minimum or no lubrication.
Limitations include low strength and temperature resistance, and poor dimensional stability and
accuracy.
Recent advances made in gear material technology have primarily been a result of the need for
improved helicopter transmission systems and aircraft gas turbine engine mechanical components.
Improvements is steel metallurgy and processing have enabled operation at higher temperatures,
speeds, and loads, while providing substantial increases in reliability. Several materials which were
originally developed as high-temperature rolling element bearing materials have been evaluated as
potential gear materials (Townsend and Zaretsky, 1974; Townsend, Bamberger, and Zaretsky, 1976;
Townsend, Parker, and Zaretsky, 1979; Townsend, 1985; Townsend and Bamberger, 1991). Some
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Mechanical Properties of Gear Materials 527
of the most promising high hot-hardness materials include vacuum-induction melted, vacuum-
arc remelted M50 NiL, CBS 600, CBS 1000M, X-53, and Vasco X-2M. Other materials which
have been recently developed as corrosion resistant bearing materials, namely, Pyrowear* 675
chrome tool steel (Pfaffenberger and Tarratini, 1993; Wert, 1994) and Cronidur** 30 (a nitro-
gen-alloyed martensitic steel) (Trojahn, 1992), may also be suitable as high temperature, corro-
sion-resistant gear materials.
Tables 1 to 16 list the chemical composition and some commonly cited mechanical prop-
erties for a number of gear materials.
Gear standards, which also include gear material standards, have been developed and spon-
sored by the American Gear Manufacturers Association (AGMA). For further information on
gear standards contact the AGMA at 1500 King St., Suite 201, Alexandria, VA 22314 or by
phone at (703) 684-0211.
* Tradename of Carpenter Steel Co., Reading, Pennsylvania.

** Tradename of FAG Bearing Ltd., Stratford, Ont.

Gearing by Townsend and Zaretsky (NASA RP-1152, 1985) provides additional informa-
tion on the processing, heat treatment, and properties of gear materials as well as gear design
theory and historical aspects of gearing. Status of Understanding for Gear Materials by Townsend
(NASA CO-2300, p. 795, 1983) offers an excellent summary of the practical aspects of gear
materials and also includes some material property data.










REFERENCES
Dudley, D.W., Practical Gear Design, 1st ed., McGraw-Hill, New York, 1954.
Fopiano, P.J., Krzanowski, J.E., and Crawford, G.M., Direction of R&D and current status of
understanding of advanced gear steels, AGARD Conf. Proc., No. 394, 1985, 9.1–9.15.
Hamrock, B.J., Fundamentals of Fluid Film Lubrication, McGraw-Hill, New York, 1994.
Handbook of Gears, D190, Stock Drive Products, Sterling Instruments, New Hyde Park, NY,
1992, p. T93.
Jackson, E.G., Muench, C.F., Rowe, E.H., and Scott, E.H., Evaluation of Alloys for High
Temperature Gear Applications, WADC TR-58-546, 1958.
Metals Handbook: Properties and Selection: Irons and Steels, Vol. 1, 9th ed., American Society for
Metals, Metals Park, OH, 1978.
Metals Handbook: Properties and Selection: Nonferrous Alloys and Pure Metals, Vol. 2, 9th ed.,
American Society for Metals, Metals Park, OH, 1979.
Pfaffenberger, E.E. and Tarrantini, P., High Temperature Corrosion Resistant Bearing Steel
Development, AIAA 93-2000, 1993.
Shigley, J.E., Mechanical Engineering Design, 2nd ed., McGraw-Hill, New York, 1972.
Townsend, D.P., Dudley’s Gear Handbook, 3rd ed., McGraw-Hill, New York, 1980.
Townsend, D.P., Surface Fatigue Life and Failure Characteristics of EX-53, CBS 1000M, and
AISI 9310 Gear Materials, NASA TP-2513, 1985.
Townsend, D.P. and Bamberger, E.N., Surface fatigue life of M50NiL and AISI 9310 gears and
rolling-contact bars, J. Propul., 4(7), 642–649, 1991.
Townsend, D.P., Bamberger, E.N., and Zaretsky, E.V., A life study of Ausforged, standard
forged, and standard machined AISI M50 spur gears, Trans. ASME, 20(75), 418–425,
1976.
Townsend, D.P., Parker, R.J., and Zaretsky, E.V., Evaluation of CBS 600 Carburized Steel as a
Gear Material, NASA TP-1390, 1979.
Townsend, D.P. and Zaretsky, E.V., A life study of AISI M50 and super nitralloy spur gears
with and without tip relief, J. Lubr. Tech., 38(73), 583–589, 1974.
Trojahn, W., High Nitrogen Martensitic Steels — A New Family of Martensitic Corrosion
Resistant Steels for Improved Aerospace Bearing Performance, ASME Pub., 92-GT-338,
ASME, New York, 1992.

51 Wear-Resistant Hard Materials

William A. Glaeser
CONTENTS
Introduction....................................................................................................................................540
Hard Elements................................................................................................................................541
Hard Facing Materials....................................................................................................................541
Intermetallics..................................................................................................................................542
Cemented Carbides........................................................................................................................544
Glasses.............................................................................................................................................544
Diamond and Diamond Coatings................................................................................................545
White Cast Iron..............................................................................................................................545
References.......................................................................................................................................546
INTRODUCTION
One guiding principle used in the selection of wear-resistant materials is that high hardness
means good wear resistance. There are some exceptions to this general rule: hard, brittle
materials will tend to spall and accelerate wear because of low fracture toughness.
Wear-resistant hard materials, generally of greater hardness than heat-treated steel and
often of low fracture toughness, are divided into the following distinct classes in this section:
hard facing (Stellites); hard elements (tungsten, chromium, iridum); intermetallics (titanium
nitride); cemented carbides (tungsten carbide); glass; diamond; and white cast iron. Aside
from hard chromium plate, this section will not cover coatings such as plasma spray, PVD
and CVD deposits, ion plating, and ion implantation.
Where possible, abrasion, erosion, and wear-resistance data will be provided for the mate-
rials listed. The data will be from standard ASTM tests such as the rubber wheel abrasion test,
block-on-ring, pin-on-disk, and air jet erosion tests. In addition to wear properties, mechan-
ical, physical, and thermal properties will be provided.
When dry sliding friction creates sufficient surface heating, especially at localized spots, a
rapid rise and fall of temperature will produce spalling and an acceleration of wear.
Thermoelastic theory suggests a thermal gradient in a material with low thermal conductivi-
ty, and high elastic modulus makes it more prone to thermal shock and fracture.
For the condition of sudden rapid rise in local surface temperature, the thermal shock
resistance of a material can be estimated from the following:1
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Wear-Resistant Hard Materials 541
Where:
TSR = thermal shock resistance
σf = tensile fracture stress, MN2
k = thermal conductivity, Wm-1degm-1
α = thermal expansion coeff., 10m-6degm-1
E = Young’s modulus, MN/m2
The lower the TSR number, the higher the sensitivity to thermal shock fracture as, for instance,
with Al2O3 with TSR = 1.4 as compared with much lower sensitivity in tool steel with TSR = 57.
HARD ELEMENTS
Several high-melting point metallic elements are listed in Table 1 which have inherent high hardness.
It should be cautioned that values found in the tables in this chapter can vary by as much as 15%,
depending upon the source of the data. Tungsten and osmium achieve their maximum hardness by
heavy working. Chromium becomes extremely hard and wear resistant when used as an electroplat-
ed coating. Chromium plate in the industrial hard plate condition is in its hardest condition.
Iridum, osmium, and rhodium are part of the platinum group and are considered precious met-
als. They have been used as pen nibs and electrical contacts. Chromium is used as an abrasion and
corrosion resistant coating for shafts and seal rotors. Tungsten has been used as pins in dot matrix
printers.
HARD FACING MATERIALS

Cobalt, nickel, or iron-base alloys with high hardness and excellent abrasion resistance are used as
weldments applied over steel surfaces to protect them from abrasive wear. They are used in the min-
ing industry on drag line buckets, repair of teeth on power shovel buckets, in ore crushing machin-
ery, pump impellers, etc. Because the alloys can be applied by welding techniques, they are conven-
ient for field repairs. The hard facing materials, such as those in Table 2, have excellent corrosion
resistance and can be used effectively at high temperatures. They have been used in bulk form as
components in 600(F water nuclear reactors, sea water face seals, engine valve faces, and seals in the
petrochemcial industry. Literature on wear and mechanical properties of hard facing materials has
diminished in volume considerably in the last decade. Probably the best reference is the 1974 pro-
ceedings of the symposium on Meterials for the Mining Industry.4

Since the cobalt-base satellites are used in weld coatings applied by oxyacetylene and gas
tungsten are methods and as castings, their properties can vary depending on the method of
fabrication.
The satellites are large chrome carbides in cobalt matrix. The Triballoys are high-tempera-
ture alloys, either cobalt base or nickel base with molybdenum, chromium, and silicon, and low
carbon content. These alloys develop their hardness by an intermetallic Laves phase rather than
massive carbides. Therefore, they are more resistant to impact conditions that can fracture car-
bides. The abrasion resistance of Triballoys is equivalent to satellites.
The composition of these hard facing alloys are found in Table 3. Table 4 shows their abra-
sion resistances, as determined by the ASTM low-stress rubber wheel abrasion test.8
INTERMETALLICS
When some metals are alloyed, they solidify with intermetallic phases. These phases are chemical
reaction products. Chromium carbides in alloyed white cast iron are an example. Carbides are also
intermetallics, and they have been used in the cemented form with cobalt or nickel as binder.
Usually, these intermetallics are very hard and abrasion resistant. Producing intermetallics as single-
phase materials has been of growing importance.
Cubic boron nitride is a hard intermetallic (7300–10,000 HV)9 that is close to diamond in hard-
ness and is used as a cutting tool material. The triballoy alloys used as hard facing alloys were

developed in an attempt to achieve tough, high-temperature wear-resistant alloys without mas-

sive carbides in the structure.
Many other intermetallics are very hard, but are not practical because of extreme brittle-
ness and the difficulty of fabricating them into components. In recent years, however, inter-
metallic materials have begun to be used in industrial electronic devices. One such material is
nickel aluminide, Ni3Al, which has the unusual property of increasing in yield strength with
temperature as shown in Figure 1. When modified by the addition of boron to increase its
toughness, this alloy has shown dry wear characteristics similar to dual-phase steel. Lubrication
improves the wear resistance considerably. Although this alloy is not exceptional in its wear
behavior, it represents a whole class of hard materials that may develop for practical use. Other
intermetallics with future potential include Ti3Al, TiN, and AIN.
FIGURE 1 Yield strength of Ni3Al as a function of temperature. The alloys Hastelloy-X and
316 stainless have been included for comparison.10 (From Blau, P. and Devore, C. E., Tribol.
Int., 23(4), 226–234, 1990. With permission.)

CEMENTED CARBIDES
Carbides of the transition metals shown in Table 5 are very hard and abrasion resistant. They are
found in steels as hardening agents.
Tungsten carbide and titanium carbide grains are used in cemented form in a binder or matrix
of cobalt or nickel. These materials are used in tool bits and rock drills. Cemented tungsten car-
bide is produced by liquid-phase sintering of cobalt and tungsten carbide particles. The carbides
provide the abrasion-resistant constituent and the cobalt provides the fracture toughness needed
for tool applications. The wear properties of some carbides are summarized in Table 6.
GLASSES
Glasses such as shown in Table 7 are solid metal oxides without long-range crystal habit. As
they are cooled from the liquid state, their viscosity increases and they harden without any sud-
den change in density. They posses a glass transition temperature, however, and their thermal
expansion coefficient changes at that temperature. The expansion coefficient is larger in the
melt condition.

Glasses are transparent and very brittle. While unsuitable for Hertzian contact or bending,
glasses have been used for thread guides in yarn spinning machines. Glass fibers are used as rein-
forcement for plastics and composites in which the glass fiber reinforcement reduces wear rate of
the composite at the expense of an abrasive effect which can wear tooling.
Pyroceram is made by precipitating small amounts of metal crystals in glass. Heat treating then
causes glass crystals to nucleate and grow around the metal particles. Pyroceram is translucent and,
with high thermal shock resistance, has been used in bearing and seal applications.
DIAMOND AND DIAMOND COATINGS

Diamond, the hardest material and very abrasion resistant, has been used as a griding compound,
in polycrystalline composites as tool materials, and in wear-resistant coatings. Although its hard-
ness and high thermal conductivity make the diamond ideal for wear-resistant applications, its sur-
face converts to graphite and its wear rate increases if frictional heating becomes excessive. In
addition, when used to cut ferrous materials, it tends to combine at the surface and form iron car-
bides. Cubic boron nitride, almost as hard, is used instead of diamond under these circumstances.
In recent years, diamond and diamond-like coating processes have been developed to the
point where they are becoming practical in providing a surface which has the hardness of dia-
mond without the expense of bulk diamond. There are still problems in getting diamond coat-
ings to adhere to engineering alloys, however.
WHITE CAST IRON

Hard, abrasion-resistant cast irons constitute high-chromium iron alloys. The range of com-
positions varies between 6 and 35 wt % chromium and 2 to 6% carbon. Compositions of

some commercial white cast irons are shown in Table 9; Table 10 gives some of the mechan-
ical properties. The abrasion-resistant irons are heat treated to achieve their high hardness.
High chromium irons are used in the mining industry for metal-to-ore and –earth contact
conditions, such as bucket teeth for power shovels. These alloys are used as hard facing, applied
by welding. Since white irons are brittle, care must be taken in selecting alloys of suitable frac-
ture toughness.
REFERENCES
1. Waytt, O. and Dew-Hughes, D., Metals, Ceramics and Polymers, Cambridge University Press, London,
1974, 229.
2. Smithells, C., Metals Reference Book, Butterworths, London, 1955.
3. Metals Handbook, 1984 ed., American Society for Metals, Metals Park, OH, 20–21.
4. Barr, R. Q., in Symp. On Materials for the Mining Industry, Vail CO, Climax Molybdenum
Company, July 30 and 31, 1974.
5. Alloy Digest, Engineering Publications, Orange, NJ, [monthly].
6. Stellite cobalt base rods, electrodes, and wires, Cabot Corp., Kokomo, IN, 1982.
7. Triballoy Wear Resistant Intermetallic Meterials, Cabot, Corp., Kokomo, IN, 1980.
8. ASTM Standard G 65–81, Standard Practice for Conducting Dry Sand/Rubber Wheel Abrasion
Tests, ASTM, Philadelphia, 1981.
9. Westbrook, J. H. and Fischer, R. C., Intermetallic Compounds, John Wiley & sons, New York, 1995.
10. Balu, P. and Devore, C. E., Tribol. Int., 23(4), 226–234, 1990.
11. Wyatt, O. and Dew-Hughes, D., Metals, Ceramics and Polymers, Cambridge University Press, London,
1974, 258–268.
12. Hochman, R. F., Surface modification, Advanced Materials and Processes, American Society for Metals,
Metals Park, OH, Jan. 1, 1995, 29–30.
13. Crook, P. and Farmer, H. N. Friction and wear of hardfacing alloys, ASM Handbook, Vol. 2,
American Society for Metals, Metals Park, OH, 1993, 75–76.
14. Biesburg, D.E. and Borik, F., in Optimizing abrasion resistance and toughness in steels and irons
for the mining industry, Symp. Proc. Materials for the Mining Industry, Val, CO, Climax
Molybdenum Co., July 30 and 31, 1974, 26–28.

52 Friction, Wear, and PV Limits of

Polymers and Their Composites
Thierry A. Blanchet
CONTENTS
Introduction....................................................................................................................................547
Tribological Properties of Polymers............................................................................................548
Acknowledgment...........................................................................................................................550
References.......................................................................................................................................560
INTRODUCTION
Table 1 provides representative values describing the tribological behavior of polymers and
composites in dry, unlubricated sliding contact with finished metallic surfaces under ambient
room temperature conditions. Data are provided for static and kinetic coefficient of friction,
steady-state rate of wear (expressed as volume loss per distance slid, per normal load), and
the limiting product of apparent contact pressure P and sliding velocity V under which the
material may be safely employed. (When multiplied by the friction coefficient, the product PV
dictates the rate of frictional heat dissipation per unit area, and therefore the contact tem-
peratures at the sliding interface. Since for any given material critical temperatures exist, a lim-
iting PV therefore exists). The effects of addition of a single hard particulate or solid lubri-
cant filler to composites of these polymer matrices are also given. Loading levels of filler
materials are either denoted by volume percent (v%) or weight percent (w%). Though more
than one filler type is often employed, space does not permit the additional listing here of the
numerous composites of matrix and two or more filler materials.
The tabulated data originate from a broad variety of sources, including national labora-
tories, universities, and corporations, and were collected from publications in peer-reviewed
professional journals, conference proceedings, and product bulletins. In most cases an effort
was made to present single representative or average values for each composite system. When
separate investigators reported very different behavior for very similar materials, both sets of
data are presented. Such variations may result from slight differences in test materials, or
from system differences involving counterface roughness and chemistry, load, spped, and
contact kinematics, and atmosphere and temperature. Slight variations in these materials or
sliding system attributes may lead to significant tribological differences, as illustrated in the
following examples.
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TRIBOLOGICAL PROPERTIES OF POLYMERS

SLIDING SPEED
As polymers are viscoelastic materials and can be thought of as possessing characteristic stress
relaxation times, sliding speed can be likened to an imposed strain rate. Therefore kinetic fric-
tion coefficient usually increases with increasing sliding speed.29 It may be for this reason that
so many of the kinetic coefficients of friction reported from Reference 1, for example, exceed
the static coefficients of friction, as kinetic friction in this case was measured at a speed of 0.25
m/s. (Kinetic friction at lower speeds is quite likely often less than the reported static friction.)
At extremely high speeds, kinetic friction coefficient may eventually decrease with increasing
speed from frictional heating and softening.29
As friction force often activates wear mechanisms, Blanchet and Kennedy25 have noted a
transition in wear rate of PTFE from 10*l0-15 m3/Nm to 500*10-15 m3/Nm upon a small
increase in sliding speed from 8 to 10 mm/s at room temperature. PV limit can also change
significantly with sliding speed. For example, Theberge19 has shown that the PV limit of a poly-
styrene/silicone composite, 0.32*106 N/ms at 0.5 m/s, becomes as low as 0.035*106 N/ms
as speed is increased to 5 m/s. PV limits within Table 1 were generally determined at a speed
of 0.5 m/s.
TEMPERATURE
Relaxation time of polymers decreases with increasing temperature.52 As a result, decreases in
ambient temperature often have effects equivalent to the increases in sliding speed.25,29,40 As PV
limits are based upon the attainment of a critical temperature at the sliding interface, increas-
es in ambient temperature will result in decreases in PV limit. Above the melt temperature,
molecules have adequate thermal energy to move about freely as a viscous fluid. As tempera-
ture decreases below the melt temperature Tm, semicrystalline polymers will develop regions
(crystallites) of three-dimensional order with a corresponding sharp decrease in free volume.
The lack of crystallization in amorphous polymers having structure not conducive to ordering
instead experience gradual reductions in free volume with decreasing thermal energy. Equally
important property changes take place at the glass transition temperature. The disordered
regions of semicrystalline polymers (as well as the entirety of amorphous polymers) lose suf-
ficient thermal energy to become glassy below Tg, and the polymer therefore transforms from
being rubber like and ductile to rigid and brittle.
NORMAL LOAD
Due to the lack of proportionality between real area of contact and normal load for polymers,
the coefficient of friction in sliding contacts with smooth counterfaces tends to decrease with
increasing load. For example, Janczak et al.41 have shown the coefficient of sliding friction of
an EPDM composite rubber to decrease from µ = 1.1 to half that value as apparent contact
pressure is increased from 0.1 to 0.6MPa.
CONTACT KINEMATICS
Entrapment of debris within a sliding contact can greatly affect its subsequent wear behavior.
Likelihood of either entrapment or ejection of debris depends greatly on the type of sliding
motion and on the degree of mutual overlap existing between the two contacting bodies.
Debris entrapment becomes particularly likely in small amplitude oscillatory contacts. Abarou
et al.,28 for example, have shown the wear rate of a PA 6/6 composite to increase 50-fold as
mutual overlap coefficient MOC was increased from 0.33 to 0.8.

Friction, Wear, and PV Limits of Polymers and Their Composites 549
COUNTERFACE ROUGHNESS
Counterface surface roughness greatly affects the relative degree of adhesive and abrasive con-
tributions to resultant friction and wear behavior of polymers. Generally, a minimum will exist.
For example, at a surface roughness of Ra = 0.1 µm, the friction coefficient of HDPE will be
less than µ= 0.2. As surface roughness is either decreased to Ra = 0.01 µm or increased to Ra =
1.0 µm, the coefficient of friction can exceed µ = 0.3. For LDPE, wear rate experiences a min-
imum of less than 10*10-15 m3/Nm at Ra = 0.025 µm. As roughness is decreased from this value
to Ra = 0.01 µm, wear rate increases to 180*10-15 m3/Nm, while as roughness is increased to Ra
= 1.3 µm, wear rate increases to 500*10-15 m3/Nm.30 Data tabulated here are from tests utiliz-
ing finished (polished or lapped) counterfaces, and data obtained under abrasive wear conditions
utilizing abrasive papers, gauzes, or other rough counterface materials have been omitted.
TRANSIENT RUN-IN
The wear rates, as reported, are understood to be steady-state values. A very different rate of
wear may exist at the initiation of sliding, gradually approaching a roughly constant value as
steady-state conditions are attained after a few hundred meters of sliding. Generally, wear rate
during this transient run-in period will be greater than that attained during steady-state.
However, in instances involving counterfaces that are initially very smooth, wear rate may
instead increase with time and level at a higher rate of steady-state wear as sliding roughens the
counterface.30 Relative importance of transient and steady-state wear behavior will depend
specifically upon the application and the anticipated sliding distance.
COUNTERFACE SURFACE CHEMISTRY/ATMOSPHERE

Friction and wear behavior can also be affected by interactions occurring between the polymer
body and the counterface surface. Surface films which may exist and reform upon the counter-
face depend upon the counterface material as well as the atmosphere or environment in which
sliding occurs. For similar surface roughnesses, the wear rate of a 10% graphite powder-filled
PTFE increased over 30-fold if a steel counterface was replaced by aluminum.1 Data tabulated
here are primarily from sliding contacts involving steel counterfaces under ambient air atmos-
pheres.
MOLECULAR WEIGHT/CRYSTALLINITY
Hu and Eiss’s study of PTFE31 illustrates the potential effect of molecular weight and crys-
tallinity on polymer wear. For a PTFE of lower crystallinity (<40%), a ten-fold decrease in
molecular weight from 17.3*106 resulted in a 17% increase in wear. For a low molecular weight
PTFE (1.7*106), a decrease in crystallinity from 37 to 25% resulted in a 14% increase in wear.
Polymer crystallinity may vary considerably depending on thermal processing conditions.
FILLER PARTICLE SIZE

Hard particulate fillers are often used to reduce wear of polymer matrices. If the filler particle
size is too small, however (smaller than the wear debris that would be formed by the unfilled
polymer), the filler will not be able to obstruct the polymer wear mechanism, and will be inef-
fective. As an example, Durand et al.38 showed that as the size of alumina filler particles in an
epoxy matrix decreased from 100 to 20 µm (roughly the thickness of debris formed by the
unfilled matrix), wear rate increased from 40*10-15m3/Nm to 360*10-15m3/Nm (similar to that
of the unfilled matrix). On the other hand, filler particles which are too large may block the
redistribution of solid lubricant constituents throughout the sliding interface, and therefore can
result in higher friction.42

FIBER ORIENTATION
Orientation will greatly affect the degree to which fibers may reduce the wear of the polymer
matrix. To illustrate, Cirino et al.20 have shown that wear rate of an aramid fiber-reinforced
epoxy in which fibers are parallel to the sliding direction will be nearly eight times that if fiber
were oriented normal to the sliding surface.
FILLER VOLUMEFRACTION
The wear rate of polymer composites with hard particulates of fiber fillers is extremely depend-
ent upon the level of loading of the filler. For most systems tabulated in Table 1, however, data
for only a single volume fraction or weight fraction composite are given, as a result of limited
space. The dependence of composite were rate Kc on matrix volume fraction xm and filler vol-
ume fraction xf can typically be described by an inverse rule-of-mixtures:43
where Km and Kf are the wear rates of the matrix and filler, respectively. For a given system,
values of Kf and Km can be determined from the above equation, given composite wear date
at any two different loading levels. (One of these levels may be the unfilled case. Weight frac-
tion must be converted to volume fraction, using the densities of the filler and matrix.)
Thereafter, were rate of composites with loadings other than those tabulated may be estimat-
ed. At higher filler volume fractsions (xf >0.35), particulates may no longer be well dispersed.
The increasing occurrence of weak particle/particle interfaces may eventually result in increas-
ing wear rate with increasing volume fraction,44 deviating from this inverse rule-of-mixtures
behavior.
For each data set in Table 1, a literature reference is provided. Since wide variation from
the tabulated values exist, the reader is strongly advised to consult the corresponding reference
and compare test conditions before further considering application of any material listed with-
in this tabulation. Furthermore, it is assumed that the reader has available from other sources
the compressive load limits and useful temperature ranges of the various polymer materials, as
well as other nontribological characteristics which may affect their successful implementation
in bearings applications.
ACKNOWLEDGMENT
The author acknowledges support of the National Science Foundation Young Investigator
Program under Grant No. CMS-9457596 during the preparation of this contribution. Any
opinions, findings, and conclusions or recommendations expressed in this material are those
of the author and do not necessarily reflect the views of the National Science Foundation.










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48. Rosato, D.V., Plastics Encyclopedia and Dictionary, Oxford University Press, London, 1993.
49. Encyclopedia of Polymer Science and Engineering, Mark, H.F., Bikales, N.M., Oberberger, C.G., Menges,
G., and Kroschwitz, J.I., Eds., John Wiley & Sons, New York, 1987.
50. Handbook of Plastic Materials and Technology, Rubin, I.I., Ed., John Wiley & Sons, New York, 1990.
51. Handbook of Plastics, Elastomers and Composites, Harper, C.A., Ed., McGraw-Hill, New York, 1992.
52. Suh, N.P. Tribophysics, Prentice-Hall, Englewood Cliffs, NJ, 1986, 261.

53 Properties of Advanced Ceramics

S. Frank Murray
CONTENTS
Introduction.....................................................................................................................................................563
Physical Properties..........................................................................................................................................563
The Lubrication of Ceramics.......................................................................................................................566
Metal Alloy-Ceramic Combinations...........................................................................................................569
References.........................................................................................................................................................570
INTRODUCTION
For tribological applications, ceramics offer many advantages over metals, including: high temper-
ature strength, hot hardness, dimensional stability, and low density. Because of these attributes,
there is considerable interest in the friction and wear of these materials for high-temperature bear-
ing applications. During the past 30 years, improvements in the purity, manufacturing techniques,
and finishing have resulted in more consistent and reliable products. However, the fact remains that
ceramics are brittle materials with limited fracture toughness.1 Engineering data in the literature are
sometimes questionable, ceramic compositions are not always well defined, and the environmental
effects may not have been considered. Humidity and atmospheric contaminants have significant
effects on sliding behavior.2–4 Better specifications, and test methods for material characterization,
are needed.
Ceramic products are formed by sintering and/or pressing fine powders of materials such as
oxides,nitrides,carbides,or silicides.Uniform particle sizes,ranging from 1 to 3 µm (microns) for
silicon nitride up to 40 to 60 µm for zirconia, are essential for uniform properties. Bonding and high
density are usually achieved by the addition of oxide sintering aids to densify and fuse the hard par-
ticles. These sintering aids become the grain boundaries between the particles and determine the
high temperature strength, which falls rapidly as these ceramic “glues” soften at high temperature.
While ceramics are brittle below the softening range, progress is being made in improving tough-
ness.
PHYSICAL PROPERTIES
Table 1 lists typical properties of ceramic cutting tool inserts. The data were obtained from a num-
ber of sources including References 5 to 10. Actual numbers will depend on the composition, grain
size, sintering conditions, etc. These tool inserts are used to cut superalloys, cast alloys, and hard-
ened steels at very high velocities and depths of cut. Under those conditions, the temperatures gen-
erated at the cutting contacts are high enough to soften any metallic cutting tool alloy or cement-
ed carbide matrix. Since the hot pressed (HP) sialon appears to be more widely
0-8493-3904-9/97/$0.00+$.50
used as a cutting tool than silicon nitride, properties of the latter are shown in Table 3. The per-
formance of these ceramic cutting tools has been reviewed by several authors,5 and they provide
recommendations about the compatibility of the cutting tool with the workpiece alloy. While these
materials are now being used primarily for metal removal, rather than bearing or seal applications,
they are the most advanced ceramics for tribological applications and, in time, they will find uses
in bearings and seals where they will be sliding or rolling against themselves or against metals.
Table 2 lists properties of abrasive grit materials which are bonded to grinding wheels, abrasive
belts, or abrasive paper. Various types of aluminum oxide, silicon carbide, diamond, and cubic
boron nitride (CBN) are members of this class. A general discussion of their physical characteris-
tics is presented in Reference 11. Solid cutting tools of diamond or CBN are also available, but are
very costly. Layers of polycrystalline diamond or CBN can be bonded to the cutting edge to make
a tool that can be resharpened.
Table 3 is a list of ceramic materials being used extensively as bearings and seals. Of these, alu-
minum oxide (Al2O3) and silicon carbide (SiC) are well established. Silicon nitride (Si3N4) has been
the subject of a considerable research effort during the past 20 years.12,13 It is a very effective ball
material with outstanding fatigue life when run with steel races in oil-lubricated high-speed rolling
element bearings. As ceramics go, this material has very good fracture toughness.
Partially stabilized zirconia (ZrO2 + Y2O3 or MgO) has attracted attention for use in the low-
heat rejection diesel engine because of its low thermal conductivity and good sliding wear charac-
teristics. However, it was found to be sensitive to thermal shock, always a concern with ceramic

Properties of Advanced Ceramics 565

components that must operate at high temperature. Glaeser,6 pp. 140–142, described the following
relationship of thermally sensitive properties in the thermal shock resistance (TSR) of ceramics.
where
σ is the fracture stress
κ is the thermal conductivity
E is the elastic modulus
b is the thermal expansion coefficient.
Thermal diffusivity is another significant parameter. This is a measure of the rate at which
heat is dissipated from hot spots that would be generated when surfaces were sliding in con-
tact at high speeds or stress levels:
where
α = thermal diffusivity, m2/s-1
κ = thermal conductivity, W/m ⋅ C
ρ = density, Kg/m3
c = heat capacity, J/kg ⋅ C
Typical thermal data are compared in Table 4.
THE LUBRICATION OF CERAMICS

This discussion is concerned with two classes of ceramics. One class includes the silicon ceramics
such as silicon nitride (Si3N4), silicon carbide (SiC), and also the sialons, which are phases in the sil-
icon-aluminum-oxygen-nitrogen (Si-Al-O-N) system. The second class covers the oxide ceramics
such as aluminum oxide (Al2O3), zirconium oxide (ZrO2), and the partially stabilized zirconium

oxide (PSZ). There are a number of modifications which are being used to improve the character-
istics ofAl2O3.Some involve the use ofhard particles such as titanium carbide (TiC) or reinforc-
ing whiskers ofSiC to act as crack stoppers,8 p.525.Another variation uses the addition ofZrO2
(ZTA) to toughen the alumina by crystallographic techniques.14,15 There is still much to be learned
about the differences between these classes of ceramics and their reactivities with the environment.
Unlubricated ceramic combinations are being used successfully in some lightly loaded, low-
speed applications. However, it has generally been found that ceramics need some form of lubri-
cation to prevent high friction and excessive wear.16–18 Except for very mild operating conditions, the
wear rates for unlubricated ceramic couples (e.g., 1 × 10-4 to 1 × 10-6mm3/N · m) are orders of mag-
nitude higher than the wear rates that could be tolerated in practical devices (e.g., 1 × 10-7 to 1 × l0-10
mm3/N · m, or less). Typical steady-state unlubricated coefficients of friction range from 0.5 to 1.0,
although PSZ has given friction values as low as 0.25. Initially, low friction and smooth sliding take
place until contaminating surface films are worn away. Then, the ceramic wear process begins with
the microfracture of asperity contacts. As this damage progresses, loose wear debris becomes
trapped in the contact area, resulting in three-body abrasion. In some cases, the debris is compact-
ed and becomes bonded to one or both of the surfaces.
Candidate lubricants for ceramic couples include: oils, greases, low shear strength solids, reac-
tive vapors, and friction polymers. Adsorbed water molecules, liquid water, and aqueous solutions
can also be effective lubricants in many applications.19–21
Table 5 is a list of the kinds of lubricants that have shown promise for use with ceramic bear-
ings operating in various temperature ranges. Water-lubricated bearings and seals head the list.22
Water, either as a liquid or in the vapor state, can react with silicon nitride2,19 or aluminum oxide20 to
form soft, protective surface films by a tribochemical process. Wear of this protective film improves
the conformity and topography of the bearing surfaces.19,23,24 Note, however, that there are limiting
loads and sliding speeds beyond which these films will break down. The wear rates will increase rap-
idly25,26 if the bearings do not generate hydrodynamic films to carry at least part of the load. Some
evidence has been accumulated which indicates that the performance of other silicon ceramics, e.g.,
silicon carbide or the sialons, may also be affected by tribological reactions with water.3,23,24 This pos-
sibility needs further investigation.
Zirconia (ZrO2) and PSZ are not recommended for use in water, or even in humid air, because
of high wear rates,27–30 believed to be due to stress corrosion cracking.30
Both mineral and synthetic oils can provide boundary lubrication for some ceramic compo-
nents. The oils and additives that lubricate steel surfaces appear to be just as effective with silicon
nitride4,31 as with steel. On the other hand, oil-lubricated, self-mated zirconia (PSZ) sliding under
boundary-lubricated conditions, may wear excessively because its low thermal conductivity inhibits
the dissipation of frictional heat. Changing the combination to zirconia vs. hardened steel, or to
some other high conductivity material, could resolve this problem of heat buildup.29
With Al2O3, it has been shown that polar compounds, such as fatty acids or soaps, can be
adsorbed to form protective films.34 This does not seem to be the case with SiC. It has been
hypothesized that polar compounds do not adsorb on SiC because the percentage of bonding in
SiC is predominantly covalent (0.19 ionicity [Reference 8, p. 544]), while Al2O3 is ionic. This may
be the correct explanation, but it does not explain why Si3N4, which also has a significant per-
centage of covalent bonding (0.3 ionicity [Reference 8, p. 531]), is so much more responsive to addi-
tive effects than either SiC or Al2O3.
At temperatures above the 250 to 300°C level, the list of candidates has dwindled down to
vapor phase lubrication,35,36 solid film lubricants,37–39 and oxide films formed by reaction with the
environment.40–43 Development work is in progress on the first two approaches. The third tech-
nique, oxide film lubrication, will either require implantation of the lubricating components into
the ceramic surfaces40,41 or the use of metal alloy/ceramic combinations that can react with the en-
vironment to form protective, lubricating oxides.


METAL ALLOY-CERAMIC COMBINATIONS

The feasibility of using a metal-ceramic bearing instead of all-ceramic combination seems to
be an attractive solution, because it could reduce problems of brittle fracture as well as manu-
facturing costs. However, the metallic component must have sufficient strength and adequate
corrosion resistance over the anticipated operating temperature range. It must also have the
ability to form a low shear strength protective oxide film to prevent surface damage at high
temperatures.
Previous studies of metal-ceramic combinations42 have shown that transfer of the metal to
the ceramic is the first step in the sliding process. Sliding was then metal vs. a work-hardened
film of transferred metal. At room temperatures, coefficients of friction on the order of 0.6
to 0.7 were obtained. As the test temperatures were raised, both the original and the transferred
metal surfaces were gradually oxidized. At high temperatures, depending on the type of oxide
formed, the friction decreased to about 0.3 to 0.4, accompanied by smooth sliding. Figure 143
is a series of photographs showing the conversion from metal transfer to oxide film forma-
tion. The most promising alloys to use for beneficial oxide formation are nickel- and cobalt-
base superalloys. Additional alloying elements, such as tungsten and molybdenum also con-
tributed to performance by reacting to form soft, complex double oxides such as tungstates
and molybdates.
Confirming results have been reported44 using a nickel-base superalloy and comparing the
performance of this alloy sliding vs. ceramics to the performance of the self-mated ceramic.
Evaluations have also been made of Ni-Mo-Fe alloy sliding against Al2O3 in water.45

FIGURE 1 Effect of temperature on lubrication by protective oxide film. Reciprocating pin-

on-flat test. Pin: Co-Mo-Cr-Si Laves phase alloy. Flat NBD 100 silicon nitride.
REFERENCES
1. Sims, C.T., Non-metallic materials for gas turbine engines, Advanced Materials and Processes, June 1991,
32–39.
2. Fischer, T.E. and Tomizawa, H., Interaction of tribochemistry and microfracture in the friction and
wear of silicon nitride, Wear, 105, 29–45, 1985.
3. Ishigaki, H., Nagata, R., and Iwasa, M., Effects of adsorbed water on friction of hot pressed sili-
con nitride and silicon carbide at slow speed sliding, Wear, 121, 107–116, 1988.
4. Habeeb, J.J., Blahey, A.G., and Rogers, W.N., Wear and lubrication of ceramics, Intern. Conf. on
Tribology-Friction, Lubrication and Wear, Vol. 1, Inst. Mech. Eng., London, 1st to 3rd, July 1987, pp.
555–564.
5. Ceramic Bull., Machining issue, 67(6), 991–1052, 1988.
6. Glaeser, W.A., Materials for Tribology, Tribology Series No. 20, Elsevier, New York, 1992.
7 Encyclopedia of Materials Science and Engineering, Vol. 1, Bever, M.B., Ed., MIT Press,
Cambridge, MA, 1986.

8. Komeya, K. and Matsui, M., High temperature engineering ceramics, chap. 10, in Structures and
Properties of Ceramics, Swain, M, Ed., Materials Science and Technology, Vol. 11, Cahn, R.W.,
Haasen, P., and Kramer, E.J., Eds., Weinheim, New York, 1994.
9. CRC Practical Handbook of Material Science, Lynch, C.T., Ed., CRC Press, Boca Raton, FL, 1989.
10. DeVries, R.C., Cubic Boron Nitride: Handbook of Properties, G.E. Corporate R & D, No.
72CRD178, June 1972, 17 pages.
11. Gardinier, C.F., Physical Properties of Superabrasives, Ceramic Bull., 67(6), 1006–1009, 1988.
12. Bhushan, B. and Sibley, L.B., Silicon nitride rolling bearings for extreme operating conditions
ASLE Trans., 25(4), 417–428, 1982.
13. Zaretsky, E.V., Ceramic bearings for use in gas turbine engines, ASME J. Eng. Gas Turbines Power,
111, 146–157, 1989.
14. Davidge, R.W., Perspectives for engineering ceramics in heat engines, High Temp. Technol., 5(1),
13–21, 1987.
15. He, C., Wang, Y.S., Wallace, J.S., and Hsu, S.M., Effect of microstructure on the wear transition of
zirconia-toughened alumina, Wear, 162–164 Part A, 314–321, 1993.
16. Kato, K., Tribology of Ceramics, Wear, 136, 117–133, 1990.
17. Yust, C.S. and Carignan, F.J., Observations on the sliding wear of ceramics, ASLE Trans., 28(2),
245–252, 1985.
18. Sliney, H.E. and Dellacorte, C., The friction and wear of ceramic/ceramic and ceramic/metal
combinations in sliding contact, Lubr. Eng., 50(7), 571–576, 1994.
19. Tomizawa, H. and Fischer, T.E., Friction and wear of silicon nitride and silicon carbide in water:
Hydrodynamic lubrication at low sliding speed obtained by tribochemical wear, ASLE Trans.,
30(1), 41–46, 1987.
20. Gates, R.S., Hsu, S.M., and Klaus, E.E., Tribological mechanism of alumina with water, Tribol.
Trans., 32(3), 357–363, 1989.
21. Perez-Unzuetta, A.J., Beynon, J.H., and Gee, M.G., Effect of surrounding atmosphere on the wear
of sintered alumina, Wear, 146, 179–196, 1991.
22. Johnson, R.L. and Schoenherr, K., Seal wear, in Wear Control Handbook, Peterson, M.B. and Winer,
W., Eds., ASME, New York, 1980, 727–753.
23. Andersson, P., Water-lubricated pin-on-disc tests with ceramics, Wear, 154, 37–47, 1992.
24. Andersson, P., Nikkila, A.P., and Lintula, P., Wear characteristics of water-lubricated SiC journal
bearings in intermittent motion, Wear, 179, 57–62, 1994.
25. Ravikiran, A. and Pramila Bal, B.N., Water-lubricated sliding of Al2O3 against steel, Wear, 171,
33–39, 1993.
26. Takadoum, J., Tribological behavior of alumina sliding on several kinds of materials, Wear, 170,
285–290, 1993.
27. Scott, H.G., Friction and wear of zirconia at very low sliding speeds, Int. Conf. on Wear of
Materials, Ludema, K.C., Ed., ASME, New York, 1985, 8–12.
28. Sasaki, S., The effects of the surrounding atmosphere on the friction and wear of alumina, zirco-
nia, silicon carbide and silicon nitride, Wear, 134, 185–200, 1989.
29. Zum Gahr, K.H., Sliding wear of ceramic-ceramic, ceramic-steel and steel-steel pairs in lubricat-
ed and unlubricated contact, Wear, 133, 1–22, 1989.
30. Fischer, T.E., Anderson, M.P., Jahanmir, S., and Salher, R., Friction and wear of tough and brittle
zirconia in nitrogen, air, water, hexadecane, and hexadecane containing stearic acid, Wear, 124,
133–148, 1988.
31. Braza, J.F., Licht, R.H., and Tilley, E., Ceramic cam roller follower simulation tests and evaluation,
Trib. Trans., 35(4), 595–602, 1992.
32. Dufrane, K.F., Wear performance of ceramics in ring/cylinder applications, J. Am. Ceram. Soc.,
72(4), 691–695, 1989.
33. Hilton, M.R. and Fleisschauer, P.D., Lubricants for high-vacuum applications, in ASM Handbook,
Vol. 18, Friction, Lubrication and Wear Technology, ASM International, Materials Park, OH, 1992,
150–161.
34. Studt, P., Influence of lubricating oil additives on friction of ceramics under conditions of bound-
ary lubrication, Wear, 115, 185–191, 1987.
35. Hanyaloglu, B. and Graham, E.E., Vapor phase lubrication of ceramics, Lubr. Eng., 50(10),
814–820, 1994.

36. Smith, J.C., Furey, M.J., and Kajdas, C., An exploratory study of vapor-phase lubrication of ceram-
ics by monomers, Wear, 181–183, 581–593, 1995.
37. Murray, S.F. and Calabrese, S.J., Effect of solid lubricants on low speed sliding behavior of silicon
nitride at temperatures to 800°C, Lubr. Eng., 49(12), 955–964, 1993.
38. Dellacorte, C. and Sliney, H.E., Composition optimization of self-lubricating chromium carbide
based composite coatings for use to 760°C, ASLE Trans., 30(1), 77–83, 1987.
39. Vleck, B.L., Sargent, B.L., and Lauer, J.L., Lubrication of ceramic contacts by surface-deposited
pyrolytic carbon, Lubr. Eng., 49(6), 463–471, 1990.
40. Lankford, J., Wei, W., and Kossowsky, R., Friction and wear behavior of ion beam modified ceram-
ics, J. Mater. Sci., 22, 2069–2078, 1987.
41. Gangopadhyay, A.K., Fine, M.E., and Cheng, H.S., Friction and wear characteristics of titanium
and chromium doped polycrystalline alumina, Lubr. Eng., 44(4), 330–334, 1988.
42. Peterson, M.B. and Murray, S.F., Frictional behavior of ceramic materials, Metals Eng. Q., 7(2),
22–29, 1967.
43. Murray, S.F. and Calabrese, S.J., Low speed sliding behavior of metal-ceramic couples at tempera-
tures up to 800°C, Lubr. Eng., 49(5), 387–397, 1993.
44. Sliney, H.E. and Dellacorte, C, The friction and wear of ceramic/ceramic and ceramic/metal com-
binations in sliding contact, Lubr. Eng., 50(5), 571–576, 1994.
45. Holzhauer, W., Johnson, R.L., and Murray, S.F., Wear characteristics of water-lubricated Al2O3-
metal sliding couples, 1981 Wear of Materials Conference, Kudema, K.C. Ed., ASME, New York,
1981, 676–684.

54 Friction
Ceramics
and Wear Data on Advanced
Amp Gangopadhyay
CONTENTS
α-Alumina.......................................................................................................................................573
Alumina...........................................................................................................................................574
Silicon Nitride.................................................................................................................................574
Silicon Carbide................................................................................................................................575
Partially Stabilized Zirconia (PSZ)..............................................................................................575
Aluminum Titanate........................................................................................................................576
Al2O3-TiC........................................................................................................................................576
Al2O3-20 vol% SiC.........................................................................................................................577
α-ALUMINA
TEST TYPE: PIN ON DISK, NONLUBRICATED
Test Conditions: Sliding in air, 50 + 5% relative humidity, at 0.2 m/s sliding velocity for a total
sliding distance of 250 m under 10-N load
Material Definitions:
Ball: Sintered α-alumina, 9.5–11.1 mm diameter, 1650 HV hardness
Disk: 100Cr6 steel, polished Ra 0.06–0.1 mm
Test Results:
Friction coefficient, 0.68
Wear rate of ball, 9 × 10-8 mm3/m
Wear rate of disk, 8.33 × 10-6 mm3/m
Reference: Anderson, P. and Holmberg, K., Limitations on the use of ceramics in unlubricat-
ed sliding applications due to transfer layer formation, Wear, 175, 1–8, 1994.
TEST TYPE: BALL ON FLAT, NONLUBRICATED

Test Conditions: Reciprocating sliding in air, 30–50% relative humidity, at 1.4 mm/s sliding, for
a total sliding distance of 10 m under 10–100N load at 23–1000°C
Ball: α-Alumina (99.5%); polished, roughness 0.01 mm RMS; 14.7 GPa hardness
Disk: α-Alumina (99.8%); polished, roughness 0.1 mm RMS; 15.0 GPa hardness
Test Results:
Stroke length, 10 mm
Mass loss of ball, 0.02–0.24 mm3
Friction coefficient, 0.35–0.9
0-8493-3904-9/97/$0.00+$.50
Mass loss of disk, 0.01–0.35 mm3

Reference: Dong, X., Jahanmir, S., and Hsu, S.M., Tribological characteristics of α-alumina at ele-
vated temperatures, J. Am. Ceram. Soc., 74(5), 1036–1044, 1991.
TEST TYPE: BLOCK ON RING, LUBRICATED WITH MINERAL OIL WITH-

OUT ADDITIVES
Test Conditions: Steady sliding in air at 1.66 m/s sliding velocity for a total sliding distance of
106 km under 197-N load
Block: 19 mm × 9.5 mm × 3 mm α-alumina; 2,150 kg/mm2 hardness
Ring: 62.5 mm o.d. × 50.8 mm i.d.; 52100 steel; Rc 62
Test Results:
Wear rate of block, 2.5 × 10-8 mm3/m ⋅ N
Reference: Gangopadhyay, A.K., Fine, M.E., and Cheng, H.S., Friction and wear characteristics
of titanium and chromium doped polycrystalline alumina, Lub. Eng., 44(4), 330–334,
1988.
ALUMINA
TEST TYPE: THRUST WASHER, LUBRICATED WITH TAP WATER
Test Conditions: Steady sliding in air at 0.5 m/s sliding velosity under 290 Kpa contact stress for
48 h at room temperature
Rotating washer: alumina (85%) with 40 µin. Ra finish
Lower washer: 440 C steel; 58–60 Rc with 3–4 µin. Ra finish
Washer size: 31.75 mm o.d., 12.7 mm i.d., 7.62 mm thick
Test Results:
Wear track diameter, 11.7 mm
Steady-state wear rate of 440 C steel washer, 0.5 mg/h
Reference: Holzhauer, W., Johnson, R.L., and Murray, S.F., Wear characteristics of water lubri-
cated Al2O3-metal sliding couples, Wear of Materials, San Francisco, Ludema, K.C.,
Ed., 1981, 676–684.
SILICON NITRIDE
Test Conditions: Steady sliding in dry air at 1 mm/s sliding velocity for a total sliding distance of
3 m under 0.5–30-N load
Pin: 3-mm tip radius hot-pressed Si3N4
Disk: Polished to 5 nm rms hot-pressed Si3N4
Test Results:
Wear rate of pin, 3 × 10-11 kg/N ⋅ m
Friction coefficient, 0.8 ± 0.05
Wear rate of disk, 3.3 × 10-9 kg/N ⋅ m
Reference: Fischer, T.E. and Tomizawa, H., Interaction of tribochemistry and microfracture in
the friction and wear of silicon nitride, Wear, 105, 29–45, 1985.

Friction and Wear Data on Advanced Ceramics 575
TEST TYPE: ROLLER ON RING LUBRICATED WITH MINERAL OIL

Test Conditions: Steady sliding in air at 3.12 m/s sliding velocity for a total sliding distance of
110 km under 1112-N load
Roller: 17.8 mm o.d. × 7.5 mm i.d., 12.7 mm long hot-pressed silicon nitride; 17.9 GPa hard-
ness, grain size, 0.7 µm
Ring: 30 mm o.d., 30-mm long nodular cast iron; Rc 56
Test Results:
Wear rate of roller, 5 × 10-10 mm3/N ⋅ m
Reference: Braza, J.F., Cheng, H.S., and Fine, M.E., Silicon nitride wear mechanisms: rolling and
sliding contact, Tribol. Trans., 32(4), 439–446, 1989.
SILICON CARBIDE
TEST TYPE: PIN ON FLAT, NONLUBRICATED
Test Conditions: Reciprocating sliding in air at 1 mm/s sliding velocity under 10–100N load
Ball: 10 mm dia 52100 steel; 8.2 GPa hardness
Disk: Polished SiC, Ra 0.1 µm finish; 24 GPa hardness
Test Results:
Stroke length, 4 mm
Wear scar dia. of ball, 300–600 µm
Reference: Kapsa, P., Maurin-Perrier, P., and Pijard, B., Frictional properties of silicon carbide
against steel and sapphire in dry conditions, Proc. Inst. Mech. Eng. Int. Conf. Tribology,
London, July 1 to 3, Vol. 2, 1987, 687–694.
PARTIALLY STABILIZED ZIRCONIA (PSZ)

TEST TYPE: PIN ON RING LUBRICATED WITH MINERAL OIL WITHOUT
ADDITIVES
Test Conditions: Steady sliding in air, 42–56% relative humidity at 0.77 m/s sliding velocity for a
total sliding distance of 8.7 km under 200-N load
Pin: 5 × 5 mm2 Mg-PSZ (96% ZrO2); ground, Ra 0.3 µm; 748 HV hardness
Ring: Hardened steel; ground, Ra 0.25–0.36 µm; 470 HV hardness
Test Results:
Wear rate of pin, 2 × 105 µm3/km
Wear rate of ring, 3 × 106 µm3/km
Reference: Zum-Gahr, K.H., Sliding wear of ceramic/ceramic, ceramic/steel and steel/steel
pairs in lubricated and unlubricated contact, Wear of Materials, Denver, Ludema, K.C.,
Ed., 1989, 431–440.

ADDITIVES
Test Conditions: Steady sliding in air, 42–56% relative humidity at 0.77 m/s sliding velocity, for
a total sliding distance of 8.7 km under 200–N load
Pin: 5 × 5 mm2 Mg-PSZ (96% ZrO2); ground, Ra 0.3 µm; 748 HV hardness

Ring: Mg-PSZ (96% ZrO2); ground, Ra 0.3 µm; 748 HV hardness

Test Results:
pairs in lubricated and unlubricated contact, Wear of Materials, Denver, Ludema, K.C.,
Ed., 1989, 431–440.
ALUMINUM TITANATE
ADDITIVES
Test Conditions: Steady sliding in air, 42–56% relative humidity at 0.77 m/s sliding velocity for a
total sliding distance of 8.7 km under 200–N load
Pin: 5 × 5 mm2 pressed Al2TiO5; ground, Ra 0.3 µm; 200 HV hardness
Ring: Hardened steel; ground, Ra 0.25–0.36 µm; 470 HV hardness
Test Results:
pairs in lubricated and unlubricated contact, Wear of Materials, Denver, Ludema, K.C.
Ed., 1989, 431–440.
AL2O3-TIC
TEST TYPE: BLOCK ON RING, NONLUBRICATED
Test Conditions: Steady sliding in air at 2.8–5.4 m/s sliding velocity for a total sliding distance of
2320 m under 267–N load
Block: Al2O3-TiC
Ring: 4340 steel
Test Results:
Wear rate of block, (1.2–1.8) × 10-5 mm3/m
Reference: Mehrotra, P.K., Mechanisms of wear in ceramic materials, Wear of Materials, Virginia,
Ludema, K.C., Ed., 1983, 194–201.
TEST TYPE: ROLLER ON RING LUBRICATED WITH MINERAL OIL

Test Conditions: Rolling in air at 3.12 m/s sliding velocity for a total sliding distance of 1150 km
under 1112–N load
Roller: A12O3 with 45 wt % TiC; 17.8 mm o.d. × 7.5 mm i.d., 12.7 mm long; grain size 1–2
µm, 18.1 GPa hardness
Ring: Nodular cast iron; 30 mm o.d., 30 mm long; Rc 56
Test Results:
Wear rate of roller, -5 × 10-11 mm3/N ⋅ m

Friction and Wear Data on Advanced Ceramics 577
Reference: Gangopadhyay, A.K., Cheng, H.S., Braza, J.F., Harman, S., and Corwin, J.M.,
Tribological performance of ceramic cam followers, Friction and Wear of Ceramics,
Jahanmir, S., Ed., Marcel Dekker, New York, 1994, 329–356.
AL2O3–20 VOL% SIC

Test Conditions: Steady sliding at 400°C in air, 35–55% relative humidity at 0.1–0.5 m/s sliding
velocity for a total sliding distance of 1–2 km under 2.2–8.9N load
Pin: Al2O3–20 vol% SiC; polished, Ra 0.1 µm; grain size ≤ 4 µm
Disk: Al2O3–20 vol% SiC; polished, Ra 0.1 µm; grain size ≤ 4 µm
Test Results:
Wear track diameter, 18–30 mm dia.
Wear rate of pin, 10-9–10-7 mm3/N ⋅ m
Reference: Yust, C.S. and Allard, L.F., Wear characteristics of an alumina-silicon carbide whisker
composite at temperatures to 800°C in air, Tribol Trans., 32(3), 331–338, 1989.

VII
Tribological Surface
Modifications


55 Tribological
Coatings
Surface Treatments and
Francis E. Kennedy and Ursula J. Gibson

CONTENTS
Introduction.....................................................................................................................................................581
Thermal Transformation Hardening Processes.......................................................................................581
Thermal Diffusion Processes.......................................................................................................................584
Electroplating and Anodizing Processes....................................................................................................585
Thermal Spray Processes...............................................................................................................................586
Weld Hardfacing Processes...........................................................................................................................587
Vapor Deposition Processes.........................................................................................................................588
Ion Implantation Processes..........................................................................................................................591
References.........................................................................................................................................................592
INTRODUCTION
One of the primary remedies for friction and wear problems is to treat the surface, usually to make
it harder. A wide variety of tribological surface treatments is in use today, ranging from flame hard-
ening and weld hardfacing processes, which have been in use for decades, to ion beam processes
and new surface coating methods which have been developed in the past few years.
Some surface treatment processes produce a change in the hardness of the existing surface,
whereas in other cases a finite thickness of a coating material is added over the original surface as
shown schematically in Figure 1. Choice between available surface treatments must also be based
on the effect on the underlying bulk material. Of particular importance is whether the temperature
reached would have a deleterious effect on the mechanical properties of the substrate material.
A list of the available processes for treating steel surfaces is given in Table 1, along with the
temperature reached during treatment and the characteristics of the treated surfaces. Although
most of the hardening processes listed are suitable only for ferrous surfaces, the coating processes
can be used for other substrates as well. Each of the processes is covered in the following discus-
sion and further details may be found in References 1 through 14.
THERMAL TRANSFORMATION HARDENING PROCESSES

The thermal transformation hardening processes summarized in Table 2 are the simplest and most
common ways to harden ferrous surfaces without adversely affecting the properties of the bulk of
the material. The processes involve heating the surface rapidly, transforming it to austenite, and
then quenching it to form martensite. The source of heat can be one of the following:
• An oxyacetylene or oxypropane flame impinging on the surface (flame hardening)
0-8493-3904-9/97/$0.00+$.50
FIGURE 1 A schematic comparison of surface treatment processes.
• Eddy currents induced by a high-frequency electric field from a coil around the part (induction
hardening)
• A beam from a high-power (1 to 15 kW) CO2 laser (laser hardening)
• A focused electron beam (electron beam hardening).
The latter two techniques are characterized by rapid localized heating from heat sources of high ener-
gy density and by rapid self-quenching as soon as the heat source moves away. The heat sources in
flame and induction hardening cover a larger area and have less energy density; a separate quenching
process is required to produce martensite in the treated layer. The depth and uniformity of the hard
layer depend on the rate and method of heating and quenching, while the resulting

Tribological Surface Treatments and Coatings 583
surface hardness depends on the carbon content of the material. Materials suitable for thermal
transformation hardening include medium carbon steels, low or medium alloy (C-Mn, Cr-Mo,
and Ni-Cr-Mo) steels, gray cast iron, pearlitic malleable cast iron, and nodular cast iron. A basic
requirement of thermal transformation hardening is that the substrate be capable of marten-
site formation upon quenching. This requires an adequate carbon content, as is shown in
Figure 2. The alloying additions to low alloy steels enable a slight increase in hardness, up to
100 HV above the values shown in Figure 2 for a given carbon content.
FIGURE 2 Hardness of untempered martensite as function of carbon content for plain car-
bon steels.1
High alloy steels are usually not hardened by thermal transformation processes because of the slow
rate at which they austenitize and their tendency to suffer from quench cracks. Plain carbon steels
with carbon contents above 0.6% also are susceptible to quench cracking, particularly with

flame or induction heating processes, owing to the low toughness of the hardened layer. Carbon
steels with low carbon content (less than 0.3%) are not too susceptible to quench cracking, but the
rate at which they must be cooled to produce martensite is so high that it cannot be easily attained
by thermal transformation processes, particularly flame or induction hardening.
Each of the thermal transformation processes is characterized by a short process time, and all
except electron beam hardening (which requires a moderate vacuum) can be done in air. A temper-
ing of the hardened surface is recommended after each of the thermal transformation processes.
THERMAL DIFFUSION PROCESSES

These processes involve the diffusion of atoms into surfaces to create a hard layer. (See Table 3.) In
the most widely-used, carburizing (or case hardening), carbon diffuses into a low-carbon steel sur-
face to produce a hard, carbon-rich “case”. The source of carbon can be either a hydrocarbon or
carbon monoxide gas in air (gas carburizing) or vacuum (vacuum carburizing), a salt bath with car-
bon-containing salts such as cyanide (salt bath carburizing), a packed bed of coke or charcoal (pack
carburizing), or a glow discharge of methane plasma (plasma carburizing).2 The hardness and thick-
ness of the case depend on the temperature, exposure time, and source of carbon. Carburizing is
most effective with low carbon steels (0.10 to 0.25% carbon), and the result is enhanced carbon con-
centration of between 0.7 and 0.9% in the surface layer, with a surface hardness of between 800 and
900 HV (see Figure 2). Carbonitriding is a process similar to carburizing which involves the simul-
taneous diffusion of carbon and nitrogen atoms into the surface of low carbon (<0.25% C) steel.
In the nitriding process, nitrogen atoms diffuse into the surface of a steel which contains
nitride-forming elements (such as Al, Cr, Mo, V, W, or Ti) and form fine precipitates of nitride com-
pounds in a near-surface layer. The hardness of the surface layer depends on the types of nitrides
formed, which is affected by the type of steel being nitrided, the nitriding temperature, the cooling
rate from the nitriding temperature, and any annealing after the process.3 The source of

nitrogen can be a hot gas (usually ammonia), a salt bath containing cyanide or cyanide-chloride solu-
tions, or a plasma containing energetic nitrogen ions. Quenching is not usually required after nitriding,
owing to the low process temperatures (500–600°C for gas nitriding and even lower for plasma nitrid-
ing). Nitrocarburizing is a related process in which nitrogen atoms diffuse into steel surfaces and
react with the iron to form a hard layer of iron carbonitride.
In boriding, also known as boronizing, boron atoms diffuse into ferrous surfaces at temperatures
of 900–1100°C, above the austenite transformation temperature. The process results in the forma-
tion of two forms of iron boride, FeB and Fe2B. The FeB phase is very hard but is quite brittle, so
the process is generally controlled to limit its formation. The source of boron is usually a packing con-
taining boron carbide, but molten salt baths or a gas containing boron chloride can also be used. The
hardness resulting from boriding is higher than from any other diffusion treatment.
ELECTROPLATING AND ANODIZING PROCESSES

Thin, hard metallic coatings are very effective in friction and wear reduction and can be applied effec-
tively by electroplating.4 Electroplating, also called electrodeposition, involves the reduction of metal-
lic ions at the surface of the substrate, which acts as the cathode in an electrolytic cell. The process is
applicable to nearly all metallic surfaces and, with suitable preparation, can also be used for plastics
and other nonconducting materials. Electroplating is done at low temperatures (<100°C), so it results
in very little thermal distortion. The most common of such coatings are hard-chromium, which is
plated from a chromic acid bath, and hard nickel, which is generally deposited from Watts solution,
which contains nickel sulfate, nickel chloride, and boric acid. Hard chromium coatings (as contrasted
with softer and thinner decorative chromium coatings) generally consist of fine-grained chromium
with oxide inclusions and some microcracks. The microcracks are caused by very high residual tensile
stress in the coating, and they result in increased porosity and decreased corrosion resistance. The
cracks in the coating may, however, be beneficial for lubricant retention in components operating
under mixed lubrication. The internal stress can be reduced by plating with pulsed current, and this
can have a beneficial effect on wear resistance as well.4 Electroplated nickel coatings have lower hard-
ness and less wear resistance than chromium (Table 4), but can be used effectively to salvage worn
parts.
Electroless plating is widely used to produce nickel without electric current from a solution
containing nickel ions and a reducing agent. When sodium hypophosphite is the reducing agent, the
coating contains about 10 wt % phosphorous and has a hardness of about 500 HV. If a reducing
agent containing boron is used, the resulting electroless nickel will contain about 5% boron and will
have a hardness of about 700 HV. Electroless nickel can be heat treated (at 400 to 600°C) to

hardnesses comparable to those of electroplated chromium, and the resulting coating will have
much improved wear resistance, but diminished corrosion resistance (Table 4).
Anodizing is an electrochemical process used to form hard Al2O3 films on aluminum surfaces.
This is generally accomplished by anodic reaction in a solution of sulfuric or chromic acid. The
anodized coating consists of two layers: a thin (<1 µm thick) impermeable barrier layer covered by
a thicker porous outer layer. The porosity of the outer layer can be used to advantage in tribologi-
cal applications by impregnating it with PTFE or another solid lubricant to obtain improved slid-
ing performance. The thickness of the hard anodized layers can be from 25 to 150 µm, and the
hardness will range from 350 to 600 HV. The oxide film is brittle and can break up under severe
sliding conditions, resulting in high wear.
THERMAL SPRAY PROCESSES

Thermal spray processes5 enable a large variety of coating materials, including metals, ceramics, and
polymers, to be deposited rapidly on a wide range of substrates. Four different thermal spray
processes are commercially available: oxyfuel (or flame) spraying of metallic wire or metallic or
ceramic powder, electric arc spraying of metallic wire, plasma arc spraying of powder (metallic or
ceramic), and high-velocity oxyfuel (HVOF or detonation gun) powder spray. In each process the
coating material, in either wire or powder form, is heated to a molten or plastic state, and the heat-
ed particles are propelled toward the surface to be coated, where they rapidly solidify and adhere.
A summary of the characteristics of each process is given in Table 5.
Oxyfuel (or flame) spraying uses an oxygen-fuel gas flame as a heating source. The material to
be sprayed, in either wire or powder form, is fed into the flame where it is melted or atomized and
propelled toward the work surface in a surrounding jet of compressed air. Because the molten
droplets are surrounded by air during their flight to the surface, some oxidation often occurs in the
spraying of metals, and the result is porosity of the deposited coating (Table 5). Spray rates are deter-
mined by the melting point of the material and the choice of fuel gas.
Electric arc spraying uses an arc, which is created between consumable wire electrodes of the
coating material, to achieve temperatures of over 5000°C. The wires are melted and the molten metal
is atomized by compressed air and propelled toward the surface to be coated. The arc system is very
well suited for applications requiring a thick coating or which have large surfaces to be sprayed. The
electric arc spray process is characterized by strong coating adhesion because of the

high particle temperatures, but since air is the propelling gas, some oxidation of the metallic droplets
usually occurs with resulting porosity.
In plasma arc spraying, a gas such as nitrogen or argon enters a direct-current arc betwen two elec-
trodes in the nozzle. The result is a thermal plasma with temperatures greater than 12,000°C, high
enough to melt any powder to be sprayed. That powder is injected into the plasma and is subsequently
melted and propelled at high velocity (250 to 500 m/s) in a stream of inert gas (usually argon) toward
the surface to be coated. The plasma arc spraying process is particularly efficient for spraying dense
ceramic coatings, with porosity levels being between 1 and 10%. Coating thicknesses are typically in
the range of 50 to 250 µm, and they frequently have significant residual stress.
Several high velocity oxyfuel (HVOF) powder spray processes have been developed in the past
few decades, including hypervelocity oxyfuel powder spray, oxyfuel detonation, Detonation gun, and
Jet-kote processes. In each process, the ignition of an oxygen-fuel mixture creates combustion prod-
ucts which are directed toward the surface at very high velocity. The powder being sprayed is injected
into the gases either just before or just after ignition, and the particles attain a high temperature and a
very high kinetic energy before they strike the surface. Because the combustion temperatures are lower
than the melting point of some ceramics, the process is best suited for coatings of metals, cermets,
and ceramics with lower melting points. Coatings sprayed by HVOF are characterized by lower resid-
ual stress than plasma-sprayed coatings, along with lower porosity and higher coating adhesion.
Thermal-sprayed metallic coatings are often used for corrosion protection and for rebuilding
worn surfaces, and relatively soft metallic coatings are thermally sprayed on bearing surfaces to enable
embeddability of hard particles and to allow deformation. In most tribological applications of ther-
mal spray coatings, though, the goal is improved wear resistance, and in that case the coating materi-
al is usually either a hard metal or a ceramic. The hardness of the coating depends on both the sprayed
material and the process parameters. The most common thermal spray coatings for tribological appli-
cations are listed in Table 6.
WELD HARDFACING PROCESSES

Weld hardfacing processes6 involve the application of a wear-resistant material to the surface of a part
by means of a weld overlay. Weld overlay materials include ferrous alloys (such as martensitic air-hard-
ening steel or high chromium cast iron), nonferrous alloys (primarily cobalt- or nickel-based alloys con-
taining hard carbide, boride, or intermetallic particles), and cemented carbides (usually tungsten car-
bide-cobalt cermets). Since the weld hardfacing materials must be molten at the temperature of the
welding process, there are some limitations on the materials which can be deposited. Pure ceramics
cannot usually be used, but they can be combined with a metallic binder to produce a cemented car-
bide or other cermet overlay.
Several welding processes used to apply the hardfacing materials include: oxyacetylene torch welding,
tungsten inert gas (TIG), synergic metal inert gas (MIG), plasma transferred arc (PTA), shielded metal arc, submerged
arc, open arc,and electroslag.These processes are described in detail by Budinski.7 The forms of hard-
facing materials (consumables) available are listed in Table 7, along with some of the characteristics of
each process. Among the most important characteristics to consider when selecting a welding tech-
nique are the rate of deposition, the overlay thickness that can be achieved, and the amount of mix-
ing between substrate and weld overlay, referred to as dilution. Dilution is more of a problem with arc
welding processes than with other welding processes, and the change in composition could affect the
wear resistance in some cases.
In all weld hardfacing processes, the surface being coated is heated to the same temperature as the
molten weld layer, thus posing a limitation to the process. Another consideration in the selection of
substrate is miscibility in the liquid state and the possible formation of undesirable intermetallic phas-
es at the interface. By far the most common substrate for weld hardfacing is steel, and, in particu-
lar, those steel surfaces that can tolerate a substantial surface buildup. Weld hardfacing

is best used when abrasion or sliding wear cannot be avoided (as with earthmoving or mining equip-
ment) and the goal is to limit the wear rate.
VAPOR DEPOSITION PROCESSES

Vapor deposition processes for wear-resistant coatings include physical vapor deposition (PVD),
chemical vapor deposition (CVD), and several variants of those basic processes.8 Each of the
processes consists of three steps: (1) creation of a vapor phase of the coating material being coat-
ed, (2) transportation of the vapor from source to substrate, and (3) condensation of the vapor
phase on the substrate and resultant growth of a thin solid film.
PHYSICAL VAPOR DEPOSITION

In PVD processes the vapor is produced by either evaporation (by heating of the coating material
source) or sputtering (in which coating material is dislodged and ejected from the source due to
bombardment by energetic particles). (See Table 8.) Evaporative coating is done under medium


high vacuum (≈10-5 torr), and because there is no scattering of the vapor molecules enroute to the
substrate, it is a line-of-sight process. Curved parts may be covered by surrounding them with evap-
oration sources as long as they are convex, but complex shapes are hard to coat evenly.
In sputtering, the system pressure is typically 1 to 100 torr, and better step coverage is possible,
though there is still a directional bias to the arriving particles; coating of hidden surfaces does not
occur. One major advantage of PVD processes is that the part can be maintained at low tempera-
tures; warping and phase changes are not problematic. The deposition rate for PVD processes is
typically 10-3 to 1 µm/min, and total thicknesses are correspondingly low, normally less than 10 µm
(micrometers).
In general, evaporative processes are faster than sputtering, and with the use of ion-assistance
(see below) produce films comparable in performance to sputtered coatings. In all vapor-deposited
films, there is a sudden transition from the substrate material to the coating, and the adhesion to
the part depends on the interface. Various treatments are applied to improve the strength of the
bond, including gradient deposition, pretreatment with ion implantation, and application of elec-
trical bias to the part in the presence of ionized species to drive the first layers of the coating mate-
rial into the surface.
CHEMICAL VAPOR DEPOSITION

In CVD, gases are brought to a heated substrate that drives a chemical reaction and leaves a deposit-
ed layer of solid phase material (Table 9). The process may occur at atmospheric pressure, or at a
reduced pressure (low pressure, or LPC VD) of 0.5 to 1 torr. In addition to the conventional ther-
mally driven process, CVD may be laser induced or enhanced by a plasma discharge or a hot tung-
sten filament in the gas. CVD generally has a lower capital equipment cost, and the process is more
amenable to coating of complex shapes than PVD or sputtering. However, the chemicals used in
the reactions are often corrosive, and may present disposal problems.
Typical reactions are between a metal chloride or organometallic compound and either hydro-
gen or hydrocarbon gases; nitrides are often deposited using ammonia gas. Since there is not 100%
utilization of the gases, safety and scrubber systems can add significantly to the cost of a CVD sys-
tem. In addition to the chemistry and substrate temperature, gas diffusion and flow determine the
reaction rate and structure of the deposit. The rates for CVD may be as high as 25 µm/min for
some metals, and as low as 10-2 µm/min for refractory nitride coatings.
ENERGETIC VAPOR DEPOSITION PROCESSES
The use of ionized species in both PVD and CVD plays an important role in tribological coating
performance. The use of ions enhances chemical reactivity in both processes and allows the film
material or the reactants to be directed toward the part. Even at relatively low energies (<100eV),

there is cleaning of the part in the critical interfacial region. At higher energies, some limited implan-
tation and chemical mixing of the coating material and the substrate may result. A wide variety of
processes utilize these advantages of ion-based processes.
Physical vapor deposition processes (other than sputtering) that utilize ions include ion beam-
assisted deposition (IAD, IBAD, reactive IBAD), and plasma-enhanced evaporation. In IAD, a small
plasma chamber with extraction grids is operated to bombard the growing film with ions at a fixed
flux and energy. Use of a reactive species (e.g., nitrogen) can make nitride films from a metal evapo-
rant; use of inert gas bombardment of the growing film generally results in a physical densification of
the layer via forward sputtering. Processes that have proven amenable to large coating systems are acti-
vated reactive evaporation (ARE), and ion plating. In each of these processes, evaporated metal pass-
es through a plasma before reaching the substrate. In ARE the substrate is not immersed in the plas-
ma, and in ion plating the substrate holder generally comprises one of the electrodes of the glow dis-
charge. The pressures for ARE are typically two orders of magnitude lower than for ion plating (10-4
torr vs. 10-2 torr). Reactive gases such as C2H2 and N2 in these systems can be used to produce titani-
um carbides and nitrides.9
In plasma-enhanced CVD (PECVD), a microwave or RF source is coupled to the low pressure
gas region, generating a wide variety of reactive species. This allows reduction of the substrate tem-
perature, although an elevated temperature enhances surface diffusion and growth of a more dense
film. Typical pressures in this process are 0.5 to 0.05 torr, and substrate temperatures are on the order
of 150 to 300°C. Typical deposition rates for nitride coatings are in the range of 50 to 300 Å/min.
ION IMPLANTATION PROCESSES

Ion implantation10 is a process in which charged particles are created in an ion source, accelerated
toward the surface at high velocity (50 keV to 1 MeV, with 100 keV the most common range), and
then injected into the substrate surface. The most commonly implanted ions for surface engineering
use are nitrogen, carbon, boron, and titanium, although virtually any element could be implanted
(Table 11). The microstructure of the near-surface region is changed by the presence of the implant-
ed ions, and the result can be high near-surface hardness and wear resistance. The two primary mech-
anisms for hardness increase are defect production by the ion as it passes through the surface region,
and alloying of the implanted species with the substrate. The affected layer is very thin (< 1 mm), due
to the limited range of the ions; total dosages range from 1013 to 1018. The rate at which implanta-
tion is performed determines the resultant surface, as there can be significant heating induced by high-
current implantation. Typical current densities for implantation are less than 100 mA/cm2, but val-
ues up to 500 mA/cm2 have been used to get enhanced-depth implants. Ion implantation is
normally carried out in a vacuum, and in most cases is a line-of-sight process. Parts can be turned
in front of the sources to reach shadowed areas. A relatively new technique is the use of

plasma source ion implantion (PSII). In this method, the parts are placed in a vacuum cham-
ber backfilled with the desired implant species, and a large electrical pulse is applied to the
parts. This causes gas breakdown in the vicinity of all surfaces, with a relatively uniform treat-
ment of even complex geometries.11 The method works only for gaseous implant elements
such as nitrogen. Good success in the hardening of knee implants has been reported.
Ion implantation is a relatively expensive surface treatment, but is performed with no heat-
ing of the bulk of the part so that distortion is not problematic. As the hardened region is an
itegral part of the substrate, there is no possibility of interfacial failure. Particularly for small,
temperature-sensitive parts, ion implantation can be cost-effective.
Ion beam mixing is the process of ion bombarding one or more PVD layers on a surface.
The atomic displacements cause physical mixing of the different species; this can be used to
create metastable alloys and to “smear” the interface of a coating, thus improving adhesion.
In addition to changing the hardness of the surface, implanted ions can increase the cor-
rosion resistance of the surface, reduce fatigue wear, and reduce friction. Table 11 shows some
of the implanted species and their applications.
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56 Friction
Coatings
and Wear of Hard Thin
Arup Gangopadhyay
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Friction and Wear of Hard Thin Coatings 595
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19. Ramalingam, S. and Winer, W. O., Reactively sputtered TiN coatings, Thin Solid Films, 73, 267,
1980.
20. Bull, S. J., Rickerby, D. S., and Jain, A., The sliding wear of titanium nitride coatings, Surf. Coat.
Technol., 41, 269, 1990.
21. Sue, J. A. and Troue, H. H., Friction and wear properties of titanium nitride coating in sliding con-
tact with AISI 01 steel, Surf. Coat. Technol., 43/44, 709, 1990.
22. Efeoglu, E., Arnell, R. D., Tinston, S. F., and Teer, D. G., The mechanical and tribological prop-
erties of titanium nitride coatings formed in a four magnetron closed-field sputtering system, Surf.
Coat. Technol., 57, 61, 1993.
23. Habig, K.-H., Chemical vapor deposition and physical vapor deposition coatings: Properties, tri-
bological behavior, and applications, J. Vac. Sci. Technol., A4 (6), 2832, 1986.
24. Huang, Z. P., Sun, Y., and Bell, T., Friction behavior of TiN, CrN and (Ti,Al)N coatings, Wear,
173, 13, 1994.

25. Ronkainen, H., Holmberg, K., Fancey, K., Matthews, A., Matthes, B., and Broszeit, E.,
Comparative tribological and adhesion studies of some titanium-based ceramic coatings, Surf.
Coat. Technol, 43/44, 888, 1990.
26. Vancoille, E., Celis, J. P., and Roos, J. R., Dry sliding wear of TiN based ternary PVD coatings,
Wear, 165, 41, 1993.
27. Aubert, A., Gillet, R., Gaucher, A., and Terrat, J. P., Hard chrome coatings deposited by physical
vapor deposition, Thin Solid Films, 108, 165, 1983.
28. Habig, K.-H., Wear behavior of surface coatings on steels, Tribol. Int., 22 (2), 65, 1989.
29. Grill, A. and Aron, P. R., RF Sputtered silicon and hafnium nitrides: Properties and adhesion to
440C stainless steel, Thin Solid Films, 108, 173, 1983.

57 Bonded Solid Film Lubricants

Robert M. Gresham
CONTENTS
Surface Preparation for Solid Film Lubricants.........................................................................................600

Bonded Solid Film Lubricant Compositions............................................................................................603
Bonded Solid Film Lubricant Products and Properties..........................................................................603
References.........................................................................................................................................................607
Development of bonded solid film lubricant products began late in the 1940s in the aircraft indus-
try. Their use accelerated in the 1950s with the birth of the national space program and its need
for lubricants in outer space subject to wide temperature extremes, radiation, vacuum, and other
extreme environmental conditions. In the intervening years, bonded solid film lubricant technolo-
gy has grown considerably and is now applied to a wide variety of industrial, automotive, military,
and aerospace applications. The subject of solid lubricants is covered in Volume 2 of the Handbook
of Lubrication.1 Bonded solid film lubricants with inherent lubricating properties which are firmly
bonded to the surface of the substrate are covered in Volume 3, the Handbook of Lubrication and
Tribology.2 This section will codify performance properties of many of these bonded solid film lubri-
cants and the preferred pretreatments for different base metals.
SURFACE PREPARATION FOR SOLID FILM LUBRICANTS

Pretreatment of the metal substrate surface prior to the application of bonded solid film lubricants
is the single most critical item affecting performance. Pretreatments are optimized for specific met-
als to modify surface roughness, hardness, and/or chemical reactivity to promote adhesion and
enhance lubrication performance. Since solid film lubricants by themselves do not exhibit unique-
ly outstanding wear life, improper or inadequate pretreatment results in approximately 80% of
most solid film lubricant failures.3
SURFACE PREPARATION FOR RESIN-BONDED SOLID LUBRICANTS

Ideal pretreatment processes for resin-bonded solid film lubricants fall into three basic operations:
degreasing, grit blasting, and chemical treatment. Since each of these operations adds cost, it is
often necessary to compromise performance. The design engineer must be careful that these com-
promises do not ultimately result in a poorly designed, non-cost-effective component.
Degrease
Degreasing is necessary to remove machining oils, corrosion inhibitors, and related solvent-soluble
contamination. Failure to remove these contaminants usually results in poor adhesion of the solid
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Bonded Solid Film Lubricants 601
film lubricant. Of three methods historically used, the preferred vapor degreasing is typically
done in accordance with MIL-T-7003 in specially designed equipment using common solvents
such as 1,1,1-trichloroethane, trichloroethylene, or perchloroethylene. Due to recent regula-
tions regarding air quality and ozone-depleting substances, however, use of 1,1,1-
trichloroethane has been eliminated. The other two solvents are under some scrutiny from a
toxicity standpoint. Much new development is underway of aqueous degreasers as substitutes.
Performance of various degreasers appears to be application specific. That is, some degreas-
ing compounds work better with certain machine oils than others, and no effective control
mechanism has been developed to determine when cleaning baths are depleted. Care must be
taken in controlling these processes to ensure that parts are properly cleaned to avoid poor
adhesion and catastrophic failure of the solid film lubricant.
Grit Blast
After vapor degreasing, abrasive blasting or grit blasting is recommended. For most metals, alu-
minum oxide is the preferred medium. A wide variety of mesh sizes are available; for most
work, 220 mesh is preferred. Sand, starulite, walnut shells, peanut shells, and glass beads are
also commonly used, particularly on some of the softer metals. The goal of grit blasting is to
provide a uniform surface profile with a surface roughness of about 16 to 32 rms for most
applications. Table 1 shows the effect of various grit sizes of aluminum oxide on aluminum,
titanium, and stainless steel.
Chemical Treatment
The final operation necessary for optimum performance of bonded solid film lubricants is chemical
treatment. Usually this represents a conversion coating, such as a phosphate for ferrous metals and
zinc; anodize for aluminum, magnesium, or zinc; passivation for corrosion resistance steels; black
oxide for copper and iron; chromate for copper, aluminum, cadmium, anodize metals, phosphated
ferrous metals, and zinc; and various etchings for corrosion-resistant steels, ferrous metals, copper,
zinc, and titanium.
Phosphate
The preferred phosphate process is described in DOD-P-16232 (see Table 2). Under this military
specification, there are two primary phosphate types, zinc phosphate and manganese phosphate.
Manganese phosphate provides a better wear-resistant base for solid lubricants, while zinc phosphate
provides additional corrosion protection. Calcium/zinc phosphate, iron phosphate, and nickel/man-
ganese phosphate are also used, but these are more applicable to paint systems.
After applying a phosphate, parts are dried under controlled conditions to eliminate trapping of
water in the crystalline structure which would cause flash corrosion, poor adhesion, and possible
hydrogen embrittlement. In the case of high-strength steels, including spring steels, trapped

hydrogen in the metal can potentially cause stress corrosion, cracking, and related failures. Therefore,
it is important that the phosphated part be baked at a temperature which will eliminate any trapped
hydrogen.
Anodization
Anodizing is a preferred conversion coating for such materials as aluminum and magnesium. In this
process, a metal oxide coating is formed electrolytically as described in MIL-C-8625C. This military
specification recognizes three fundamental types: chromic, sulfuric, or hard anodize. Hard anodize is
a type of sulfuric acid anodize which leaves a much harder, more wear-resistant coating and is prefer-
able for solid lubricants. Chromic acid anodize, which is best for corrosion protection, is being
reduced in usage because of the toxicity of chrome.
Passivation generally involves treatment of the substrate metal with nitric acid. The purpose is to
dissolve iron from the surface of corrosion resistant steels, making the surfaces nickel rich relative to
the normal composition of the material. This eliminates any micro corrosion/oxidation which might
occur prior to the application of the solid film lubricant. Passivation is typically done in accordance
with MIL-STD QQ-P-35.
Miscellaneous Chemical Treatments

Black oxide is used on copper and to a lesser extent on iron, as covered by MIL-F-495 for copper
and MIL-C-13924 for iron. This involves sulfide treatment of copper and caustic nitrate treatment
for iron. This chemical conversion, while very inexpensive, does not provide the performance of a
good phosphate on iron. Chromate conversion is also commonly used on copper, zinc, and phos-
phated ferrous metals. The purpose of this process is to treat the substrate with hexavalent chrome
along with various activators, such as acetates, sulfates, and fluorides under a controlled pH. This
process provides extra corrosion protection. However, the use of hexavalent chrome must be car-
ried out with care due to its toxicity.
Finally, various enchants represent a cost effective pretreatment to provide metal surfaces with
“tooth” to promote adhesion. However, use of enchants alone can represent a compromise in per-
formance properties. For corrosion-resistant steels, ferric chloride solution at approximately 40%
provides a good base for adhesion. On ferrous metals, a hydrochloric acid etch works well in place
of grit blasting. However, care must be taken if hydrogen embrittlement is a consideration. Etching
other metals can be accomplished as follows: aluminum with nitric acid and hydrofluoric acid, cop-
per with sulfuric acid and nitric acid, zinc sulfuric acid and chromic acid, titanium with nitric acid and
hydrofluoric acid.
SURFACE PREPARATION FOR INORGANIC BONDED SOLID LUBRICANTS

Pretreatment for inorganic bonded solid film lubricants is equally important as with resin-bonded
products and generally follows the same guidelines of cleaning, degreasing, grit blasting, etc. Since
inorganic solid film lubricants are generally used for high-temperature applications, phosphating

and chromating are usually avoided, since they decompose at temperatures in excess of 450°F and
300°F, respectively. Generally the preferred pretreatment is degreasing and grit blasting with alu-
minum oxide and, where applicable, passivation.
Inorganic solid lubricants are generally not used on low melting materials such as aluminum
unless the application is for high vacuum where outgassing properties are of primary consideration,
or where specific chemical resistance, such as liquid oxygen service, is of importance. Even then, the
lubricant cure temperature may be excessive for the grade of aluminum.
CERAMIC-BONDED SOLID FILM LUBRICANT

Since many ceramic-bonded solid film lubricants cure at temperatures around 1000°F or more, the
preferred pretreatment is vapor degreasing followed by grit blasting. Since ceramic-bonded solid film
lubricants are usually applied to corrosion-resistant materials such as Hastalloy and Waspalloy, passi-
vation is usually not required. The main purpose of the pretreatment is to remove any oils, dirt, and
loose debris, and to obtain the necessary surface roughness for optimal adhesion.
Sputtered and PVD Applied Films

Pretreatment for sputtered and physical vapor deposition-applied films generally involves degreas-
ing/cleaning, often incorporating ultrasound. In some special cases, vapor honing is also done. Since
vacuum-applied films are usually applied to very smooth surfaces, however, abrasive honing is usu-
ally accomplished with a slurry of very fine aluminum oxide, followed by subsequent cleaning in an
ultrasonic bath. Once cleaned, the substrate is etched in the sputtering chamber by ion bombard-
ment with an inert gas, such as argon. The argon plasma cleans the surface on an atomic level to pro-
vide the required adhesion.
BONDED SOLID FILM LUBRICANT COMPOSITIONS

Bonded solid film lubricants are composed of three primary elements: solid lubricant, resin binder,
and ancillary additives such as solvents, corrosion inhibitors, flow agents, etc. The binders and addi-
tives are usually proprietary. The various binder types are usually selected not so much for their
impact on lubricity as for their other properties: cure temperature, temperature range, and resistance
to environmental factors such as resistance to radiation, chemicals, vacuum, and corrosion.
Solid lubricants are commonly selected from the list provided in Table 3. Molybdenum disulfide,
graphite, and polytetrafluoroethylene are the most significant commercially. Some materials act syn-
ergistically with certain solid lubricants to enhance lubricity. The mechanism of this enhancement is
not rigorously known, but is believed to be related to retardation of surface oxidation of the primary
solid lubricant. The subject of solid lubricants is covered in the Handbook of Lubrication. l
BONDED SOLID FILM LUBRICANT PRODUCTS AND

PROPERTIES
The aircraft/aerospace industry has attempted to codify the basic workhorse solid film lubricants
which are commonly used throughout the industry in SAE specification AS 1701. Six product types
in Table 4 cover a wide range of temperature applications. The primary purpose of these solid lubri-
cants is to provide lubrication under the environments indicated.
Table 54 gives typical performance properties of a wide variety of solid film lubricants which
meet various commercial or military specifications. Since many of these are used on threaded fas-
teners, the installation force and torque are listed for comparison purposes. Table 6 shows typical
chemical resistance of these various generic products.

For applications where lubrication is the primary performance requirement, products such as
described in Table 4, type I, are used. This material also provides maximum fluid and chemical
resistance of the organic resin-bonded types. However, it is heat cured to achieve these proper-
ties. For applications where the product must be air cured, Type II products are most common-
ly used. In Tables 5 and 6, these products are also described as “D” and “J”, respectively.
It becomes obvious that no one type of coating, pretreatment, or metallurgy can solve all
problems encountered by the design engineer. However, the preceding Tables indicate the per-
formance of a number of common systems from which design engineers can select proper coat-
ing systems. Most solid film lubricant suppliers can supply products such as those listed in the
preceding Tables. Always, however, the testing and prototyping of each specific system is neces-
sary to fully qualify the coating system.

REFERENCES
1. Booser, E. R., Ed., CRC Handbook of Lubrication, Vol. 2, CRC Press, Boca Raton, FL, 1984, 269.
2. Booser, E. R., Ed., CRC Handbook of Lubrication and Tribology, Vol. 3, CRC Press, Boca Raton, FL,
1994, 167.
3. Gresham, R. M., Solid film lubricants: unique products for unique lubrication, Lubr. Eng., 143, 1988.
4. Gresham, R. M., Bonded Solid Film Lubricants for Fastener Coatings, Fastener Technology International,
April/May 1987.

VIII
Component Performance
and Design Data


58 Fundamentals of
Elastohydrodynamic Lubrication
Michael M. Khonsari and D. Y. Hua

CONTENTS
Nomenclature.................................................................................................................................611
Geometry of Contact....................................................................................................................613
Dry Contact....................................................................................................................................614
Elastohydrodynamic Line Contact..............................................................................................616
Elastohydrodynamic Elliptical Contact.......................................................................................621
Starvation........................................................................................................................................625
Thermal Correction.......................................................................................................................625
Partial-Film EHL............................................................................................................................627
Traction............................................................................................................................................627
Examples.........................................................................................................................................630
References.......................................................................................................................................636
NOMENCLATURE
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Fundamentals of Elastohydrodynamic Lubrication 613
GEOMETRY OF CONTACT
A general Hertzian contact between two bodies is shown in Figure 1.1 Two principal planes are
used to characterize the geometry at the point of contact. Rxl, Ryl, and Rx2, Ry2 are principal radii
for body 1 and body 2, respectively. In general, the principal planes of body 1 and body 2 may
not coincide. However, for most engineering machine elements, the principal radii Rxl and Rx2,
as well as Ry1, and Ry2 lie in the same plane. In this chapter, the following equivalent radii and
equivalent modulus of elasticity are introduced.
FIGURE 1 Geometry of elliptical contact.1
The equivalent radius in x direction is
and the equivalent radius in y direction is

where “+” and “-” represent convex and concave of the surface 2, respectively. Then, the curvature
sum in x and y direction is defined as
The equivalent elastic modulus is
The above equations are valid for the general case of an elliptical contact as formed between two ellip-
soids with aligned principal axes, two crowned cylinders, or two cylinders that cross at right angle. The
elliptical contact can be reduced to two special cases:
Circular contact — when Rx1 = Ryl = R1 and Rx2 = Ry2 = R2, i.e., contact between two spheres.
In this case, R = 1/(1/R1 + 1/R2).
Line contact — both Ryl and Ry2 are infinity. Then, Ry → ∞ and the curvature sum R = Rx.
(cf. Figure 2).
FIGURE 2 Line contact: (a) nonconformal; (b) conformal; (c) equivalent elastic cylinder and rigid
surface.
DRY CONTACT
LINE CONTACT
Two cylinders pressed against one another under a normal load will produce a plane rectangular con-
tact area. If the cylinders are unequal, the contact area is not truly rectangular. Nevertheless, the plane
contact is a reasonable assumption. Under a normal load, w, the “contact patch” will have width of
2b. In the absence of lubricant, the normal load is parabolically distributed over this area. The half-
width of contact and the maximum Hertzian contact pressure are functions of the load per unit
length, the equivalent curvature radius, R, and the equivalent elastic modulus, E. The

Hertzian predictions of mean pressure, the magnitude and location of the maximum shear
stress, as well as the normal approach of the centers are listed in Table 1.
CIRCULAR CONTACT
The contact between two spheres forms a circular region whose diameter is 2a. The radius of
the contact and the maximum pressure in terms of the load, radii of the spheres, and elastici-
ty modulus are given in Table 1 along with mean pressure, maximum shear stress, maximum
tensile stress, and the normal approach of the center.
ELLIPTICAL CONTACT
The geometry of an elliptical contact is shown in Figure 1. The elliptic parameter k is defined
as the ratio of the ellipse semimajor axis a to that of semiminor axis b. In general, the ellipti-
cal parameter requires solving the first and the second elliptical integrals. The approximation
of the elliptical parameter and the integrals can be used to simplify the expression which is
related to the radius ratio.2 The definition and the approximation equations are listed in Table
2. These approximations are valid for the range of 1 ≤ Ry/Rx≤ 100, or 1 ≤ κ ≤ 18.

The radii of the elliptical contact, a and b, as well as the maximum Hertzian pressure, pH, are
functions of several parameters such as load, equivalent radius of the bodies, and the elasticity mod-
ulus, as well as the elliptic parameter and the elliptic integral. The appropriate equations are listed in
Table 1. The contact deformation at the center of the contact is also provided in Table 1.
ELASTOHYDRODYNAMIC LINE CONTACT

FILM SHAPE AND PRESSURE DISTRIBUTION
A typical film shape and pressure distribution of elastohydrodynamic lubrication (EHL) is shown
in Figure 3. Generally, EHL pressure distribution closely resembles the dry Hertzian contact with
the major exception of a pressure build-up in the inlet region and a pressure spike in the exit region.
Existence of the sharp pressure spike accompanied by a film constriction at the exit region are
important characteristics of the elastohydrodynamic lubrication regime.
Several trends in EHL may be noted. First, increasing speed or decreasing load tend to increase
the magnitude of pressure spike and move its location towards the inlet region. Under very heavy
loading, the pressure spike tends to decrease and eventually vanish, i.e., the pressure profile
approaches that of the dry Hertzian. In EHL applications, both the maximum Hertzian contact
pressure and the pressure spike are important parameters. Although the pressure spike is very nar-
row, its occurrence is very important since it may produce high subsurface stresses that directly
affect the rolling element bearing fatigue life.
The minimum film thickness at the film constriction compared to surface roughness dictates
whether the lubrication film is thick enough to protect the surfaces. The central film thickness
(essentially the parallel central region) is also a useful parameter in engineering design. The film
thickness is reduced by starvation of the lubricant and by inlet heating as discussed in sections on
“Starvation” and “Thermal Correction.”
The appropriate EHL equations can be conveniently grouped in terms of the following dimen-
sionless parameters:

Copyright
FIGURE 1997shape
3 ©Film and pressure
CRC Press, LLC. distribution of line contact.
where the viscosity–pressure coefficient is defined as
In nonconformal contacts, it is important to include the variation of viscosity with pressure.

There are two general relationship. The Barus viscosity–pressure relation is
The typical values of viscosity-pressure coefficient a for several lubricants are listed in Table
3.3 The other relation due to Roelands4 is given below:
The typical value for z is 0.6, S0 is 1.1 and a is 5.1 × 10-9

The EHL formulae reported in this chapter are based on Barus’ equation unless otherwise spec-
ified.
REGIMES OF FLUID FILM LUBRICATION

Many expressions for evaluating EHL film thickness are available in the literature. These are
obtained using curve fitting techniques to the numerical solutions of the governing equations that
involve the Reynolds equation coupled with surface deformation. These expressions, however, only
apply to a particular range of operation conditions and cannot be extrapolated into different regimes.
It is, therefore, necessary to define the regimes for appropriate usage of the film thickness expressions.
Referring to Figure 4, the following regimes may be defined:5
• Rigid-isoviscous, load is not high enough to produce either an appreciable viscosity change or elas-
tic deformation of contact surfaces
• Rigid-viscous, significant viscosity increase occurs due to high pressure but the elastic deformation
of contact surfaces is negligible
• Elastic-isoviscous, elastic deformation of contact surfaces is quite large compared to the film thick-
ness but the viscosity change due to pressure is negligible
• Elastic-viscous,6 viscosity changes due to pressure and elastic deformation of contact surfaces
play important roles. This is the regime of “full” EHL
FILM THICKNESS FORMULAE

The following dimensionless groups conveniently categorize the appropriate regime:

Film thickness formulae for the above-mentioned regimes are listed in Table 4.
PRESSURE SPIKE FORMULAE

Pressure spike amplitude and its locations are also determined by curve fitting the results of numeri-
cal simulations. Data which were used in curve fitting covered a wide range of operating parameters
with dimensionless load W varying from 0.2045 × 10-4, dimensionless speed U varying from 0.1 × 10-11
tp 5.0 × 10-11, and values of dimensionless materials parameter G of 2504, 5007, and 7511. One
must check to make certain that these restrictions are satisfied for a given application.
The pressure spike magnitude and its location are determined from the following expressions,7

FIGURE 4 Lubrication regimes of line contact.4 (From Roelands, D.J.A., Correlational

Aspects of the Velocity-Temperature-Pressure Relationship of Lubrication Oils, Druk, V.R.B.,
Groningen, Netherlands, 1966.)
Pressure spike location is
The center of pressure (the location of the center of pressure indicates the position at
which the resulting force acts) is given by:
Another form of minimum film thickness expression is also available,7
In dimensional form where w is the load-per-width, minimum film thickness is

The central film thickness is
ELASTOHYDRODYNAMIC ELLIPTICAL CONTACT

The characteristic film shape and pressure distribution of an elliptical EHL is similar to that of
the line contact. Some typical pressure and film thickness profiles predicted by the EHL theo-
ry are shown in Figure 5.8 The maximum Hertzian contact pressure, pressure spike, and mini-
mum film thickness, as well as central film thickness are of interest.
FIGURE 5 Typical contour plot of film thickness (left) and pressure profile (right) for a cir-
cular contact.8
In order to show the different regimes of lubrication problems, the dimensionless parameters
defined in Equations 5 to 9 are used. The four regimes of rigid-isoviscous, rigid-viscous, elastic-iso-
viscous and elastic-viscous are illustrated in Figure 6.9
FILM THICKNESS FORMULAE
To determine the appropriate regime, the following dimensionless parameter groups are defined as:
Film thickness formulae in these different regimes are summarized in Table 4 and Table 5.
The minimum film thickness for more general consideration of the velocity vector is:14

FIGURE 6 Lubrication regimes of elliptical contact.8 (a) k = 111; (b) k = 1; (c) k = 3; (d) k = 6.
where

FIGURE 6 (Continued)
and


where, u and v are mean velocities in x and y direction, respectively; θ = tan-1 (u/ν). If pure
rolling or pure sliding exists, θ = 0 and ν = 0.
STARVATION
Reduction of film thickness due to starvation for a line contact is shown in Figure 7. For
starved circular contacts, the film thickness formula is:15,16
where subscript s refers to starved boundary condition; subscript F denotes flooded contact m
is the dimensionless distance of the inlet meniscus from the center of the contact; m* is the
dimensionless inlet distance required for achieving flooded conditions:
D, n, and c for different regimes are listed in Table 6.
FIGURE 7 Influence of starvation on film thickness predicted by numerical simulation.

Parameters hstarved and hflooded refer to the starved film thicknesses, respectively. The distance from
the inlet meniscus to the edge of Hertzian boundary is denoted by Xj.19
THERMAL CORRECTION
For a line contact, film thickness reduction due to viscous heating of the lubricant at the con-
junction inlet can be estimated by a thermal correction factor as

where the thermal correction factor Ct is17
where
ur is rolling velocity, m/s; S is slide-roll ratio; Kf is the thermal conductivity of the lubricant,
W/(m ⋅ K).
Reduction of film thickness due to inlet shear heating can be estimated from Figure 8,18
which is based on the following empirical viscosity–temperature relation.
FIGURE 8 Thermal correction factor. Parameter µo denotes the viscosity under the ambient con-
dition and Kf is the lubricant thermal conductivity. With a known temperature-viscosity coefficient, β,
the dimensionless thermal parameter, Lm, and the thermal reduction factor, φf, are easily evaluated.18,19
Parameter L* is simply

PARTIAL-FILM EHL
Figure 919 illustrates full-film and partial-film elastohydrodynamic lubrication. Partial-film EHL
is the regime where average film thickness becomes less than three times the composite sur-
face roughness, h < 3σ. For determining partial-film EHL performance, surface roughness
parameters required for each surface include: (1) σ, root mean square of surface roughness; (2)
surface roughness height distribution function; (3) λ0.5x, λ0.5y, 50% correlation lengths of sur-
face roughness in x and y directions; (4) autocorrelation function of roughness.
FIGURE 9 Full-film and partial-film lubrication.19
Typical contact area patterns for oriented rough surfaces are shown in Figure 10.20
Parameter γ is used to describe the surface pattern of the roughness.
where λ0.5x and λ0.5y are correlation lengths at which the autocorrelation function of the profile
is 50% of the value at the origin. The autocorrelation function is a measure of the wave length
structure of a surface profile, defined as follows:
where λ is the correlation length; δ is the height function along the x direction; and Rx(λ) is
the autocorrelation function in the x direction.
The surface roughness correction factor is defined as
Effect of surface roughness on the average film thickness of EHL contacts under pure
rolling condition is shown in Figure 1121 where Λ is film parameter, Λ = hsmooth/σ.
TRACTION
In EHL, as in all lubrication mechanisms, surface traction is present. In pure rolling, the rolling
traction is FR. When sliding occurs, a sliding traction, FS, will be present. The total traction force
on faster and slower surfaces will be
where “+” is for the faster surface and “-” is for the slower surface.

FIGURE 10 Contact pattern of oriented rough surfaces: left, transverse (γ < 1); center,
isotropic (γ = 1); and right, longitudinal (γ = 1).19,20
FIGURE 11 Effect of surface roughness on film thickness.19,21 PH/E = 0.003; pure rolling; G
= 3333; σ/R = 1.8 × 10-5.
Typical traction curves measured experimentally at various mean contact pressures are shown
in Figure 12. Rolling traction is much smaller than sliding traction, except for pure rolling. In
the low-slip region, traction increases almost linearly as slip increases. If the lubricant is assumed
to behave as a Newtonian fluid, this linear trend persists over large slips. However, experimental
measurements show that the traction curve rises linearly from pure rolling (zero traction) and
reaches a plateau at a certain slip ratio in the so-called nonlinear isothermal region shown in
Figure 12. In this region, the linearly viscous (Newtonian) constitutive equation for the lubricant
is no longer valid. In the so-called thermal region, traction tends to drop with increasing slip.
This trend can only be predicted if the model properly incorporates non-Newtonian effects with
thermal consideration. One example of the traction coefficient predicted, using Bair-Winer’s
constitutive equation22 with its comparison to experimental data, is shown in Figure 13.23. The
interested reader may refer to References 23 and 24 for the details of the formulation of the
governing equations for generalized non-Newtonian formulation including thermal effects and

FIGURE 12 Experimental traction curve under various mean contact pressures, illustrating
the linear, nonlinear isothermal, and thermal traction regimes.19
numerical solution technique. The effects of load, speed, and inlet temperature on traction
coefficient curves are illustrated in Figure 14. These trends are important in predicting the
trend of traction under various operating conditions. For example, increasing the mean con-
tact pressure tends to increase the traction coefficient, whereas increasing speed results in a
reduction of friction.
FIGURE 13 Comparison of thermoelastohydrodynamic traction coefficient using the Bair-

Winer’s constitutive equation and experimental results (W = 5.5185 × 10-5, U1 = 2.8 m/s, G =
5152, τo = 1.4 × 107 N/m2, β = 0.05).23 The experimental results are taken from a research
report published by Zhang et al. at the Twente University of Technology 1983. (From
Khonsari, M.M. and Hua, D.Y., J. Tricol., Trans. ASME, 116(1),37–46, 1994. With permission.)

FIGURE 14 Effects of load, speed, and inlet temperature on the traction curve.
EXAMPLES
LINE CONTACT
Consider a cylindrical roller of 40 mm diameter and 30 mm length contacting a cylinder of 120
mm diameter which rotates at 1000 rpm. The load on the roller is 3000 N. The viscosity of the
lubricant at ambient pressure and room temperature is 0.04 N ⋅ s/m2. The pressure viscosity
coefficient is 2.1 × 10-8m2/N. The two surfaces are steel with an elastic modulus of 2.08 × 1011
N/m2 and Poisson ratio of 0.3.
Geometry of contact
From Equation 1, the equivalent radius is
The equivalent elastic modulus is defined by Equation 4. As the material is the same for the
two surfaces,
For pure rolling, the rolling velocity is

Dry contact
From Table 1, the half-width of Hertzian contact is
Maximum Hertzian contact pressure is
Mean contact pressure is
Maximum shear stress is
The location of τmax is at x = 0 and z = 1.02 × 10-4m (refer to Table 1).
Regime of lubrication
Refer to Table 4 and Equations 5 through 9. Calculating the dimensionless parameters yields
the following results:
Dimensionless velocity
Dimensionless material parameter
Dimensionless load
To determine the regime of lubrication, from Table 4 the dimensionless viscosity parameter is

The dimensionless elasticity parameter is
From Figure 4, this is within the regime of elastic-viscous and the dimensionless film thick-
ness parameter is
Film thickness
From Table 4, the minimum film thickness is
In dimensional form, we get the film thickness as
If the alternative equation (20) is used, the minimum film thickness is
and from Equation 22, the central film thickness is
Starvation effect
Assuming the distance from inlet oil meniscus to inlet edge of Hertzian boundary, xi is 2b,
From Figure 7, the reduction of film thickness is about 0.8.
Pressure spike
From Equation 17, the dimensionless pressure spike amplitude is
The dimensional pressure spike is
Dimensionless distance of the spike from the center of Hertzian contact by Equation 18 is

The dimensional distance from the center of the pressure to the center of Hertzian contact is
Consider the same rolling velocity and load, but with slip of 0.15 between two surfaces.
Estimate the thermal reduction in the film thickness. Assuming β = 0.05 and Kf = 0.12 W/(m
⋅ K), from Equation 37
Then using Equation 34, thermal correction factor Ct is
ELLIPTICAL CONTACT
Consider a steel roller of 40 mm diameter with a 50 mm crown radius (surface 1) contact with
80 mm diameter steel cylinder (surface 2). Rotation speed of the roller is 1500 rpm and the
cylinder is 1000 rpm. The load is 50 N. Viscosity of the lubricant is 0.028 N ⋅ s/m2. The visco-
pressure parameter is 1.45 × 10-8 m2/N. Equivalent elastic modulus for steel is 2.3 × 1011 N/m2.
Geometry of contact
Radii of the two surfaces are:
Velocities of the two surfaces are:
Rolling velocity is
From Equations 1 and 2, the equivalent radii are

From Equation 3, the curvature sum in x and y direction is,
From Table 2, the elliptic parameter is
Dry contact
From Table 2, the second kind of elliptic integral is
From Table 1, the elliptic contact radius is:
From the definition of the elliptic parameter in Table 2
The maximum Hertzian contact pressure is
the mean pressure is
Regime of lubrication
Appropriate dimensionless parameters are:
Dimensionless velocity
Dimensionless material parameter
Dimensionless load

To determine the regime of lubrication (cf. Table 4), the dimensionless viscosity parameter is
The dimensionless elasticity parameter is
From Figure 6 (d), it is in the elastic-viscous regime.
Film thickness
From Table 4, the dimensionless minimum film thickness parameter is
From Table 4, the dimensionless minimum film thickness is
In dimensional form the minimum film thickness is
The dimensionless central film thickness parameter is
The dimensionless central film thickness is
In dimensional form, the central film thickness is
Starvation effect
From Equations 31 and 32 and Table 6, m* for minimum film thickness is

Assuming dimensionless inlet distance m = 1.5, the reduction of minimum film thickness is
m* for the central film thickness is
Reduction of the central film thickness for m = 1.5 is
REFERENCES
1. Hamrock, B.J. and Dowson, D., Minimum Film Thickness in Elliptical Contacts for Different
Regimes of Fluid Film Lubricants, NASA Tech. Pap., No. 1342, 1978.
2. Brewe, D.E. and Hamrock, B.J., Simplified solution of elliptical contact deformation between two
elastic solids, J. Lubr. Technol. Trans. ASME, 99(4), 485–487, 1977.
3. Jones, W.R., Johnson, R.L., Sanborn, D.M., and Winer, W.O., Viscosity-pressure measurements of
several lubricants to 5.5 × 108 N/m2 (8 × 104 psi) and 149°C (300°F), Trans. ASLE, 18(4),
249–262, 1975.
4. Roelands, D.J.A., Correlational aspects of the viscosity-temperature-pressure relationship of lubri-
cating oils, Druk, V.R.B., Groningen, Netherlands, 1966.
5. Hooke, C.J., The elastohydrodynamic lubrication of heavily loaded contacts, J. Mech. Eng. Sci., 19(4),
149–156, 1977.
6. Dowson, D. and Higginson, G.R., Elastohydrodynamic Lubrication, Pergamon Press, Oxford, 1977.
7. Pan, P. and Hamrock, B.J., Simple formulae for performance parameters used in elastohydrody-
namically lubricated line contacts, J. Tribol., Trans. ASME, 111(2), 246–251, 1989.
8. Venner, C.H., Multilevel Solution of the EHL Line and Point Contact Problems, Ph.D. thesis,
University of Twente, Enschede, Netherlands, ISBN 90-9003974-0, 1991.
9. Esfahamian, M. and Hamrock, B.J., Fluid-film lubrication regimes revisited, STLE Tribol. Trans.,
34(4), 618–632, 1991.
10. Brewe, D.E., Hamrock, B.J., and Taylor, C.M., Effects of geometry on hydrodynamic film thick-
ness, J. Lubr. Technol., Trans. ASME, 101(2), 231–239, 1979.
11. Jeng, Y.R., Hamrock, B.J., and Brewe, D.E., Piezoviscous effects in nonconformal contacts lubri-
cated hydrodynamically, ASLE Trans., 30(4), 452–464, 1987.
12. Hamrock, B.J. and Dowson, D., Elastohydrodynamic lubrication of elliptical contacts for materi-
als of low elastic modulus, I. Fully flooded conjunctions, J. Lubr. Technol., Trans. ASME, 100(2),
236–245, 1978.
13. Hamrock, B.J. and Dowson, D., Isothermal elastohydrodynamic lubrication of point contacts, III.
Fully flooded results, J. Lubr. Technol., Trans. ASME, 99(2), 264–276, 1977.
14. Chittenden, R.J. et al., Theoretical analysis of isothermal EHL concentrated contacts: I and II,
Proc. R. Soc., London, Ser. A, 387, 245–294, 1985.

15. Hamrock, B.J. and Dowson, D., Isothermal elastohydrodynamic lubrication of point contacts, IV.
Starvation results, J. Lubr. Technol., Trans. ASME, 99(1), 15–23, 1977.
16. Hamrock, B.J. and Dowson, D., Elastohydrodynamic lubrication of elliptical contacts for materi-
als of low elastic modulus, II. Starved conjunctions, J. Lubr. Technol., Trans. ASME, 101(1),
92–98,1979.
17. Gupta, P.K. et al., Visco-elastic effects in Mil-L-7808 type lubricant, I. Analytical formulation,
STLE Tribol. Trans., 34(4), 608–617, 1991.
18. Cheng, H.S., Calculation of elastohydrodynamic film thickness in high-speed rolling and sliding
contacts, Rep. No. MTI-67TR24, Mechanical Technology, Latham, NY, 1967.
19. Cheng, H.S., Elastohydrodynamic lubrication, CRC Handbook of Lubrication, Vol. 2, CRC Press,
1984, 139–162.
20. Patir, N. and Cheng, H.S., Effect of surface roughness on the central film thickness in EHD con-
tacts, Elastohydrodynamic and Related Topics, Proc. 5th Leeds-Lyon Symp. Tribology, Institution of
Mechanical Engineers, London, 1978, 15–21.
21. Patir, N. and Cheng, H.S., An average flow model for determining effects of three dimensional
roughness on partial hydrodynamic lubrication, J. Lubr. Technol., Trans. ASME, 100(1), 12–17,
1978.
22. Bair, S. and Winer, W.O., A rheological model for EHL contacts based on primary laboratory data,
J. Lubr. Technol., Trans. ASME, 101, 258–265, 1979.
23. Khonsari, M.M. and Hua, D.Y., Thermal elastohydrodynamic analysis using a generalized non-
Newtonian formulation with application to Bair-Winer constitutive equation, J. Tribol., Trans.
ASME, 116(1), 37–46, 1994.
24. Khonsari, M.M. and Hua, D. Y. Generalized non-Newtonian elastohydrodynamic lubrication,
Tribol. Int., 26, 45–411, 1994.

59 High Pressure Viscosity and EHL

Pressure-Viscosity Coefficients
Richard S. Fein
CONTENTS
High Pressure Viscosity................................................................................................................640

EHL Pressure-Viscosity Coefficients.........................................................................................640
Lubricant Focus in EHL..............................................................................................................642
Nomenclature.................................................................................................................................643
References.......................................................................................................................................644
“Fundamentals of Elastohydrodynamic Lubrication” (Chapter 58) points out that classically

the Barus equation is used to represent the relation of dynamic viscosity ηt,P at temperature
t and gauge pressure P to dynamic viscosity ηt,o at 0 gauge pressure as
where α is the isothermal pressure coefficient of viscosity (or viscosity-pressure coefficient).

However, the isothermal variation of viscosity with pressure is more closely represented by
the Roelands equation1 for dynamic viscosity in units of centipoise (mPa ⋅ s)
where Z is a constant characteristic of the liquid and C is a numerical constant dependent on

the pressure units. Z is termed “Roelands’ Z” or the “viscosity–pressure index.” It may be
considered independent of temperature (i.e., it usually has a negligibly small temperature vari-
ation that increases with Z).2
Equations 1 and 2 can be solved for α as
where ηt,o is in centipoise.1 Equation 3 shows that α is a function of pressure and temperature, since
viscosity ηt,o at temperature t and 0 gauge pressure is a strong function of temperature.
Table 1 gives representative values of Roelands’ Z, which fall in the range of about 0.45 to 0.8
for most lubricants. Experimental a values for P → 0 can be used to estimate Z or vice versa since
0-8493-3904-9/97/$0.00+$.50
High Pressure Viscosity and EHL Pressure-Viscosity Coefficients 639
Units for α in Equation 4 are consistent with C and make αC dimensionless.

Z for mineral oils and other hydrocarbons can be estimated fairly accurately from the dynamic
viscosities at 40 and 100°C (i.e., η40,0 and η100,0 in centipoises) using a correlation from Roelands1

This correlation also gives good estimates for synthetic hydrocarbons and some polymers. It
also appears to give good estimates for diesters and polyolesters and for additized (oils with
additives) hydrocarbon and ester-base oils.
HIGH PRESSURE VISCOSITY

Equations 1 and 2 give equivalent results at low pressure, with deviations of less than about
1% to 30 MPa (4300 psi), 5% to 55 MPa (8000 psi), or 10% to 75 MPa (11,000 psi). Thus, vis-
cosity calculations for pressurized lubricant systems or hydraulic systems may use either equa-
tion equivalently at low pressures, but should use Equation 2 at high pressures.
EHL PRESSURE-VISCOSITY COEFFICIENTS

EHL equations commonly use a Barus type α that is a value equivalent to
Thus, strictly, αEHL should be used in the simplified equations given in the EHL and Gears sec-
tions.
Figure 1 shows this EHL viscosity-pressure coefficient αEHL as a function of the dynamic
viscosity at atmospheric pressure ηt,o and Roelands’ Z. This figure summarizes an extensive
table calculated by Roelands2 and is adequate for estimating αEHL for most practical purposes.
Accurate EHL calculations are usually limited by inaccurately known lubricant temperature.
Example
Given ISO 32 paraffinic mineral oil with API gravity of 31.8 and kinematic viscosities at 40°C
and 100°C of 32 and 5.4 mm2/s (cSt).
First, calculate density at 15.6°C from the API gravity definition.2
Since the density of water at 15.6°C is 1.000 g/ml, the density at 15.6° is 0.867 × 1.000 g/ml
= 0.867 g/ml.
Calculate dynamic viscosity at 40 and 100°C by using a correlation for expansion coeffi-
cient ε such as given in Equation 5 of the chapter “Typical Lubrication Oil Properties”
(Chapter 1) to estimate the densities at 40° and 100°C.

FIGURE 1 EHL viscosity–pressure coefficient.1
and
and ρ100,o = 0.812 g/ml. Since dynamic viscosity ηt,o cP = vt,o ρt,o, η40,o = 32 cSt × 0.850 g/ml
27.2 cP (mPa ⋅ s) and η100,o = 5.4 cSt × 0.812 g/ml = 4.38 cP.
Estimate Roelands’ Z using Equation 5 by first calculating H40,o and H100,o as
and

A. Find viscosity at 100 MPa and 65° C

Use Equation 1 from the “Petroleum Oil Property Tables” section to calculate kinematic vis-
cosity at 65°C (338.1K) and the previously used expansion coefficent calculation to calculate
ρ65,o = 0.833 g/ml.
Substitute v40,o = 32 cS, and T = (40 + 273.1) = 313.1 K, and v100,o = 5.4 cS, and T = (100 +
273.1) = 373.1K and solve the resulting pair of equations for A and B.
Use A and B in the equation to find the kinematic viscosity at 65°C and convert to dynam-
ic viscosity.
Substitute η65,0, P and Z into Equation 2.
B. Find αEHL at 65°C.

Enter Figure 1 with η65,o = 10.8 cP, the viscosity at 1 atmosphere, and read αEHL = 18 GPa-1 corre-
sponding to Z = 0.70.
LUBRICANT FOCUS IN EHL

EHL film-thickness equations as shown for “Gear Lubricant Selection and Application” (Chapter 67)
and in “Fundamentals of Elastohydrodynamic Lubrication” (Chapter 58) commonly express the
“hard EHL” or “elastic-viscous” film thickness as a function of dimensionless parameters for mate-
rial G = αE′, velocity U = ηt,ou/E′R, and load W. However, both G and U depend on the viscosity
at atmospheric pressure, since Equation 3 and Figure 1 show that α varies with ηt,o. For calculation
purposes, it often is convenient to express U in terms of a viscosity–speed parameter Vvs defined as
UG.

Vvs is derived from U by multiplying numerator and denominator by α (where it is under-

stood that α = αEHL).
Substitution of Equation 6a into “hard EHL” film-thickness equations puts almost all of
the film-thickness viscosity dependence in terms of Vvs and leaves a negligible variation in G
raised to a small exponent.
Example to illustrate procedure

Consider the central film thickness equation for gears given in the “Wear Risk Evaluation” sub-
section of Chapter 67, which in terms of Vvs becomes
Note that almost all the viscosity dependence is in the product αηt,o commonly termed the
“lubricant parameter.” Similarly, referring to Table 5 of the “EHL” section, the minimum film
thickness of elliptical contact in the E-V (“hard EHL”) regime is
NOMENCLATURE
α = Isothermal viscosity–pressure coefficient, pressure-1
αEHL = Isothermal viscosity-pressure coefficient for EHL film thickness equations, pressure-1
αηt,o = αEHLηt,o= “lubricant parameter” (α here implies αEHL), s
ηt,P = Dynamic viscosity at temperature t and gauge pressure P, cP (mPa ⋅ s)
ηt,o = Dynamic viscosity at temperature t and atmospheric pressure, cP (mPa ⋅ s)
νt,P = Kinematic viscosity at temperature t and gauge pressure P, cS (mm2 ⋅ s-1)
νt,o = Kinematic viscosity at temperature t and atmospheric pressure, cS (mm2× s-1)
ρt,o = Density at temperature t and atmospheric pressure, g ⋅ ml-1)
C = Constant dependent on pressure units (196.1 MPa or 28,440 psi)

E′ = Dffective elastic modulus, pressure

G = Dimensionless materials parameter = αE′
Hc,Hmin = Dimensionless central and minimum film thickness
κ = Dimensionless ellipticity parameter
P = Dauge pressure, pressure units for dimensionless P/C
R = Equivalent radius of curvature in rolling direction, length
Rx = Equivalent radius of curvature when rolling in x-direction, length
t = Temperature, C
T = Temperature, K
u = Mean surface velocity in rolling direction, length ⋅ s-1
U = Dimensionless speed parameter = ηt,ou/E′R
Vvs = Dimensionless viscosity-speed parameter = U ⋅ G
W = Dimensionless load parameter
Z = Constant dependent on fluid, “Roelands’ Z” or “viscosity-pressure index”
REFERENCES
1. Roelands, C.J.A., Correlational Aspects of the Viscosity-Temperature-Pressure Relationship of

Lubricating Oils, Doctor’s thesis, Technical High School of Delft, Druk, V.R.B., Groningen,
Netherlands, 1966.
2. Fein, R.S., Liquid lubricants, in ASM Handbook, Vol. 18, Friction, Lubrication, and Wear Technology,
Blau, P.J., Ed., ASM International, Metals Park, OH, 1992, 81–88.
3. Jones, W.R., Johnson, R.L., Sanborn, D.M., and Winer, W.O., Viscosity-pressure measurements of
several lubricants to 5.5 × 108 (8 × 104 psi) and 149 C (300 F), ASLE Trans., 18(4), 249–262, 1975.
4. Gaungteng, B. and Spikes, H.A., Boundary film formation by lubricant base fluids, Tribol. Trans.,
39(2), 448–454, 1996.
5. Sharma, S.K., Hõ245;glund, E., and Hamrock, B.J., Rheology of perfluoropolyalkylether fluids in
elastohydrodynamic lubrication, Tribol. Trans., 38(4), 769–780, 1995.

60 Rolling Bearings Performance and

Design Data*
Thomas Jendzurski and Charles A. Moyer

CONTENTS
Selection of Bearing Type.............................................................................................................645
Load-Carrying Capacity and Life.................................................................................................646
Friction............................................................................................................................................660
Internal Clearances.........................................................................................................................661
Lubrication......................................................................................................................................663
Speed and Temperature Limits.....................................................................................................665
References.......................................................................................................................................668
Applications of ball and roller bearings have continually grown during the 20th century and
particularly in the past few decades. Low friction, low cost, low lubrication requirements, and
ready availability have led to a wide variety of designs which find use in ever-broadening
ranges of application.
Because of the complexity of their selection and use, only a few guidelines and some
basic data can be given here. In addition to other references listed at the close of this section,
catalogs from bearing manufacturers are recommended as sources of a wide range of useful
details on dimensions, performance, and operating limits.
SELECTION OF BEARING TYPE

In considering the type of rolling element bearing to be used in a given application, first
choice is commonly given to the single-row, deep groove ball bearing shown in Figure 1. This
type offers reasonable radial and thrust load capacity, wide speed range, and ease of lubrica-
tion. The other ball bearing types shown are to be considered if there is a need for higher
load capacity, self alignment, or self-contained lubrication.
Roller bearings of the types shown in Figure 2 are usually used for applications requiring
exceptionally large load capacity. While providing greater fatigue life than ball bearings of
comparable size, they commonly involve higher cost, greater care in mounting and alignment,
more limited speed range, and the need for better lubrication. For heavy-duty thrust applica-
tions involving slower speeds and possibly high shock loads, the types shown in Figure 3
might be used. Lubrication requirements require careful evaluation since sliding actions are
usually more severe in roller bearings; special cooling and use of extreme pressure additives
in the lubricant are commonly required.
* Much of the text and all of the figures in this chapter have been excerpted with permission from the SKF General Catalog 4000
US, 1991, SKF Industries, Inc., King of Prussia, PA.
0-8493-3904-9/97/$0.00+$.50
Rolling Bearings Performance and Design Data 646
FIGURE 1 Common types of ball bearings.
FIGURE 2 Common types of roller bearings.
FIGURE 3 Roller thrust bearings.
Relative cross-sectional shapes for diameter and width series are given in Figure 4. Table 1 gives
rational for selecting various bearing types.
LOAD-CARRYING CAPACITY AND LIFE

The size of a bearing to be used for an application is selected on the basis of its load-carrying capac-
ity in relation to the life required. The life is denned as the number of revolutions, or operating

FIGURE 4 Graphical representation of the diameter and width series for radial bearings. (From
Metric Ball and Roller Bearings Conforming to Basic Boundary Plans, ANSI/AFBMA Standard 20, Anti-
Friction Bearing Manufacturers Association, Arlington, VA, 1977. With permission.)
time, which the bearing is capable of enduring before the first sign of fatigue flaking on one
of its rings or rolling elements.
BASIC RATING LIFE

The simplest method of life calculation is to use the following ISO or AFBMA basic rating life
equation:
where
L10 = basic rating life, millions of revolutions
C = basic dynamic load rating
P = equivalent dynamic bearing load
p = exponent of the life equation
p = 3 for ball bearings
p = 10/3 for roller bearings
The related values of load ratio C/P and life L10 are set out in the life calculation chart of
Figure 5 and in Table 2. For bearings operating at constant speed it may be more convenient
to deal with a basic rating life expressed in operating hours, using the equation




where
L10h = basic rating, operating hours
n = rotational speed, rpm
Values of L10h as a function of load ratio C/P and speed n can be obtained from the chart
of Figure 5, or in Tables 3 (ball bearings) and 4 (roller bearings).
FIGURE 5 Life calculation chart. (From SKF General Catalog 4000 US, SKF Industries, Inc.,
King of Prussia, PA.)

For use of these relations in selecting a bearing size, it is essential that the required basic
rating life be known for the application. When previous experience is lacking, Tables 5 and 6
for L10h or L10s can be used.2 Table 7 provides some additional bearing design life estimates.3

ADJUSTED RATING LIFE EQUATION

In the life equation
the influence of bearing load on the life of a given bearing is considered. Where rolling bearings are
used in conventional applications, a calculation of the basic rating life L10 is adequate, since the rec-
ommendations regarding requisite life are based on experience and, in fact, consider factors such as
lubrication.
It may, however, be desirable to consider other factors influencing bearing life in more detail. ISO
and AFBMA introduced a revised life equation to this end. This adjusted rating life equation is
where
Lna = adjusted rating life, millions of revolutions (the index n represents the
difference between the requisite reliability and 100%)
a1 = life adjustment factor for reliability

a2 = life adjustment factor for material

a3 = life adjustment factor for operating conditions
A calculation of the adjusted rating life presupposes that the operating conditions are well
denned and that the bearing loads can be accurately calculated, i.e., the calculations should con-
sider the load spectrum, shaft deflection, etc.
For the generally accepted reliability of 90% and for bearing materials to which the C val-
ues correspond, and for normal operating conditions, a1 = a2 = a3 = 1 and the equations for
the basic and adjusted rating lives become identical.2
a1. Reliability factor — this factor is used to determine lives other than the L10 life, i.e., lives
which are attained or exceeded with a greater probability than 90%. Values of a1are given
in Table 8.
a2. Materials factor
1.0 for today’s vacuum-degassed steels.
~0.6 to 10 approximate range for special and premium steels.
a3. Operating conditions and lubrication
1.0 for lubricant film thickness similar to surface roughness.
<1 for DN < 10,000 and for low lubricant viscosity.
>1 for favorable lubrication conditions.
See Figure 6 for an example as to how lubricant film thickness (as the ratio of film thickness
to composite surface roughness) influences bearing life.4 Other operating factors such as tem-
perature, contaminants (liquid or solid), alignment, and surface chemistry may also influence
life. Most bearing manufacturers have detailed programs to help select bearings and make any
necessary lubricant changes to meet various operating conditions.
BASIC STATIC LOAD RATING

The requisite basic static load rating Co can be determined from
where
C0 = basic static load rating
P0 = quivalent static bearing load
s0 = static safety factor

FIGURE 6 Life factor as function of lubricant film parameter, A (ratio of film thickness to
composite surface roughness). From Bamberger et al. (1971).4
Guideline values based on experience are given in Table 9 for the static safety factor s0 for ball
and roller bearings for various types of operation and requirements regarding smooth running.
At elevated temperatures, the static load-carrying capacity of bearings is reduced.
Checking the Static Load-Carrying Capacity

For dynamically loaded bearings which have been selected with reference to life, it is advisable,
where the equivalent static bearing load is known, to check that the static load-carrying capac-
ity is adequate using

If the s0 value obtained is less than the recommended guideline value (see Table 9) then a
bearing having a higher basic static load rating should be selected.2
FRICTION
The total resistance to rolling in a bearing is made up of the rolling and sliding friction in the
rolling contacts, in the contact areas between rolling elements and cage as well as in the guid-
ing surfaces for the rolling elements or the cage, the friction in the lubricant, and of the slid-
ing friction of rubbing seals in the case of sealed bearings.
ESTIMATION OF FRICTIONAL MOMENT

Under certain conditions (bearing load P ≈ 0.1 C, good lubrication, normal operating condi-
tions) the frictional moment can be calculated with sufficient accuracy using a constant coeffi-
cient of friction µ from the following equation
where
M = frictional moment, Nmm
µ = coefficient of friction for the bearing (Table 10)
F = bearing load, N
d = bearing bore diameter, mm
More accurate calculations of bearing friction are available. See Reference 2 for all bearing
types and 5 and 6 for tapered roller bearings. Table 111 gives friction values for both starting
and running conditions under radial and thrust loading.
Sealed Bearings
Where bearings are fitted with rubbing seals, the frictional losses arising from the seal may
exceed those arising from the bearing itself.
The frictional moment M3 of the seals for a bearing which is sealed at both sides can be
estimated using the following empirical equation
where
M3 = frictional moment of seals, Nmm
d = bearing bore diameter, mm
D = bearing outside diameter, mm
f3 = a factor (Table 12)
f4 = a factor (Table 12)
The total frictional moment of a bearing sealed at both sides with rubbing seals thus becomes

Where the bearing is sealed at one side only, M3/2 should be used in the equation instead of M3.2
INTERNAL CLEARANCES
ISO 5753 standard internal clearance ranges are given in Tables 13 through 15.7 Coordination of
quality control procedures with bearing suppliers is recommended to ensure qualifying procedures
for internal clearance.1


Clearances within bearings when they are shipped are usually of Class CO. This normal
range results in nearly zero internal clearance within the bearing when mounted on a shaft with
usually recommended fits and operating under normal conditions. C3 internal clearance is a
rather common choice for electric motors and similar equipment operating at moderate speeds
with grease lubrication. This increased clearance gives more tolerance for differential thermal
expansion of the shaft and for misalignment. With heavier press fits and other demanding con-
ditions, clearances looser than C3 may be necessary, while tighter than normal C2 clearance
might be employed for closer location of a shaft.
LUBRICATION
THE FUNCTIONS OF LUBRICATION2
Rolling bearing lubricants serve the following primary functions:
1. To lubricate the sliding contact which exists between the retainer and other parts of the bearing.
2. To lubricate all true rolling contacts elastohydrodynamically.
3. To lubricate that part of the contact between the raceways and rolling elements which is not true
rolling.
4. To lubricate the sliding contact between the rollers and guiding elements in roller bearings.

Secondary functions are:
5. To protect the highly finished surfaces of rolling elements and rings from corrosion.
6. To help seal housings against foreign matter (done with grease pack).
To enable lubricant to perform satisfactorily and provide a lubricant film giving a lambda
ratio greater than 1.0, bearing users should be aware of critical operating ranges, as indicated
in Table 16.1 As extreme operating conditions are approached, the bearing manufacturer
should be consulted to advise on proper lubrication, filtration, or replacement requirements for
the lubricant whether fluid or grease.
As an example, a replenishment scheme for grease in bearings on horizontal shafts, normal
loads, and lubrication is given below and the relubrication intervals are given in Figure 7.
Variations in temperature, grease aging, and bearing size (d = bearing bore diameter) may
require interval changes, since tf is a rough guideline recommendation.2

REPLENISHMENT
By adding small quantities of fresh grease at regular intervals, the used grease in the bearing arrange-
ment will only be partially replaced. Suitable quantities to be added can be obtained from
where
Gp = grease quantity to be added when replenishing, g
D = bearing outside diameter, mm
B = total bearing width (for thrust bearings use total height H), mm
SPEED AND TEMPERATURE LIMITS

Speed limits for each type of bearing are given in most bearing catalogs, and Table 17 shows typical
values. Typical operating speed ranges in Figure 8 give another indication of limiting speeds. At

FIGURE 7 Guideline for regreasing intervals at 70°C. Intervals should be halved for every 15°C
increase above 70°C. Conversely, intervals can be approximately doubled for 50° C and lower.2
speeds above the normal limits, factors such as overheating, centrifugal forces on rolling ele-
ments, centrifugal expansion of components, and centrifugal throw-off of lubricant may result
in early failures.1
The normal limits in Table 17 are not absolute values, but simply reflect speeds below which
ordinary lubricants and lubrication will give satisfactory performance with standard bearings.
Special attention to bearing components and lubrication will enable performance at speeds well
beyond these typical catalog limits. The highest speeds are indicated for operation under labo-
ratory conditions, and these are approached in various aerospace applications. Use of low-den-
sity ceramic balls has also enabled operation at higher speed limits as indicated in appropriate
catalogues.
The upper temperature limit for ball and roller bearings depends not only on the materials
of the bearing components, but also on the lubricants and auxiliary materials used in cages and
seals. Table 18 gives some typical temperature limits. As with speed limits, these are not absolute
values and special reference should be made to bearing manufacturers and lubricant suppliers
for temperatures approaching any of these approximate limits. Additives in lubricants and heat
treatment of bearing seals, for instance, can have a significant influence.

FIGURE 8 Typical rolling-element bearing operating speed ranges.

REFERENCES
1. Derner, W. J. and Pfaffenberger, E. E., Rolling element bearings, in CRC Handbook of Lubrication,
Vol. 2, Booser, E. R., Ed., CRC Press, Boca Raton, FL, 1984, 495–538.
2. SKF General Catalog 4000 US, SKF Industries, Inc., 1100 First Avenue, King of Prussia, PA
19406–1352, 1991.
3. Anon., Rolling bearing design life, Power Trans. Des., Sept. 1990.
4. Life Factors for Rolling Bearings, Zaretsky, E. V., Ed., Society of Tribologists and Lubrication
Engineers, Park Ridge, IL, 1992.
5. Aihara, S., A new running torque formula for tapered roller bearings under axial load, J. Tribol.,
ASME Trans., 109(3), 1987, 471–478.
6. Witte, D. C, Operating torque of tapered roller bearings, ASLE Trans., 16(1), 1973, 61–67.
7. SKF Bearing Maintenance Handbook, SKF Industries, King of Prussia, PA, 1991.
8. BMA Standards for Ball and Roller Bearings and Balls, Bearing Manufacturers Association, Inc.,
Washington, D.C.
9. Ball and Roller Bearings, Eschmann, P., Hasbargen, L., and Weigand, K., Eds., John Wiley & Sons,
New York, 1985.
10. Harris, T. A., Rolling Bearing Analysis, 2nd ed., John Wiley & Sons, New York, 1984.
11. Barden Precision Ball Bearings, Catalog C-10, Barden Corp., 200 Park Ave., P.O. Box 2449,
Danbury, CT 06813–2449, 1992.
12. Cerbec Ceramic Bearing Co., 10 Airport Park Road, East Granby, CT 06026.
13. FAG Bearings, Inc., 118 Hamilton Avenue, P.O. Box 811, Stamford, CT 06904.
14. Link-Belt Bearings, Ball, Roller, Cylindrical, Rexnord Corp., Link-Belt Bearing Operation, 7601
Rockville Rd., Indianapolis, IN 46214, 1992.
15. Timken Bearing Selection Handbook, Timken Company, Canton, OH 44706–2778, 1986.
16. The Torrington Company Service Catalog, Torrington Company, 59 Field St., Torrington, CT
06790, 1988.

61 Journal Bearing Design and Analysis

Michael M. Khonsari
CONTENTS
Nomenclature.................................................................................................................................670
Remarks...........................................................................................................................................675
Acknowledgment...........................................................................................................................679
References.......................................................................................................................................679
This chapter deals with the performance analysis of hydrodynamic journal bearings. The
results presented pertain to the so-called full, plain journal bearing where the angular extent
of the bushing covers 360°. Since the usual arrangement of oil feed grooves often does not
greatly alter the hydrodyanamic action in the load zone, the following information provides
a useful approximation for many other designs. Figure 1 illustrates the geometry of a plain
journal bearing and the nomenclature of the key parameters that are involved.
FIGURE 1 Geometry and nomenclature of a journal bearing.

0-8493-3904-9/97/$0.00+$.50
NOMENCLATURE
cp Lubricant specific heat
C Radial clearance, m (in.)
D Shaft diameter, m (in.)
e Eccentricity, m (in.)
E Power loss, W (in.-lbf/s)
f Friction coefficient
F Friction force, N (lbf)
h Film thickness, m (in.)
J Mechanical equivalent of heat 778 ft-lbf/Btu
L Bearing length m (in.)
N Shaft speed, rpm
Ns Shaft speed, rev/s
P Pressure, Pa (psi)
Ps Supply pressure
Qinlet Inlet flow rate = Qrec+ Qleak
Qleak Leakage flow rate, m3/s (in.3/s)
Qrec Recirculating flow rate, m3/s (in.3/s)
R Shaft radius, m (in.)
U Shaft speed
ε Eccentricity ratio
ρ Density, kg/m3(lbm/in.3)
µ Viscosity, Pa ⋅ s (lbf ⋅ s/in.2 ≡ reyn)
µi Inlet viscosity
The journal bearing is assumed to be steadily loaded and flow is regarded to remain lami-
nar. The fluid is a linearly viscous (Newtonian), incompressible material and the transient
effects are neglected. Under these conditions, a dimensionless form of the Reynolds equation
reduces to the following:
where
The dimensionless film thickness profile is defined as:
where ε = e/C represents the eccentricity ratio and θ denotes the angular coordinate measured
from the maximum film thickness. Parameter Φ is the attitude angle, which is defined as the
angle formed between the line of centers and the load line (see Figure 1).
Once the solution of the Reynolds equation has been obtained, the bearing performance
parameters in Table 1 become available in a very convenient form for use as a rapid design tool.
All parameters listed in the table are dimensionless; their definitions follow.

Journal Bearing Design and Analysis 671



Sommerfeld number:
Leakage flow rate:
Inlet flow rate:
Minimum film thickness:
Friction force:
Power loss:
Temperature rise:

where J is the mechanical equivalent of heat if British units are used. In deriving the above
equation, it was assumed that the oil leaks at the mean temperature, Tmean, between the inlet
and the outlet temperatures, i.e., at (Ti + T0)/2.
REMARKS
1. The above analysis represents an approximate method for including thermal effects in bearings. A
very important parameter which this method neglects is the bearing maximum temperature, TMAX.
The bearing temperature normally increases from the inlet to a maximum value in the vicinity of
the minimum film thickness and tends to drop in the divergent region of the bearing. The bear-
ing peak temperature, TMAX, together with the minimum film thickness, hMIN, must be checked at
the design stage to insure that bearing material failure does not occur. Bearings fail at excessively
high temperatures (≈150°C) when the common Babbitt material deforms plastically under the
local fluid pressures acting on the surface.1 Considerable progress has been made toward under-
standing thermal effects in bearings and also in predictions of bearing performance parameters
that properly take heat effects into consideration.2-4
2. It is reemphasized that Table 1 values bear the assumptions that the fluid is incompressible, lin-
early viscous (Newtonian), and remains laminar. Depending on the bearing size (diameter and
clearance), the operating speed, and the lubricant viscosity, the flow could become turbulent, in
which case the data presented in this chapter would have to be modified. Reference 5 contains an
excellent discussion on the transition to turbulence and the modification that must be made to the
Reynolds equation. Performance charts for cylindrical and pad-type journal bearings with and
without turbulent effects are given in Reference 6.
3. The onset of cavitation, θCAV, could be suppressed altogether if the supply pressure is very large.
The results presented are reasonable for nearly atmospheric to moderate supply pressures.
4. The predicted bearing performance results are based on the flooded inlet condition. That is to say
the amount of supply lubricant is equal to the leakage flow rate. When a bearing operates under
the so-called fully flooded condition, it is presumed that an excess of supply oil will not result in
improvement in the bearing performance — other than possibly its beneficial cooling effect. Many
bearings may operate under the starved conditions where the ratio of QSUPPLY/QLEAK < 1- These
bearings require a careful analysis, including thermal effects with proper consideration for cavita-
tion. The interested reader is referred to References 7 and 8 for a detailed discussion on this sub-
ject.
5. A common design criterion for journal bearing is based on the so-called projected loading PL =
W/(L D). Typical Psi loading for a variety of applications is given in Table 2. The data in this table
should be interpreted as typical mean design pressures and caution must be exercised with regard to
the extreme values listed. For example, a design with a very small PL value may be susceptible to
oil-whip vibration, and an excessively large PL may cause overheating, depending on the severity
of the operating conditions. Last, the bearing material may impose an additional restriction on the
maximum PL. For example, the maximum mean pressure in a tin-base babbitt should not exceed
1000 Psi, whereas a copper-lead alloy bearing can handle 3 to 4 times higher mean pressure.9
Example 1
A large pump has a horizontal rotor weighing 3200 lbf supported on two plain journal bearings,
one on each side of the pump impeller. The specifications of the bearings are as follows.

The lubricant viscosity is: µ = 1.3 × 10-6 reyn (SAE 10 @ inlet temperature of 166°F).
Determine the following items:
a. Equilibrium position of the shaft center and the location of the film rupture
b. Minimum film thickness
c. Location and the magnitude of the maximum pressure
d. Power loss
e. Temperature rise
Solution
The load per bearing is W = 3200/2 = 1600 lbf. From the definition of the Sommerfeld num-
ber we have
Entering Table 1 with L/D = 1, and S = 0.39, we arrive at the following:
a. The equilibrium position of the shaft center is: (ε,Φ) = (0.3, 68.25°). The onset of cavitation
occurs at θCAV= 210°.
b. Minimum film thickness is:
The adequacy of this minimum film thickness must be checked with the minimum allowable film
thickness based on the specified surface finish. Table 3 provides a useful guideline for purpose based
on the surface roughness centerline average, Ra.10,11 The film thickness values in Table 3 are the min-
imum allowable under clean oil conditions without shaft misalignment. Also, it is assumed that both
surfaces have identical surface roughness. At high speeds, it may be necessary to allow for a larger film
thickness. As a rule of thumb, the minimum film thickness should be greater than or at least equal to
20 times the combined RMS values for the surfaces, i.e., hmin ≥ 10 (RMSshaft +

RMSbush). At low speeds, satisfactory operation is sometimes possible with as low as 20% of
these values. Last, the adequacy of the minimum film thickness must be verified after the bear-
ing temperature rise is evaluated.
c. Maximum pressure is:
f. The friction coefficient, friction force, and power loss are:
e. To determine the temperature rise, flow rates are first computed:
The density, ρ, and the specific heat, cp, of most conventional petroleum oils may be assumed to
remain relatively constant. Typically, the following numbers are used for these parameters:
Therefore, the temperature rise is:

This temperature rise indicates that one must recompute the viscosity and repeat the calcula-
tions. The effective of the mean temperature, Tmean, is related to the inlet temperature, Ti, as
computed below:
The updated effective viscosity, µmean, is next computed for the SAE 10 oil at Tmean = 178°F.
Using the viscosityndash;temperature charts µmean ≈ 1.08 × 10-6. Repeating the computations
with this viscosity: Position of the peak pressure is at θmax = 162°,
The above temperature rise yields the following updated mean temperature:
This process should be repeated until the difference in the updated mean temperature between
two successive iterations is less than 2 to 3°F. In this example, therefore, no more iterations are
needed.
Example 2
The performance of a full journal bearing for a minimum film thickness of hmin = 0.0002 in.
is to be evaluated. The specifications for the bearing are given below:
Solution
With the minimum film thickness specified, one can determine the operating eccentricity:
Entering Table 1 with ε = 0.8 and aspect ratio of L/D = 1, we arrive at the following:
Equilibrium position of the shaft center is (ε, Φ) = (0.8, 36.2°).

Maximum pressure is:

From the definition of the Sommerfeld number:
Solving for the load-carrying capacity: W ≈ 3000 lbf.

From Table 1, (R/C) f = 1.7019. Friction coefficient, friction force, and power loss become:
Leakage flow rate is:
The inlet flow rate is Qin =0.154 in.3/s and temperature rise is: ∆T ≈ 42°F. Iterations are there-
fore needed to update the viscosity and repeat the performance calculations.
ACKNOWLEDGMENT
The author wishes to thank Mr. J. Y. Jang of the Mechanical Engineering Department of the
University of Pittsburgh for his assistance in preparing this chapter.
REFERENCES
1. Booser, E.R. et al., Maximum temperature for hydrodynamic bearings under steady load, Lub. Eng.,
1970, 226–235.
2. Pinkus, O., Thermal Aspect of Fluid-Film Tribology, ASME Press, New York, 1990.
3. Khonsari, M. and Wang, S., On the maximum temperature in double-layered journal bearings.
ASME J. Tribol, 1991, 464–469.
4. Khonsari, M., Review of thermal effects in bearings: I and II, ASLE Trans., 1987, 19–33.
5. Sneck, H. and Vohr, J., Fluid film lubrication, CRC Handbook of Lubrication, Vol. 2, Booser, E. R.,
6. Raimondi, A. et al., CRC Handbook of Lubrication, Vol. 2, Booser, E. R., Ed., CRC Press, Boca Raton,
FL, 1983, 413–462.
7. Artiles, A. and Heshmat, H., Analysis of starved finite journal bearings, ASME J. Tribol., 107, 1–13,
1985.
8. Heshmat, H. and Pinkus, O., Performance of starved journal bearings with oil ring lubrication,
ASME J. Tribol., 107, 23–31, 1985.
9. Fuller, D., Theory and Practice of Lubrication for Engineering, 2nd ed., Wiley Interscience, New York,
1984.
10. Hamrock, B., Fundamentals of Fluid Film Lubrication, McGraw Hill, New York, 1994.
11. Engineering Science Data Unit (ESDU), General Guide to the Choice of Thrust Bearing Type,
Item 67033, Institution of Mechanical Engineers, London, 1967.

62 Design and Analysis of

Hydrodynamic Slider Thrust
Bearings
M. Khonsari and J.Y. Jang

CONTENTS
Discussion.......................................................................................................................................681
Design Procedure...........................................................................................................................683
Remarks...........................................................................................................................................689
Example...........................................................................................................................................689
References.......................................................................................................................................690
NOMENCLATURE
a Inlet-to-outlet film thickness ratio, h1/h2
B Length of slider bearing in direction of motion (in., m)
cp Lubricant specific heat (Btu/lbm°F, J/kg°C)
E, ET Friction power loss per pad, total bearing loss (lbf ⋅ in./s, W), E = FU
f Friction coefficient
F Friction force (lbf, N)
h, hlh2 Film thickness: h1at inlet, h2at outlet (in., m)
J Mechanical equivalent of heat, J = 9336 lbf ⋅ in./Btu
Kf Dimensionless coefficient,
L Length of slider bearing perpendicular to direction of motion (in., m)

m Slope of pad surface, m = (hl - h2)/B
n Number of pads
p, pmax, ps Pressure, maximum pressure, supply pressure (psi, Pa)
P Average unit load (psi, Pa), P = W/(BL)
Qin, Q1 Inlet, leakage flow rate (in.3/s, m3/s)
R1, R2, Ravg Inner radius, outer radius, and average radius (in., m)
T, Ti Temperature, inlet temperature (°F, °C)
U Velocity of sliding surface (in./s, m/s)
x Coordinates system in direction of motion (in., m)
xmax Location of maximum pressure (in., m)
z Coordinates system perpendicular to direction of motion (in., m)
W, WT Load-carrying capacity: per pad, total (lbf, N)
µ Lubricant viscosity (lbf ⋅ sec/in.2[reyn], Pa ⋅ s)
θgroove Groove size (degree, rad)
0-8493-3904-9/97/$0.00+$.50
ρ Lubricant density (lbm/in.3, kg/m3)

ω Angular velocity (rad/s)
Λ Aspect ratio, A = L/B
DISCUSSION
A thrust bearing is one of the most common types of conformal bearings. It is utilized in many
applications where the direction of load is perpendicular to the surface of the runner. In a thrust
bearing, the lubricant is drawn into a series of identical wedge-shaped pad surfaces. These pads are
positioned in an annular configuration and are separated by a number of grooves. There are a vari-
ety of slider bearing types such as inclined-plane (fixed-pad), Raleigh-step, and pivoted-pad. In this
section, we will focus our attention to the fixed-pad, inclined-plane slider bearings.
Figure 1 shows the geometry of a thrust bearing. Normally the inner and outer radii, R1 and R2,
are specified as design constraints. Also, the load and the operating speed are known. The number
of pads, n, (typically 3 to 12) is chosen by the designer for optimum bearing performance with the
total load on the pads being equal to the load on the system, i.e., WT = nW. The load carrying capac-
ity of each pad is obtained numerically by first computing the fluid-film pressure distribution in the
bearing and then integrating the result over the appropriate area.
FIGURE 1 Configuration of a multiple fixed-pad thrust bearing.
Performance analyses for an inline-plane slider also hold approximately for most bearing
shapes (other than flat lands) with the same ratio of inlet to outlet oil film thickness. Both for
centrally pivoted thrust pads and for uniform elastic pad support, assumption of an inlet-to-
outlet film thickness ratio of two is usually appropriate in such an analysis. Table 1 indicates
the typical range of application for thrust bearings using various pad configurations.1
While computer analyses in polar coordinates and with local oil film viscosity calculated over the
entire pad area give more exact representations of oil film performance, results of these solutions are
limited to use on a case-by-case basis. The following constant viscosity analyses are generalized

by relating a rectangular bearing segment (radial length L, circumferential breath B) to the cir-
cular configuration of Figure 1. This rectangular representation allows more ready evaluation
of a range of variables and gives results which are quite similar to those from a more accurate
polar coordinate analysis.
The pressure distribution on each bearing pad is governed by the Reynolds equation, which
reduces to the following dimensionless form, assuming that the flow is laminar, incompress-
ible, and noninertial:

where
Once the solution of the Reynolds equation has been obtained, one may proceed to the deter-
mination of the bearing performance parameters. The simulation results for various aspect ratios and
inlet-to-outlet film-thickness ratios are presented in Table 2 in a convenient form that could be used
as a rapid design tool. Table 2 includes bearing design parameters for Λ = L/B = ∞ =, 2, 1, 15, …,
0.25 for film ratios of a = h1/h2 = 1, 1, 14, …, 10. Results corresponding to A = ∞ correspond to
an “infinitely long” assumption based on the one-dimensional solution of the Reynolds equation.
This is a limiting solution where there is no side-leakage and thus represents the maximum possible
bearing load capacity. Normally, the film thickness ratio a varies in the range of 1.2 to 3.0 in most
designs. There are, however, applications, such as in bearings operating at high loads and under low
speeds, where the film ratio may turn out to be 4.0 and higher.
All parameters listed in Table 2 are made dimensionless according to the following definitions.
• Load:
• Friction force:
• Friction coefficient:
• Flow rate:
DESIGN PROCEDURE
1. Select a number of pads, n. (Typically 3 to 12 pads are used with n commonly selected to give
approximately “square” pads with B = L.)
2. Compute the slider bearing length, width, and the aspect ratio based on the average radius of Ravg
= (R2 + R1)/2. Bearing width is simply: L = R2 - R1 Bearing length, B, clearly depends on the num-
ber of pads and the size of the mixing groove, θgroove, between the pads. Choose an appropriate groove
size and determine the bearing length using: L = Ravg(2π/n - θgroove).
The bearing aspect ratio is: A = L/B.
3. Determine the projected (average) load, P = W/(BL), and the linear speed, U = Ravg ω.
4. Entering Figure 2 with Λ = L/B, determine the film thickness ratio a for the optimum load-carry-
ing capacity.7

Design and Analysis of Hydrodynamic Slider Thrust Bearings 684




5. Entering Table 2 with the computed A and a, read the following dimensionless performance
parameters:
6. From the definition of KF ope, m. Next, from the of m, determine the minimum film thickness
h2: m = (h1 - h2)/B = h2 (a - 1)/B.
FIGURE 2 The ratio ofinlet-to-outlet film thickness a = h1/h2 for maximum load-carrying
capacity. (From Raimond, A.A. and Boyd, J., Trans. ASME, 77, 287–309, 1955. With permission.)
7. Check the minimum film thickness computed above to insure that it meets the guidelines for the
minimum allowable film thickness. This crucial requirement is clearly dependent on the surface
roughness normally specified in the form of the combined slide/pad centerline average (Ra) or
root mean square (RMS); see Table 3 provided in Chapter 61 on journal bearing analysis.2 If the
minimum film thickness is not adequate, either the design must be revised or recommendation
should be made to use a more viscous lubricant.
8. Determine the bearing temperature rise:
where J is the mechanical equivalent of heat for British units. The density, ρ, and the specific heat,
cP, of most conventional oils may be assumed to remain relatively constant. Typically, the follow-
ing numbers are used for these parameters.
9. Update the viscosity by evaluating it at T = TI + µT and repeat steps 5 through 9 until the change
in the new temperature is less than 2 to 3°F (1 to 1.5°C).

REMARKS
1. Evaluation of bearing performance based on the temperature rise given above is only an approx-
imate solution, known as the “effective viscosity method”. It provides no information regarding
the bearing maximum temperature (hot spots), which in slider bearings normally occurs near the
outlet and on the outer surface of the stationary pad. Furthermore, the entire thrust analysis is
based on a single slider pad segment whose inlet is assumed to remain at the supply temperature.
In reality, the hot oil exiting one bearing pad retains much of its thermal energy as it mixes with
feed oil in the next groove and then enters the following pad. For more in-depth analyses, the read-
er is referred to References 3 and 4.
2. The minimum allowable film thickness values provided in Table 2 (see Chapter 61, journal bear-
ings) does not take into account the effect of change in the film thickness from any external vibra-
tion that may take place due to the perturbation in the applied load. Therefore, implementation of
a factor of safety is recommended.
3. The results provided in Table 2 are all based on the laminar flow assumption. Turbulence, if it
occurs, would significantly affect all of the bearing performance parameters. In particular, the
bearing power loss would be increased. For discussion on turbulence in thrust bearings, the read-
er is referred to References 5 and 6.
Example
A thrust bearing is to be designed for a hydrogenerator which weighs 21,000 lbf. The inner and
outer radii are 1.63 in. and 4.63 in. The rotational speed is 384 rad/s. The lubricant viscosity is µ
= 4.35 × 10-6 reyn (SAE 10 oil at 95°F). Determine the operating characteristics.
Solution
Assuming the thrust bearing has 6 pads, load per pad is W = WT/n = 21,000/6 = 3,500 lbf. The
average radius is Ravg = (R1 + R2)/2 = (1.63 + 4.63)/2 = 3.13 in. The radial width of the bearing
is L = R2 - R1 = 4.63 - 1.63 = 3 in. Assuming groove size θgroove = 5°, the circumferential pad length
is B = Ravg (2π/n - π/36)/2 = 3.13(2π/6 - π/36/2 = 3 in. The linear speed is Ravg ω = 3.13 × 384
= 1200 in./s. The aspect ratio is Λ = L/B = 3/3 = 1. Entering Figure 2 with Λ = 1 and a = 2.4
as the film thickness giving optimum load-carrying capacity, Table 2 gives:

The temperature rise indicates that one must recompute the viscosity and repeat the calcula-
tions. The updated effective temperature, T, is related to the inlet temperature, Ti.
The updated viscosity at 111.6°F is µ = 2.8 × 10-6 reyn using the viscosity–temperature chart.
Repeating the computations with the updated viscosity, we have:
The new temperature, T, is nearly the same as the previous temperature. Therefore, no more
iterations are needed.
A variety of other design problems can be conveniently treated using Table 2. For exam-
ple, the slope of the pad surface, m, may be specified as a constraint together with load, speed,
and bearing aspect ratio, L/B. In this case, the inlet-to-outlet film ratio, a, must be evaluated
using the data presented in Table 2. The procedure is simple: one can easily determine Kf first
and then with the specified L/B, the film ratio can be read from the table. In the final design,
the adequacy of the minimum film thickness, h2 = mB/(a - 1), would have to be checked to
insure that it meets the allowable requirements.
REFERENCES
1. Booser, E.R., Wilcock, D.F., and Kennedy, F.E., Tribology and bearings, CRC Handbook of Mechanical
Engineering, Kreith, F., Ed., 1977, chap. 3.10.
2. Khonsari, M.M., Journal bearing design and analysis, in CRC Tribology Data Handbook, Booser, E.R.,
Ed., CRC Press, Boca Raton, FL, 1997.
3. Ettles, C, Hot oil carryover in thrust bearing, Proc. Inst. Mech. Eng., 184, 75, 1969–1970.
4. Khonsari, M.M., A review of thermal effects in hydrodynamic bearings, I. Slider and thrust bear-
ings,” ASLE Trans., 19–25, 1987.
5. Hubner, K., Solution for the pressure and temperature in thrust bearings operating in thermohy-
drodynamic turbulent regime, ASME J. Lubr. Technol., 58–68, 1974.

63 Squeeze-Film Bearings
M. M. Khonsari and J. Y. Jang
CONTENTS
Nomenclature.................................................................................................................................691
Introduction....................................................................................................................................692
Governing Equations....................................................................................................................692
Examples.........................................................................................................................................698
References.......................................................................................................................................706
NOMENCLATURE
0-8493-3904-9/97/$0.00+$.50
INTRODUCTION
Hydrodynamic pressure developed upon normal approach between two surfaces is resisted by a vis-
cous fluid and, as a result, it takes a finite length of time for the fluid to be squeezed out from the
sides.
Squeeze-film action in lubrication is present in many mechanical components. Examples
include the lubrication mechanisms in natural and artificial joints, in piston pins, and also in piston
rings. A living knee joint, for instance, experiences both sliding and squeeze action in a typical walk-
ing cycle. Although a piston ring involves both sliding and squeeze action, top and bottom dead
center sliding velocity drops to zero and the squeeze-film provides the needed cushioning. Similarly,
during the power stroke of an IC engine when the piston is forced downward, squeeze action gen-
erates hydrodynamic pressure. Serving as a vibration damping agent, a squeeze-film damper has
found utility in many applications, including jet engines.1,2
This section is primarily concerned with the squeeze motion in the absence of a sliding com-
ponent. Booker3 and Pinkus and Sternlicht4 give analyses of connecting od and dynamically loaded
bearings which fall in this category. In addition to neglecting inertia effects, we restrict our attention
to incompressible, Newtonian fluids without consideration for thermal effects. Gross et al.5 give
compressible squeeze-film analyses particularly suitable for gas bearings. Finally, the results pre-
sented are best suited for submerged systems, since the contribution of surface tension does not
appear in the formulation of the governing equations. The problem of the peeling of a flexible
strip (e.g., a tape) from a surface attached by a layer of viscous fluid (e.g., adhesive) involves “nega-
tive squeeze” analysis in the presence of surface tension. Classical research by McEwan and Taylor6
provides both theoretical as well as visual observation of the cavitation, and meniscus instability of
the fluid film is presented by Koguchi and co-workers.7,8
The squeeze-film configurations considered in this section include planar geometries such as
circular, elliptical, triangular, and rectangular sections as well as circular sectors and concentric annu-
lus. A number of nonplanar squeeze actions such as a nonrotating shaft moving vertically down-
ward toward the bushing are also investigated. The primary parameters covered are the bearing
load-carrying capacity, i.e., the contribution of the pressure integrated over the acting area and the
time of approach defined as the length of time, ∆t, needed for the film thickness to drop from an
initial value h0 to a final value of h.
GOVERNING EQUATIONS
The governing equation for the pressure distribution in a finite length bearing is the Reynolds equa-
tion which, in the absence of sliding velocity becomes:
a. Planar Cartesian coordinate system
b. Polar-cylindrical coordinate system
where V = - dh/dt is the squeeze velocity or the velocity of approach.

Squeeze-Film Bearings 693
PLANAR SQUEEZE-FILM
Equations (1) or (2) must be solved either analytically or numerically for pressure. For the
majority of planar squeeze applications where the film thickness between the approaching sur-
faces is uniform, an analytical solution may be possible. To illustrate the solution technique,
consider the problem of squeeze-film lubrication between two parallel, elliptically shaped
disks. Referring to Figure 1, the Reynolds equation reduces to:
FIGURE 1 Squeeze-film lubrication between two elliptically shaped disks.
The boundary conditions on pressure simply impose atmospheric pressure at the bound-
ary. It can be directly verified that the solution to Equation 3 should be of the form:
where the function f is to be determined by substitution of the solution into Equation 3. The
result is:
so that the pressure distribution becomes:
circular disk of radius R is a special case of the above solution with a = b = R, i.e.
The above solution can be converted to the following polar coordinate solution using the
transformation identities of x = r cos (θ) and y = r sin (θ):

Equation 6 could have been derived directly from Equation 2 by taking advantage of the
axisymmetric nature of the problem, since ∂/∂θ = 0; see Reference 9.
Having obtained an expression for the pressure distribution, the load-carrying capacity can
be evaluated by integrating over the appropriate area:
When the pressure distribution P is substituted into Equation 7, the time ∆t for the film thick-
ness to decrease to height h at time t can be obtained.
For elliptically shaped disks, the load-carrying capacity
and the time
For the circular disks,
In general, the above equations can be put in the following basic squeeze-film form for the
time of approach.10
Taking the time derivative of Equation 8, the surface approaching velocity can be obtained:
where A is the plate area and h0 is the initial squeeze-film thickness. Constant K is determined by the
shape of the plate. The results of a series of planar squeeze-film geometries are shown in Table 1 and
plotted in Figure 2 for convenience. Using either this table or the figure, one can readily evaluate the
value of the proportionality constant K. Then, for a given load, W, Equation 8 gives the time of
approach for the film thickness to drop from an initial h0 to a final h.
NONPLANAR SQUEEZE-FILM
Table 2 shows the load-carrying capacity W and the approach time ∆t for some typical configurations
of nonplanar surfaces. The expressions are exact for conical surfaces and the hemispherical ball in the
socket. However, for the nonplanar cylindrical geometries, such as the journal bearing, it is assumed
that the L/D → ∞ so that no side leakage is allowed. This so-called infinitely long bearing assump-
tion allows one to treat the problem as one-dimensional, so that ∂/∂y in Equation 1 vanishes.

FIGURE 2 Variation of constant K with shape ratio r.
These solutions should be sufficiently accurate when L/D > 2. In many practical applications,
L/D may be finite; that is L/D ≈ O(1)
We next provide numerical solutions to the squeeze-film lubrication of a nonrotating, finite
length journal bearing of two profiles (full, 360° arc and half, 180° arc; Figure 3). For finite
bearings, one generally seeks numerical solutions, although a semianalytical approach may also
be possible. Hays,12 for example, presents solutions for a finite journal bearing of 180°arc with
a fluctuating load.

Equation 1 is nondimensionalized and solved numerically using the “successive-over-relax-

ation” method. Figures 4 and 5 show the predicted pressure profile of a finite bearing (Λ = 1)
at eccentricity ratios of ε = 0.5 and ε = -0.5, respectively. Three pressure profiles are shown:
half-arc, full-arc with negative pressure, and full-arc without negative pressure. The half-arc
pressure is always positive as expected. The full-arc journal bearing results without negative
pressure are generated by setting any negative pressure equal to zero during the computation
of the Reynolds equation. With a sufficiently fine mesh, this approach closely approximates the
so-called Reynolds boundary condition, ∂P/∂θ = 0. Note that the onset of cavitation is
predicted to take place at θ ≅ 2.04 rad (117°) for ε = 0.5. Including the negative pressure in
the simulations affects the shape of the pressure profile only in the divergent region when ε =
0.5. In contrast, when ε = -0.5 the full journal bearing with P < 0 solutions predict an ap-
preciably large negative pressure. For most applications, the Reynolds boundary condition is
more appropriate. Figures 6 and 7 show the load-carrying capacity and the leakage flow rate
of the half journal bearing for various aspect ratios. Figures 8 and 9 show the load-carrying
capacity and the leakage flow rate of the full journal bearing without negative pressures.
Figures 10 and 11 show the load-carrying capacity and flow rate for the full journal bearing
with the negative pressure being presented. Note that results are symmetric about ε = 0,
as expected. It is important to mention that the leakage flow rate of the full journal

FIGURE 3 Full and half journal bearing with normal squeeze-film motion.
bearing in Figure 11 is considered to be the volume of the oil directly underneath the convergent
area of the shaft (θ = 0 to 180°) displaced as a result of the downward motion of cylinder.
An application of these charts is illustrated in Example 2. With a specified load and eccen-
tricity, the approaching velocity, and the leakage flow rate, can be
easily evaluated using these charts.
EXAMPLES
Example 1 (Planar Squeeze)
Consider the following geometries:

FIGURE 4 Pressure distribution of a finite journal bearing at e = 0.5.

a. A square 3 in. on each side; b. a circular disk of radius R = 1.5 in.; c. an elliptical section
with major and minor dimensions of a = 3 in. and b = 1 in.; d. concentric annulus with inner
and outer radii of Ri = 1.0 in. and Ro = 2.0 in.
Assume that the load imposed on each of the above configurations is W = 150 lbf and
that the lubricating oil is SAE 30 at 80°F (µ = 2.8 × 10-5 reyn). Determine the time of approach
require for the initial film gap of h0 = 0.01 in. to drop 10-fold. Also, compare the approaching
velocities at the initial position for each configuration.
Solution
Figure 2 gives the K parameter for each geometry. Equations 8 and 9 will give the time of
approach and the approaching velocity. The following table presents the results.

FIGURE 5 Pressure distribution of a finite journal bearing at e = -0.5.
Example 2 (Nonplanar Squeeze)

A piston pin of an internal combustion engine lubricated with SAE 20 oil at an effective engine
is operating temperature of 150°F (µ = 2.1 × 10-6 reyn). The pin diameter, length and radial
clearance are: D = 1.5 in., L = 1.5 in., and C = 0.001 in., respectively. During the power stroke
the piston, whose diameter is 4 in., experiences an effective pressure of 100 psi produced by
the explosion of the fuel/air mixture at the top of the piston.
a. Determine the time required for the film thickness at the top of the bushing to reduce from 0.0005
in. to 0.0001 in.
b. Determine the squeeze velocity at the onset of the power stroke.
c. Estimate the volumetric flow rate of oil squeezed out the sides of the bearing.
d. Assuming the minimum required film thickness of 0.0001 in., comment on the danger of metal to
metal contact for the following two operating speeds: 1500 rpm and 750 rpm.
I. Treat the piston ring as a half journal bearing (180°arc)
II. Treat the piston ring as a full journal bearing (360°arc) without negative pressure.
Solution
A piston pin without a sliding velocity can be idealized as a journal bearing with a full bushing.
The load Referring to Figure 3, the film
thickness profile is h = C(l - εcosθ). The minimum film thickness is hmin = C(1 - ε). Therefore,
ε0 = 0.5 at hmin = 0.0005 in. and ε = 0.9 at hmin = 0.0001 in., respectively.

FIGURE 6 Load variation of half journal bearing for various aspect ratios Λ = L/D.
Case I. Infinitely long half journal bearing using Table 2
a. To illustrate the use of Table 2, as a first approximation we assume that the piston pin is an infi-
nitely long half journal bearing. From Table 2 we have:
This ∆t can be viewed as the length of “cushioning time” available.

b. A velocity at the onset of power stroke is:

FIGURE 7 Leakage flow rate variation of half journal bearing for various aspect ratios Λ = L/D.
c. Because of the assumption of infinite length, the formula predicts no side-leakage flow.
d. For the operating speed of 1500 rpm, power stroke duration is the interval of half revolution: ∆tS
= (60)/(2)(1500) = 0.02 s. At 750 rpm, the duration of power stroke is ∆tS = (60)/(2)(750) = 0.04
s. Since the duration of the power stroke, ∆tS, is less than the time of approach, ∆t, for both 1500
rpm and 750 rpm, there is no danger of metal-to- metal contact. Since this analysis is only valid
for an infinitely long journal bearing, however, the solution for the finite journal bearing needs to
be checked.
FINITE HALF JOURNAL BEARING USING THE NUMERICAL RESULTS
With a known aspect ratio, Λ, and a given eccentricity ratio, ε, one can determine the
dimensionless load capacity, from Figure 6 as a function of the time rate of change of
eccentricity ratio, The approach velocity is simply: To determine the
approach velocity, we may construct Table 3 for eccentricity ratios ranging from the ini-
tial velocity of ε0 = 0.5 to ε0 = 0.9 at relatively small intervals (we choose ∆ε = 0.05). At
each eccentricity ratio, the corresponding is directly determined from Figure 6. The
approach velocity, is computed at every as shown in Table 3. To
determine the time of approach, we note that dt = (C/V)dε. Integrating both sides gives:
∆t = C(ε 2 - ε 1)/V avg, where V avg = (V 2 - V 1)/2. For example, from

of oil displaced by the action of the shaft vertical motion is evaluated from Figure 7.
The total approach time is ∆t = 0.031 s, which is smaller than the 0.055 s predicted by the
infinitely long journal bearing where the leakage flow rate is zero. According to the finite bear-
ing solution, there is less cushioning time available than the simple formulae of Table 2 pre-
dict. The finite bearing analysis shows that the power stroke for 1500 rpm is still safe, since ∆ts
< ∆t. However, the squeeze-film action for 750 rpm does not provide sufficient cushioning
time and there is a danger of metal-to-metal contact.
Case II. Infinitely long full journal bearing using Table 2
a. From Table 2 we have:
b. A velocity at the onset of power stroke is:
c. Because of the assumption of infinite length, the formulae predicts no side-leakage flow.
d. Since the duration of the power stroke, ∆ts = 0.055 s, is less than the time of approach, ∆t, for both
1500 rpm and 750 rpm there is no danger of metal-to-metal contact. These results are in agree-
ment to the infinitely long, half-journal bearing results presented in Case I.

FIGURE 8 Load variation of full journal bearing for various aspect ratios Λ = L/D (with-
out negative pressure).
FINITE FULL JOURNAL BEARING USING THE NUMERICAL RESULTS
Using a similar approach described in Case I, we construct Table 4.

FIGURE 9 Leakage flow rate variation of full journal bearing for various aspect ratios Λ = L/D
(without negative pressure).
It is seen that the results of the full and half-finite bearings are in excellent agreement in
this particular problem.
Table 5 summarizes the results of full 360° journal bearing with comparison to those of
the half 180° journal bearing.

FIGURE 10 Load variation of full journal bearing for various aspect ratios Λ = L/D.

FIGURE 11 Leakage flow rate variation of full journal bearing for various aspect ratios Λ = L/D.
REFERENCES
1. Moore, D. F., The Friction and Lubrication of Elastomers, Pergamon Press, Oxford, U.K., 1972.
2. Cusano, C. and Funk, P. E., Transmissibility study of a flexibly mounted rolling element bearing in
a porous bearing squeeze-film damper, J. Lubr. Technol, 50–56, 1977.
3. Booker, J. F., Squeeze films and bearing dynamics, CRC Handbook of Lubrication, Booser, E. R., Ed.,
Vol. 2, 1984, 121–137.
4. Pinkus, O. and Sternlicht, B., Theory of Hydrodynamic Lubrication, McGraw Hill, New York, 1961.
5. Gross, W., Ed., Fluid Film Lubrication, Wiley-Interscience, New York, 1980.
6. McEwan, A. D. and Taylor, G. I., The peeling of a flexible strip attached by a viscous adhesive, J.
Fluid Mech., 26, 1–15, 1966.
7. Koguchi, H., Okada, M., and Tamura, K., The meniscus instability of a thin liquid film, J. Appl.
Mech., 55, 975–980, 1988.
8. Koguchi, H. and Yada, T., The meniscus instability in non-Newtonian negative squeeze films, J.
Appl. Mech., 57, 769–775, 1990.
9. Hamrock, B., Fundamentals of Fluid Film Lubrication, McGraw-Hill, New York, 1994.
10. Moore, D. F., Viscoelastic Machine Elements — Elastomers and Lubricants in Machine Systems,
Butterworth-Heinemann, Oxford, U.K., 1993.
11. Archibald, F. R., Squeeze Films, Standard Handbook of Lubrication Engineering, O’Conner, J. J. and
Boyd, J., Eds., McGraw-Hill, New York, 1968, chap. 7.
12. Hayes, D. F., Squeeze Films: A Finite Journal Bearing With a Fluctuating Load, ASME Trans. J.
Basic Eng., 579–588, 1961.

64 Ring- and Wick-Oiled Starved

Journal Bearings
Richard C. Elwell
CONTENTS
Introduction....................................................................................................................................708
Ring-Oiled Bearing Performance.................................................................................................709
High-Load, Low-Speed Wick-Oiled Bearing Performance.....................................................714
Nomenclature.................................................................................................................................717
References.......................................................................................................................................717
INTRODUCTION
Oil is supplied to many journal (and some thrust) bearings by self-contained devices such as
oil rings, wicks, pumping holes, drip feeders, and chains for simplicity and reliability. These
self-lubricating systems are generally limited to modest shaft speeds because oil delivery is
less than is required for a full oil film.
Design of journal bearings lubricated by these devices can be supported by “starved bear-
ing” calculations illustrated below. Nearly all self-lubricating designs also require careful pro-
totype testing.
Oil film thicknesses between journal surfaces and self-lubricated bearing bores are much
smaller than in pressure-fed bearings; the surfaces may be only a few micrometers apart.
Further, instead of heat being carried from the film by oil flow, it now must be conducted
away through the metal parts. Some general design rules are as follows:
• A journal speed limit of 10 to 14 m/s (33 to 46 ft/s) is encountered with ring oiling, 4
to 8 m/s (13 to 26 ft/s) with wicks. It is possible to exceed these values with better sur-
face finishes and modified designs.
• Journal surface finish should be less than about 1/10 to 1/3 of calculated minimum oil
film thickness; 0.4 µm (16 µin.) CLA is common; 0.2 to 0.1 µm (8 to 4 µin.) CLA may
be required in heavily loaded applications. In extreme cases, journal grinding or lapping
must be followed by further finishing techniques such as rolling.
• Self-lubricated journal bearings need axial grooves in the bore to distribute oil from the
feeding device. Downstream edges of these grooves must be carefully blended to
induce as much oil inflow as possible.
• Oil distribution grooves must have vents at their outboard ends to release air, otherwise
the small oil flows in the grooves may be blocked.
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Ring-and Wick-Oiled Starved Journal Bearings 709
• Cooling the bearing housing by either air or water will improve bearing load capacity; it
may be necessary in a borderline design.
• To prevent running out of oil, install an easy-to-see oil-level indicator. For added safety,
put a temperature sensor in the bearing loaded zone.
Examples follow for estimating performance of both a ring-oiled and a wick-oiled bearing.
RING-OILED BEARING PERFORMANCE

Performance is estimated by first calculating amount of oil delivered to the bearing by the
ring(s).1,2 The starved bearing analysis3 is then used to compute load capacity, power loss, and
temperature rise.
FIGURE 1 Oil-ring bearing operation at low speed.1

FIGURE 2 Cross section of typical oil-ring bearing.1

FIGURE 3 Ring speed regimes over shaft speed range.1

FIGURE 4 Oil–ring delivery vs. bearing requirements.1

FIGURE 5 Friction factors as functions of flow and bearing characteristic number. (From
Connors, H.J., Trans. ASLE, 5(2), 404, 1962. With permission.)

FIGURE 6 Minimum film thickness factors as functions of flow and bearing characteristic
number. (From Connors, H.J., Trans. ASLE, 51(2), 404, 1962. With permission.)
SUMMARY OF BEARING IN NUMERICAL EXAMPLE

Bearing diameter = length = 0.1 m (3.94 in.); radial clearance = 7.5 (10-6) m, (0.003 in.); speed
= 20 rps; load = 300 kg (661 lbs); ISO VG 32 oil at bath temperature = 55oC. Single oil ring:
inside dia. 0.165 m, outside dia. 0.181 m, width 0.008 m, weight 0.94 kg.
CALCULATED PERFORMANCE
Oil ring speed = 8.8 rps; ring oil delivery = 5.42(10-6) m3/s; oil flow through bearing = 2.71(10-
) m3/s; power = 133 J/s (0.178 HP); oil temperature rise = 35°C(63°F); min. oil film thickness
6
= 29 (µm (0.0012 in.)
HIGH-LOAD, LOW-SPEED WICK-OILED BEARING

PERFORMANCE
As in analyzing ring-oiled bearings, the procedure is once again to estimate oil delivery to the
bearing by the wick system. If the quantity is sufficient, the starved bearing analysis3 is used for
bearing performance. If not, an elastohydrodynamic analysis5 is used as in the example below.

FIGURE 7 “Bottom-fed” wick-lubricated bearing.1
FIGURE 8 Oil delivery to rotating journal by SAE Fl wick for viscosities shown in centistokes.1

SUMMARY OF BEARING IN NUMERICAL EXAMPLE

Diameter = 0.22 m (8.66 in.); length = 0.12 m (4.72 in.); radial clearance = 0.00024 m (0.0095
in.); speed = 2 rps; load = 11,616 kg (25,590 lbs); ISO VG 68 oil at wick temperature = 40°C;
single SAE Fl felt wick (Figure 7).

CALCULATED PERFORMANCE
Wick oil delivery = oil flow through bearing = 4.44(l0-8) m3/s. Minimum EHD oil film thick-
ness = 0.39 urn (0.000016 in.).
NOMENCLATURE
a Oil wick face width
A Oil ring width; also wick contact area on journal
b Oil wick face length
B Oil ring height
C Bearing/journal radial clearance, also oil ring cheek width
cp Oil specific heat
D Oil ring bore diameter
d Shaft (or journal) diameter
E Width of T-section oil ring; also elastic modulus
F Friction force on surface of journal; also web thickness of oil ring
f Coefficient of friction, F/W
g Gravitational constant
h Oil wick delivery height
hn Minimum oil film thickness between journal and bearing
hu Ultimate wicking height
H T-section oil ring height
I Depth of ring immersion in bath
1 Wick developed length between bath and journal
L Net bearing working length
N Ring rotation speed, journal rotation speed in starved bearing analysis
Nf, Ns, Nt Ring speed at start of full-film drive, at beginning of slip, at transition
n Shaft rotational speed
nf, ns, nt Shaft speed at start of full-film ring drive, at beginning of ring slip, at Nt
P Bearing load on projected area, W/LD
Q, Qi, Qt Oil flow rate, flow rate into bearing film, delivery rate at Nt
R d/2
S Bearing characteristic number, µN/P ⋅ (R/C)2
Ti, To, Tav Temperature of bearing inlet oil, outlet oil, average (Ti+ To)/2
Vo Volume fraction of oil in saturated wick
Vt Ring transition velocity
W Bearing load, dimensionless load in EHD analysis
w Ring weight, load in EHD analysis
µ Oil absolute viscosity
ν Oil kinematic viscosity
ρ Oil density
REFERENCES
1. Elwell, R.C., Self-contained bearing lubrication: rings, disks and wicks, in CRC Handbook of
Lubrication, Vol. 3, Monitoring, Materials, Synthetic Lubricants, and Applications, Booser, E.R., Ed., CRC
2. Lemmon, D.C. and Booser, E.R., Bearing oil-ring performance, Trans. ASME, Sen D, 82(2), 327,
1960.

3. Connors, H.J., An analysis of the effect of lubricant supply rate on the performance of the 36CP
journal bearing, Trans. ASLE, 5(2), 404, 1962.
4. Fuller, D.D., Theory and Practice of Lubrication for Engineers, 2nd ed., John Wiley & Sons, New York,
1984.
5 Cheng, H.S., Elastohydrodynamic lubrication, in CRC Handbook of Lubrication, Vol. 2, Theory and
Design, Booser, E.R., Ed., CRC Press, Boca Raton, FL, 1984, 139–162.

65 Porous Metal Bearings

Cris Cusano
CONTENTS
Material Composition and Specification.....................................................................................719
Typical Mechanical Properties of Porous Bearings and Materials..........................................721
Typical Thermophysical Properties of Porous Materials.........................................................722
Guidelines for Porous Bearing Assemblies and Lubricant Viscosity......................................722
Typical Performance Characteristics of Porous Bearings........................................................727
References.......................................................................................................................................732
Porous metal (P/M) bearings have been commercially manufactured by powder metallurgy
since the mid-1920s. Because of their self-contained “oil reservoir” and their simplicity, mil-
lions of porous bearings are now used each day in a wide variety of applications.
Porous metal bearings have a number of advantages. They are easily fitted, available in a
wide range of stock sizes at relatively low costs, forced-feed lubrication is eliminated, often
they offer simplified design involving less space, maintenance is reduced, and oil contamina-
tion is reduced. The main limitation of porous metal bearings is that they commonly oper-
ate with only boundary or mixed lubrication. The most widely used porous bearings are made
of bronze (Table 1). These bearings give a good balance between strength, wear resistance,
conformability, and ease of manufacture. The second most widely used material is iron-
graphite. Other materials used are iron and iron-carbon, iron-copper, iron-copper-carbon,
and diluted bronze. More detailed information on the characteristics and applications of
porous metal bearings are given by Cusano.1
MATERIAL COMPOSITION AND SPECIFICATION

Materials standards for porous bearings are given by the American Society for Testing and
Materials (ASTM) and by the Metal Powder Industries Federation (MPIF). The ASTM stan-
dards are B328-92, B438-83a (reapproved 1989), B438M-84 (reapproved 1989), B439-83
(reapproved 1989), B612-91, and B782-88. Similar standards can be found in MPIF.2 The
MPIF standards for bronze bearings are given in Table 1. The meaning of the material
description code is given below:
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Porous Metal Bearings 721
TYPICAL MECHANICAL PROPERTIES OF POROUS BEARINGS

AND MATERIALS
One of the more important properties of porous bearings is porosity. The choice of porosity
is based on a compromise between strength, heat dissipating capacity, and oil storage capacity.
Mechanical properties of porous bearings vary over a wide range. Modulus of elasticity is a
function of material composition, porosity, and density, as well as stresses and strains (Table 2
and Figure 1). Typical effects of material composition, density, and porosity on tensile strength
are given in Table 3.
FIGURE 1 Compressive stress/strain curve for porous bronze (28% porosity). E = modulus
of elasticity. Specimens 2.54 cm (1 in.) diam. × 3.81 cm (1.5 in.) long.3

TYPICAL THERMOPHYSICAL PROPERTIES OF POROUS

MATERIALS
Some nominal values of coefficient of thermal expansion are given in Table 4. For a given
material, the coefficient of thermal expansion also varies with material composition. Figures 2
through 6 give data for specific heat and thermal conductivity for some porous materials.
These data are helpful for estimating the bearing temperature.
GUIDELINES FOR POROUS BEARING ASSEMBLIES AND

LUBRICANT VISCOSITY
Shafts for porous bearings should have a surface finish of 0.4 µm RMS or better, and their
hardness should be at least 30 points (RB scale) harder than the particles making up the bear-
ing. For bronze bearings, for example, the particle hardness is about 65 RB. Therefore the shaft
hardness should be 95 RB or better.

FIGURE 2 Specific heat: iron plus copper5 (1 cal g-1K-1 = 4.184 J g-1K-1).
FIGURE 3 Thermal conductivity: iron plus copper6 (1W cm-1K-1 = 0.239 cal sec-1cm-1K-1 =
57.78 Btu h-1fr-1R-1).
PRESS-FIT
The proper allowance for press-fit in a housing will vary depending on the housing material, how
well the housing is supported, the bearing material, and the wall thickness of the bearing. Table 5
can be used as a guide in determining the amount of interference for porous bronze bearings. For
other bearing materials, the manufacturer should be consulted. For a particular application, more

FIGURE 4 Thermal conductivity: copper plus tin7 (1W cm-1K-1 = 0.239 cal sec-1cm-1K-1 =
57.78 Btu h-1fr-1R-1).
FIGURE 5 Thermal conductivity: iron plus graphite8 (1W cm-1K-1 = 0.239 cal sec-1cm-1K-1 =
57.78 Btu h-1ft-1R-1).
accurate press-fit values can be determined by actual installation to achieve an acceptable i.d.
close-in. To estimate i.d. close-in for porous bronze bearings, Figure 7 can be used.

FIGURE 6 Thermal conductivity: iron9 (1W cm-1K-1 = 0.239 cal sec-1cm-1K-1 = 57.78 Btu h-1ft-1R-1).
CLEARANCES
Clearances given in Table 6 are based on room temperature. For low noise levels and good
bearing life, clearances should be kept as low as possible. It should be emphasized, however,
that low running clearances are more likely to cause problems with seizure, misalignments, and
high operating temperature.

FIGURE 7 Typical i.d. close-in for porous bronze bearings. (Courtesy of Bearing Sales Corp.,
Chicago, IL.11)
LUBRICANTS
Lubricants for porous bearings have an ISO viscosity grade which ranges from 32 to 150, the most
common being about 68. Turbine mineral oils are the most commonly used lubricants for porous
bearings. Figure 8 can be used as a guide for selecting oil viscosity as a function of shaft peripheral
velocity. Table 7 gives some advantages and limitations of synthetic lubricant. Some of the better per-
forming synthetic lubricants for porous bearings are the polyalphaolefins and the diesters. For the lat-
ter, hydrolysis might be a problem under certain temperatures and environmental conditions.

FIGURE 8 A general guide to the choice of oil viscosity as afunction of shaft velocity.12
Typical methods of supplementing and replenishing the oil in the pores of a bearing are given in
Figure 9.
TYPICAL PERFORMANCE CHARACTERISTICS OF POROUS

BEARINGS
BEARINGS MAINLY OPERATING IN BOUNDARY LUBRICATIONS
Typical PV factors plus limiting values of P and V for porous bronze bearings are given in Table 8.
Except for low Vs, this table indicates a reduction in PV with increasing bearing density (density

FIGURE 9 Typical methods of supplementing and replenishing the oil in the pores of a bearing.12
of K19 is less than K26 which, in turn, is less than K37). Bench tests and field experience indicate
that higher densities usually support higher PV values, irrespective of the values of P and V.10

Where:
P = load in pounds force per square inch of projected bearing area (length times inside
diameter of bearing).
V = shaft velocity in ft/min.
BEARINGS OPERATING UNDER STARVED CONDITIONS14

In Figures 10 and 11, ε is eccentricity ratio; Do the o.d.; D the i.d.; L the bearing length; C is
the radial clearance; ri is D/2; φ is a permeability factor (dimensionless) defined as k/C2 with k
representing the permeability; S the Sommerfeld number (dimensionless) defined as µN/P
(ri/Q)2with N the shaft rotational speed (rev/s); µ an average absolute viscosity of the lubri-
cant; and P the load per unit projected area; β is the active film arc; and Qs is the dimension-
less total side flow, defined as qs/(CLriN) with qs as the total side flow.
FIGURE 10 Total side flow vs. active film arc for e = 0.8. (From Cusano, C., J. Lub. Technol,
Trans. ASME, Ser. F., 101(1), 38, 1979. With permission.)
Design Example (Starved Bearing)

To illustate the use of the data provided, assume that, in a particular application, SAE-30 oil is
externally supplied to a 2.54 × 10-2m (1.0 in.) inside diameter porous bearing at a rate of 30 drops
per minute by means of a drop-feed oil cup. In addition, assume that Do/D = 1.25, L/D = 1.0,
C/ri = 0.0015, the average oil temperature is 70°C (158°F), and the permeability, k, is 1 × 10-4m2

FIGURE 11 Sommerfeld number vs. active film arc for ε = 0.8. (From Cusano, C, J. Lub.
Technol, Trans. ASME, Ser. F., 101(1), 38, 1979. With permission.)
(depending on density and amounts of solid lubricant in the porous structure, values of k are
typically in the range of 1 × 10-15 to 1 × 10-13 m2). The designer would like a preliminary esti-
mate of the load which this bearing can carry when operating at an eccentricity ratio of 0.8
and with a shaft speed of 1800 rpm.
The film extent will reach a state of equilibrium when the rate of oil supplied externally to
the bearing is equal to the rate of oil lost from the ends of the bearing due to the axial pres-
sure gradient in the oil film. Therefore, the total side flow, qs, is 30 drops per minute; this is a
flow of approximately 16.5 × 10-9m3/s (9.9 × 10-4 in.3/s). With
the total dimensionless side flow is

From Figure 10 with Φ = 2.8 × 10−5 and QS = 0.09, it is seen that the active film arc is 51°.
Entering Figure 11 with β= 51° and Φ = 2.8 × 10−5 the Sommerfeld number is approximately
0.5. Then
BEARINGS OPERATING UNDER FLOODED CONDITIONS15

In Figures 12 and 13, additional symbols not defined in the preceding section, include Ψ, a
dimensionless permeability factor defined as kri/C3; and T, the bearing wall thickness.
FIGURE 12 Sommerfeld number vs. permeability factor for ε = 0.7.15
Design Example (Flooded Bearing)

For the flooded condition, assume D = 2.54 × 10-2 m (1 in.), L/D =1.0, k = 1 × 10-14 m2, N =
30 rps, and SAE-30 oil at an average temperature of 70°C (158°F) is used. The data above are
the same as those in the previous example. In addition, it is assumed that ε = 0.7, T/D =0.2,
and C/ri = 0.001. With C = 1.27 × 10-5m (0.0005 in.),

FIGURE 13 Sommerfeld number vs. permeability factor for ε =0.9.15
REFERENCES
1. Cusano, C., Porous metal bearings, CRC Handbook of Lubrication and Tribology, Vol. 3, Booser, E.R.,
2. Metal Powder Industries Federation, Materials Standards for P/M Self-Lubricating Bearings, MPIF
Standard 35, Princeton, NJ, 1991–1992.
3. Morgan, V. T., The effect of porosity on some of the physical properties of powder metallurgy
components, Powder Metallurgy, Inst. Metals, London, No. 12, 1963, 72–85.
4. Morgan, V. T., Porous metal bearings, Tribology, 2(6), 107, 1969.
5. Touloukian, Y. S., Ed., Thermophysical Properties of High Temperature Solid Materials, Vol. 3, Ferrous Alloys,
Macmillan, New York, 1967, 306.
6. Touloukian, Y. S., Ed., Thermophysical Properties of High Temperature Solid Materials, Vol. 3, Ferrous Alloys,
Macmillan, New York, 1967, 308.
7. Touloukian, Y. S., Ed., Thermophysical Properties of High Temperature Solid Materials, Vol. 2, Nonferrous
Alloys, I. Nonferrous binary alloys, Macmillan, New York, 1967, 158.
8. Goldsmith, A., Waterman, T. E., and Hirschhorn, H. J., Handbook of Thermophysical Properties of Solid
Materials, rev. ed., Vol. 2, Alloys, Macmillan, New York, 1961, 125.

9. Goldsmith, A., Waterman, T. E., and Hirschhorn, H. J., Handbook of Thermophysical Properties of Solid
Materials, rev. ed., Vol. 2, Alloys, Macmillan, New York, 1961, 127.
10. Schloder, M., Keystone Powdered Metal Co., St. Mary, PA, personal communication, 1996.
11. Oilube Powdered Metal, Bearing Sales Corporation, Chicago, IL.
12. Morgan, V. T., Self-lubricating bearings, 2. Porous-metal bearings, Engineering, 220(8), Tech. File
No. 80, 1980.
13. Whiting, R., Ultrachem, Inc., Wilmington, DE, personal communication, 1991.
14. Cusano, C, An analytical study of starved porous bearings, J. Lub. Technol., Trans. ASME, Ser. F,
101(1), 38, 1979.
15. Reason, B. R. and Siew, A. H., A refined numerical solution for the hydrodynamic lubrication of
finite porous journal bearings, Proc. Inst. Mech. Eng., 199, C2, 85, 1985.

66 Dynamic Seals
Alan O. Lebeck
for the Seals Technical Committee, STLE
CONTENTS
Introduction....................................................................................................................................734
Face Seals.........................................................................................................................................734
Lip Seals...........................................................................................................................................757
O-Ring Seals....................................................................................................................................766
References.......................................................................................................................................779
INTRODUCTION
The passage of fluid (leakage) between the mating parts of a machine is prevented or mini-
mized by a fluid seal. Dynamic seals are used when one has of necessity gaps between parts
that have relative motion, but a fluid seal is still needed. Motion between the parts may be
continuous (rotation) in one direction, or large reciprocating, or the amount of motion may
be limited. Sometimes the seal must not constrain motion. The fluid to be sealed can be any
liquid or gas.
Table 1 suggests selection and design factors for various types of dynamic seals. In the
following sections tribological data are provided for face seals, lip seals, and O-rings. For
additional data on these subjects as well as the many other types of seals referred to Table 1,
suggested references include Brink et al. (1993), Buchter (1979), Kaydon Ring & Seals Inc
(1987), Warring (1981), Lebeck (1991), Parker Hannifin Corporation (1990), Stair (1984), and
Shapiro (1995).
FACE SEALS
The mechanical face seal as shown in Figure 1 has become widely used to seal rotating and
oscillating shafts in pumps and equipment. The mechanical face seal consists of a self-align-
ing primary ring, a rigidly mounted mating ring, a secondary seal such as an O-ring or bel-
lows that gives the primary ring freedom to self align, springs to provide loading of the seal
faces, and a drive mechanism to flexibly provide the driving torque. It is common to have the
pressure to be sealed on the outside, but in some cases the pressure is on the inside. The flex-
ibly mounted primary ring may be either the rotating or the nonrotating member.
Seal faces are initially lapped very flat (1 µm or better) so that only a very small leakage
gap results. In fact, using suitable materials, such faces lap themselves into conformity so that
such a seal can leak as little as a drop of liquid per hour. Face seals also can be used for seal-
ing gas.
0-8493-3904-9/97/$0.00+$.50
Dynamic Seals 735
NOMENCLATURE
With reference to Figure 1 and Figure 2, the following terminology, symbols, and formulas are
defined:
Primary Face — The flexibly mounted self-aligning face

Mating Face — The relatively rigidly mounted face
Secondary Seal — The flexible seal between the primary face and the housing or shaft
Three pressures used to characterize seal operation:
1. Sealed pressure p
2. Total pressure on the contact interface pface
3. Net pressure or contact pressure on the face pC

FIGURE 1 Mechanical face seal terminology. (From Lebeck, A.O., Principles and Design of
Mechanical Face Seals, John Wiley & Sons, New York, 1991. With permission.)
FIGURE 2 Balanced mechanical face seal terminology, pressures, and forces.
Af Area of the seal interface (in.2or m2)

B= (D02- Db2)/(D02- Di2) for outside pressurized (1)
B= (Db2- Di2)/(D02- Di2) for inside pressurized (2)
Balance ratio, the ratio of the net hydraulic closing area to the face area
dh/dt = K/H· pc· V (3)
Face wear rate (in./s or m/s)
D Diameter, the shaft diameter or mean face diameter, whichever is given
Db Balance diameter (defined by O-ring or bellows mean diameter) (in. or m)
Di Face inside diameter (in. or m)
Do Face outside diameter (in. or m)
fn Friction coefficient (net), the tangential friction force divided by the ne
load Wc
ft Friction coefficient (total), the tangential friction force divided by the total
load W*
Fs Spring load (lb or N)
κ The fraction of the sealed pressure which supports face load; usually taken
as 1/2

Dynamic Seals 737
K/H Wear coefficient as defined in Equation 3 (1/psi or I/Pa)

P Sealed pressure (psi or Pa)
Pface= W*/Af
Total pressure on the seal face (psi or Pa)
Pc = WcAf
Net or contact pressure (psi or Pa)
Ps= Fs/Af
Spring pressure (psi or Pa)
P= Wc⋅ fn⋅ V = W* ⋅ ft⋅ V (4)
Friction power (ft × lb/min or W)
PVn= pcV = [(B-k) . p + ps]V (5)
Net pressure pctimes velocity V (psi ⋅ ft/min or Pa ⋅ m/s)
PVs= pV (6)
Sealed pressure p times velocity V (psi ⋅ ft/min or Pa ⋅ m/s)
V The tangential speed taken at the mean face diameter or shaft diameter,
whichever is given, (ft/min or m/s)
Wc= Af⋅ [(B - k) ⋅ p + ps] (7)
Net or contact load, the total load acting to close the seal minus a force
due to kpAf (lb or N)
Wf Force caused by fluid pressure acting on the face (lb or N)
Wp Force caused by fluid pressure acting on the net closing area (lb or N)
W* = Af⋅ [B ⋅ p + ps] (8)
Total load acting on the face (lb or N)
MATERIALS
Most contacting mechanical face seals utilize carbon-graphite for one of the faces. The opposing face
is usually of a hard metal or ceramic, and other combinations are less common. Typical properties of
a number of common seal materials are given in Table 2.
SOURCES OF DATA
Lebeck and Guss (1988) tabulated much of the face seal tribological data,and abridged versions of
these are given as Tables 3 to 7. In some instances in tables to follow, data are presented based on
using both the net and total face pressures or the net and sealed pressures. In some cases, only one or
the other is given because insufficient information is available to translate from one to the other.
TYPICAL DESIGN AND LIMITING FACE PRESSURES, PV LIMITS

In all contacting face seals, at least after they are well worn in, one can make the argument that fluid
pressure within the interface supports a load of one-half of the sealed pressure if the fluid is a liquid
(somewhat more if the fluid is a gas). This load support from fluid pressure acts to significantly reduce
the pressure which must be borne by contact of the materials (or other load support mechanisms).
Since most of the face damage and heat arises from contact, the pressure which most closely charac-
terizes the severity of service is the net or contacting face pressure pc.
The PV limit is a well-known basis for setting a limit on the capability of a material pair in terms
of the product of pressure and sliding speed. PV is proportional to friction power per unit area.
Commonly, when the PV level reaches a limiting value, wear rate becomes unacceptably large or there
is thermal degradation, such as thermal cracking or fracture.
PV limits are material pair specific and specific to a given tribological application. PV limits are
also design dependent. Since heat transfer efficiency may vary from one design to the next, in one
design the same material may get hotter at a given PV level and thus have lower PV limit. PV

limit is, in a similar way, greatly influenced by friction coefficient. If one modifies the face, say by
grooving, so as to change the friction coefficient, then the PV limit will be greatly different. Thus,
at best, PV limits for seals are rough estimates.
Table 3 summarizes much of the published PV data. Much of the data is based on net pres-
sure, but sometimes sealed pressure is used, and this is reflected in the table. The temperature is that
of the fluid surrounding the seal. The sealed pressure is the operating pressure of the seal. Contact
or net pressure is as defined above. In some cases, a balance ratio is assumed to calculate the net
pressure. Sliding speed is based on the mean face diameter where available. In some cases only shaft
diameter is given, and it is used to calculate sliding speed. In each case one must be sure that the
two materials and the fluid type are similar before the data can be used.
The data by Johnson and Schoenherr (1980) are often quoted: moderate PVn capability is 3.5
Mpa × m/s (100,000 psi × ft/min) and a maximum is 17.5 Mpa × m/s (500,000 psi × ft/min).
However, operation above this limit does occur in practice.
FRICTION COEFFICIENTS
Friction coefficient data is useful for estimating seal friction power for cooling calculations and for
motor size calculations (see Equation 4).
Friction coefficient is influenced by sliding materials, temperature, fluid contact pressure, slid-
ing speed, and the state of lubrication. A change in the initial radial profile of a seal from divergent
to convergent can change friction coefficient by a factor of five or more. Introduction of lubrica-
tion features on the faces, including waviness, which is influenced not only by initial manufacture
but also by the design layout itself, can greatly affect friction. Nevertheless, after a contacting seal
has worn in service, these effects diminish and friction values tend to stabilize.
Table 4 summarizes the friction coefficient data available. While much of these friction data are
for long-term tests, some of it is for shorter term tests and may not be as reliable. Since this detail
has often not been reported in the source, some variation in friction data is to be expected.
Only a few fluids are represented in the friction data. Most laboratory tests are run with benign
fluids and not with the real fluids being sealed. Nevertheless, the data given do represent over two
orders of magnitude difference in fluid viscosity.
Finally, two friction coefficients are reported wherever possible. The first is based on net con-
tact pressure as discussed previously. The second is based on total face load. Friction coefficient
based on net load is more consistent over a range of variables than is friction coefficient based on
total load. This is because of the major role played by the fluid pressure in reducing the net face
load, especially on seals with low balance ratios. Thus, while friction based on total load is good for
a quick estimate, one should use friction based on net load for a careful estimate of seal power.
Typical values for net friction coefficient are 0.1 for contact friction down to 0.05 for the best
materials. Using lubrication enhancements, friction can be as low as 0.01 or lower. On the other
hand, using mismatched materials under adverse conditions, friction coefficient may become as
high as 0.3.
WEAR COEFFICIENT
Wear coefficients can be used to estimate seal ring wear rates so as to determine their useful life.
For various practical reasons, only so much depth for wear can be designed into a seal, and thus
wear rate can be used for this part of a design. However, very few seals fail due to large amounts
of gross wear. The symptom of failure is leakage, and leakage can occur without large gross wear.
Table 5 summarizes much of the available wear data. Many of the comments made about fric-
tion coefficients apply to wear coefficients. One can expect wide variations in wear rates in initial
seal operation even within the same materials due to uncontrolled tribological conditions. The test
duration is very important in that it must be long enough to ensure that the seal has spent

Dynamic Seals 739
Dynamic Seals 741
Dynamic Seals 743
Dynamic Seals 745
FOOTNOTES FOR TABLES 3 THROUGH 7
(lx) Resin-impregnated — grade x.

(4) Reaction bonded.
(4a) (4) + 10% free silicon.
(5) Sintered alpha.
(6) Densified and graphitized.
(7) Reaction sintered.
(8) Fused.
(9) 10% Nickel bonded.
(10a) Sintered — type A, 95% SiC, no free silicon.
(10b) Sintered — type B, 98% SiC, no free silicon.
(11) Deionized.
(12) Filtered.
(13) 55/45 Water/antifreeze.
(14) Babbitt-impregnated.
(15) 6% Cobalt binder.
(17) 12% Silicon.
(18) Phenol resin impregnated.
(19) Stellite (30% Cr, 50% Co, 13% W, 2.5% C) layer over stainless steel, AISI 316.
(20) 80% Cu, 10% Sn, 10% Pb.
(21) Impregnated with copper.
(22) 90% Cu, 10% Sn.
(26) Shrink fit in bronze.
(27) 12% Boric acid by weight.
(28) 2–5% Silicon.
(29) 8–12% Silicon.
(30) 0% Silicon.
(33) Thermoset resin bonded.
(34) With lubricating grooves.
(35) Only data for low leakage used (0.1 ml/min or less).
(36) Converted carbon.
(43) Average over 15,000 hours.
(44) Chrome.
(46) Metal impregnated.
(48) Coating.
(49) Balance ratio assumed 1.0.
(50) Balance ratio assumed 1.0 and negligible spring pressure.

Dynamic Seals 747
(51) Hydraulic.
(54) Antimony impregnated.
(55) 0.21 Mpa spring pressure assumed, balance ratio assumed 1.0.
(56) Stop-start.
(57) 6% Nickel binder.
(58) Thermal failure.
(60) Co-Cr-W-C alloy, solid.
(61) Sea water.
(62) Excessive wear and/or physical breakdown, or crackup due to excessive heat buildup.
(63) Limit of test rig, material could have handled more.
(64) Excessive heat generation.
(76) Limit of mild adhesive wear.
(77) PV for uniform wear rate corresponding to a life span of about 2 years.
(78) Not tested as a seal.
(79) Water + 2000 ppm sodium chromate.
(80) Wear exceeds 56.0E-12 m/s.
(81) Unbalanced seal.
(82) Wear life of 8000 hours.
(83) For the primary (p) material except as noted for mating (m) material.
(84) Reverse direction hourly.
(85) Balanced seal.
(86) Nickel cast iron.
(90) Average value, variable speed test.
(91) Seals of various designs in petroleum product refinery service.
(92) Averaged over ranges given in paper.
(93) Listed as pump discharge pressure in paper.
(98) Seals of various designs in process industry applications.

Dynamic Seals 749
Dynamic Seals 751
Dynamic Seals 753
Dynamic Seals 755
Dynamic Seals 757
a good fraction of the test at well worn-in, consistent conditions. Equation 3 shows how these data
are used. In some cases wear of both materials is given and is so reported. In most cases wear of only
the primary material is given because wear of the mating ring is often negligible in comparison.
SEAL LEAKAGE
Finally, one can use the leakage rates in Table 6 to estimate leakage for a wide range of contacting seal
applications. The limited information available shows that most contacting seals do have some small
leakage during normal operation.
Seal leakage data reported in Table 6 are based on measurements from various seal installations
ranging from the laboratory to plant installations. Many sealed fluids evaporate at rates comparable to
the leakage rates. Thus, leakage data must be carefully interpreted to see if all of the leakage was
trapped and measured or only that portion which did not evaporate. Many times only the residual leak-
age is measured. In some sealing conditions all of the fluid that leaks evaporates.
The parameters selected to describe each case are those which describe the seal and its applica-
tion. The leakage is given in g/h. Since many sealed liquids have densities around 10 g/ml, the figures
are approximately equivalent to ml/h volumetric leakage. The final column shows leakage in ml/h·
mm. This number is obtained by dividing the leak rate by the shaft diameter in mm.
A typical leakage rate for a liquid seal might be 0.05 g/h· mm. For a 2” or 50-mm shaft, one would
expect 2.5 g/h.
Based on a survey of process plants, leakage data for volatile hazardous air pollutants (VHAP)
have been compiled by Kittleman et al. (1994), and are noted as the last entries in the table. Thus, aver-
age VHAP leakage is reported as 2.9 g/h, which corresponds to 450 parts per million leakage con-
centration near the seal.
SEAL LIFE
Since some seals last indefinitely and others last only a short time, seal life has an infinite range. Even
so, one can use the data given to find out what to expect for an average application. The criterion for
seal life in plant applications is the time between installation and the time the seal is replaced because
it is leaking too much. What is “too much” may be very different from case to case. Machinery oper-
ators know when a seal is in the process of failing or when performance has degraded to a point where
the seal is unreliable.
Very little seal life data is available in published form. The few cases known are listed in Table 7.
The best type of data are those where there are a number of seals in a given service. In such cases
(Summers-Smith, 1981) there may be only a few failures out of a much larger number in operation.
Using Weibull analysis, the mean life can be estimated, and this is the number reported here. In the
case of the Buck (1978) data, the numbers given are the average life of failed seals.
LIP SEALS
From Stair (1984), elastomeric radial lip seals are used principally to retain liquids in and to exclude
contaminants from equipment for an enormous variety of applications involving shaft sizes from 5
to 1500 mm (0.20 to 60 in.). Retained fluids are commonly lubricating oils or liquids having some
lubricating qualities; sump temperatures vary from -60 to 200°C (-76 to 390°F), and periph eral speeds
range up to 20 m/s (4000 ft/min). Sealed pressures are moderate, in the range of 20 to 100 kPa (2.9
to 14.5 psi), but special lip seal designs have been used up to 3450 kPa at 15 m/s (500 psi at 3000
ft/min).
NOMENCLATURE
A typical dual lip seal is shown in Figure 3.

Dynamic Seals 759
Dynamic Seals 761
FIGURE 3 Typical bonded, dual lip elastomeric lip seal. (From Stair, W.K., in CRC Handbook of
Lubrication and Tribology, Vol. 3, Booser, E.R., Ed., CRC Press, Boca Raton, FL, 1994, 581–582. With
permission.)
OPERATION
Radial load depends upon lip interference, fluid pressure, spring loading, and elastomer properties.
Under stationary conditions, the lip contacts the shaft and forms a leakage barrier about 0.125 to 1.25
mm (0.005 to 0.050 in.) wide. Under dynamic conditions, the lip rides on a thin fluid film about 0.5
to 2.5 µm (20 to 100 µin) thick. According to Brink et al. (1993) sealing is due to a pumping effect
where the liquid is pumped back into the liquid side reservoir as fast as it would otherwise leak out
through the very thin fluid film formed between the lip and the shaft surface. Surface asperities play
an important role in the lubrication and pumping mechanism.
PERFORMANCE DATA
Brink et al. (1993) present extensive data on lip seal performance in the form of graphs to illustrate
relationships between the many variables involved. One can extrapolate or interpolate from these data
in order to get some estimate of the effect of changing a variable. The data in the graphs are based
on the one particular size and design of lip seal at the reference set of conditions given in Table 8.
LIFE
Stair (1984) gives as a general guide for elastomeric lip seals in continuous operating, general purpose
applications, long life is in excess of 1000 h, medium life is 400 to 800 h, and short life is 100 h or less
before observable leakage.
Brink et al. (1993) note that excessive lip temperature is the cause of shortened seal life. Heat may
cause cracking of the lip or blistering. Material may harden with age and become unable to follow shaft
eccentricity. Figures 4 and 5 show the effect of sump temperature and speed on life. Seal underlip tem-
perature increases with speed as shown in Figure 6. As Table 9 shows, some materials can withstand
variation of temperatures much better than others, so life of such materials will be greater in the same
temperature environment.
LEAKAGE
According to Stair (1984), approximate oil leakage rates for radial lip seals at 35 kPa (5 psi) vary from
1 × 10-4 to 1 × 10-2 ml/h/m of periphery per kPa AP (2 × 10-5 to 3 × 10-3 ml/h/in. of periphery

FIGURE 4 Seal life vs. sump temperatures. (From Brink, R.V., Czernik, D.E., and Horve,
L.A., Handbook of Fluid Sealing, McGraw-Hill, New York, 1993. With permission.)
per psi ∆P). Approximately 80% of high quality, carefully installed lip seals, fabricated from suit-
able elastomers, will leak about 0.002 g/h or about 1 drop per 8-h shift in continuous operation.
About 20% of such seals will leak 0.002 to 0.1 g/h or about 1 to 50 drops per 8 h.
Brink et al. (1993) measured lip seal inward pump rates for seals operating with zero differ-
ential pressure as shown in Figure 7. In fact it is commonly observed that many lip seals have
no leakage at all during the early part of their life due to this reverse pumping effect.

Dynamic Seals 763
FIGURE 5 Seal life vs. shaft speed at 121°C (250°F) sump temperature. (From Brink, R.V., Czernik,
D.E., and Horve, L.A., Handbook of Fluid Sealing, McGraw-Hill, New York, 1993. With permission.)
FIGURE 6 Seal lip temperature vs. sump temperature for various shaft speeds. (From Brink,
R.V., Czernik, D.E., and Horve, L.A., Handbook of Fluid Sealing, McGraw-Hill, New York, 1993.
With permission.)

LIP CONTACT LOAD

From Stair (1984), this most important performance parameter commonly ranges from 0.05 to
0.12 N/mm (0.3 to 0.7 lb/in.) of circumference. Lip load should be as low as possible with-
out leaking. Hydrodynamic type lip seals can operate with lower lip contact loads. Figure 8
shows how increased tension causes the underlip temperature to increase.

Dynamic Seals 765
FIGURE 7 Pump rate vs. shaft speed for various sump temperatures. (From Brink, R.V., Czernik,
FIGURE 8 Underlip temperature vs. shaft speed for various spring tensions. (From Brink,
With permission.)
TEMPERATURE
As stated, excessive lip temperature is a prime cause of seal failure. Figure 6 shows how underlip
temperature rises with increasing sump temperature. Figure 9 shows that the seal lip runs coolest if
the fill level is over half and hottest at a quarter level. Underlip temperature rise for an unwetted

FIGURE 9 Underlip temperature rise vs. shaft speed for various sump fill levels. (From Brink,
With permission.)
seal is about 5 to 6 times greater than that for operation fully submerged in the sealed fluid, so life is
short. Figure 10 shows how fill level affects seal life.
POWER AND TORQUE

Figures 11 and 12 show seal power and torque as functions of speed and sump temperature. Figures
13 and 14 show the effect of oil viscosity on power and torque. Finally Figure 15 shows the effect of
fill level on power.
PRESSURE
Lip seals are normally used where there is little or no differential pressure. When there is a significant
differential pressure, load on the lip increases rapidly, lip temperature increases, and life is shortened.
Figure 16 shows the strong effect of pressure on life for conventional seals. However, some lip seals
are appropriately designed to give better performance under differential pressure.
MATERIALS
The elastomer element must be compatible with the sealed fluid, withstand the high temperatures,
remain elastic at the lowest temperature anticipated, be low in cost, and be easy to process into a bond-
ed or assembled seal. Radial lip seals are made primarily from the materials shown in Table 9. Nitrile
is the most widely used. PTFE, a thermoplastic rather than an elastomer, has a wide temperature range
and is resistant to almost all fluids.
O-RING SEALS
APPLICATION RANGE
From Stair (1984) O-ring seals are used primarily for well-lubricated reciprocating service. With prop-
er design, they can be employed in low-speed rotary service at pressures up to about 5500 kPa

Dynamic Seals 767
FIGURE 10 Seal life vs. sump fill level. (From Brink, R.V., Czernik, D.E., and Horve, L.A.,
Handbook of Fluid Sealing, McGraw-Hill, New York, 1993. With permission.)
FIGURE 11 Power consumption vs. shaft speed for various sump temperatures. (From Brink,
With permission.)
(800 psi). The gland for rotary applications compresses the O-ring about 5% circumferentially. Its
depth is only slightly less than the O-ring cross-section, so there is little radial squeeze. O-rings and
other squeeze packings are made from a large number of elastomers in hardnesses from about

FIGURE 12 Seal torque vs. shaft speed for various sump temperatures. (From Brink, R.V., Czernik,
FIGURE 13 Power consumption vs. shaft speed for various fluid viscosities. (From Brink,
With permission.)
55 to 90 Shore A. A standard O-ring with a hardness of 60 will seal pressures in dynamic appli-
cations to about 1750 kPa (250 psi) and with a 90 hardness, about 10,500 kPa (1500 psi),
depending on the extrusion gap. When O-rings are used dynamically, an important design issue
is the sliding friction.

Dynamic Seals 769
FIGURE 14 Seal torque vs. shaft speed for various oil viscosities. (From Brink, R.V., Czernik, D.E.,
and Horve, L.A., Handbook of Fluid Sealing, McGraw-Hill, New York, 1993. With permission.)
FIGURE 15 Power consumption vs shaft speed for various sump fill levels. (From Brink,
With permission.)
SLIDING FRICTION
Parker Seal Company (1977) provides a generalized treatment of O-ring sliding friction. Figure
17 gives the nomenclature and shows an O-ring sliding perpendicularly to the plane of its
diameter with some friction Ff. Parker divides friction into that which results from the squeeze
of the O-ring alone and the additional friction that results from pressure. Thus,

FIGURE 16 Conventional seal life vs. sump pressure. (From Brink, R.V., Czernik, D.E., and
Horve, L.A., Handbook of Fluid Sealing, McGraw-Hill, New York, 1993. With permission.)
FIGURE 17 O-ring definitions. (From Lebeck, A.O., Principles and Design of Mechanical Face
Seals, John Wiley & Sons, New York, 1991. With permission.)
The first term is the friction due to compression and the force is proportional to the length of
contact,
Friction of the second term is proportional to projected area which is given by
Thus, O-ring friction is summarized by,

Dynamic Seals 771
Empirical data for the coefficients Fc and FH are uncommon. Figures 18 and 19 give some
data prepared by Lebeck (1991) that can be used in the above equations. Parker (1977) suggests
that static friction may be as much as 3 times dynamic sliding friction. Experience shows that
O-ring friction varies widely, depending on lubrication state, duration of set, speed of motion,
durometer, material of both O-ring and surface, and surface finish.
FIGURE 18 Sliding O-Ring friction due to compression. (From Lebeck, A.O., Principles and
Design of Mechanical Face Seals, John Wiley & Sons, New York, 1991. With permission.)
Lai and Kay (1993) ran a series of tests using a Taguchi statistical experimental design. The
variables considered in their Taguchi tests were O-ring cross section size, squeeze, pressure,
dwell time, and sliding speed. In related tests they also considered material, state of lubrication,
and surface roughness. The base line condition for these tests is 3.53 mm (0.139″) O-ring cross
section diameter, 12.6% squeeze, surface finish of 0.5 micrometer (20 pin.), sliding speed of
0.08 mm/s, 10-min dwell time, and lubricated with silicone grease. The reported friction is the
breakout friction just before continuous sliding displacement. Travel before breakout was typ-
ically 0.18 mm (0.007″). Breakout friction is larger than sliding friction.
Table 10 shows the design for the Taguchi series of experiments. The results of these tests
show that friction is most affected by pressure, followed in order by dwell time, squeeze, and
sliding speed. O-ring cross-section size was shown to have a small effect on the amount of fric-
tion measured (Figure 20), but the range of cross sections used is also small.
Figure 21 shows the effect of dwell time for fluorocarbon. From a separate test series,
Figures 22 and 23 show these same time effects for Buna N and perfluoroelastomer. Figure 24
shows the effect of surface finish, and Figure 25 shows the effect of lubricating the O-ring.
Finally, Figure 26 shows the effect of using different materials.

FIGURE 19 Sliding O-ring friction due to pressure. (From Lebeck, A.O., Principles and Design
of Mechanical Face Seals, John Wiley & Sons, New York, 1991. With permission.)
DYNAMIC STIFFNESS AND DAMPING

At small axial displacements for the same configuration as shown in Figure 17, O-rings do not
slide, but provide resistance to motion proportional to the amount of motion. Thus, they have
stiffness, and if the motion has velocity, there is additional force proportional to velocity or a
damping component of the resistance to motion. Green and Etsion (1985) provide the results
of tests. The data presented are for an O-ring o.d. of 76 mm, 70 durometer nitrile, and 75
durometer fluoroelastomer. Frequency range is from 100 to 300 Hz, and amplitude is of the
order of 10 micrometers (µm). The results are presented by curve fits as follows,
where co is in radians/s, and coefficients A and a and exponents B and b represent curve fits
of the experimental data. Using A, a, B, and b from Table 11 and finding (0 in radians/s, val-
ues of stiffness are given in N/m and damping in N ⋅ s/m. The table gives sample values at
200 Hz. S is the squeeze and W is the cross section diameter. These values are for the entire
76-mm O-ring and may be proportioned according to length for larger and smaller O-ring
diameters.

Dynamic Seals 773

FIGURE 20 Effect of squeeze and cross section at 2.1 Mpa pressure. Size #157: 0.103″ cross
section diameter, 4.487″ i.d.; size #247: 0.139″ cross section diameter, 4.609″ i.d. (From Lai, T.
and Kay, P., Lubr. Eng., May 1993, 349–356. With permission of the Society of Tribologists
and Lubrication Engineers.)
FIGURE 21 Effects of dwell time at three pressures. Material: fluorocarbon. (From Lai, T.
and Kay, P., Lubr. Eng., May 1993, 349–356. With permission of the Society of Tribologists

Dynamic Seals 775
FIGURE 22 Effects of dwell time at three pressures. Material: Buna N. (From Lai, T. and
Kay, P., Lubr. Eng., May 1993, 349–356. With permission of the Society of Tribologists and
Lubrication Engineers.)
FIGURE 23 Effects of dwell time at three pressures. Material: perfluoroelastomer. (From Lai,
T. and Kay, P., Lubr. Eng., May 1993, 349–356. With permission of the Society of Tribologists

FIGURE 24 Effects of surface finish, fluorocarbon material. (From Lai, T. and Kay, P., Lubr. Eng.,
May 1993, 349–356. With permission of the Society of Tribologists and Lubrication Engineers.)
FIGURE 25 Effects of lubrication. (From Lai, T. and Kay, P., Lubr. Eng., May 1993, 349–356.
With permission of the Society of Tribologists and Lubrication Engineers.)

Dynamic Seals 777
FIGURE 26 Effects of using different materials. (A) Perfluoroelastomer; (B) fluorocarbon;

(C, D) Buna N, E-O-ring handbook calculations. (From Lai, T. and Kay, P., Lubr. Eng., May
1993, 349–356. With permission of the Society of Tribologists and Lubrication Engineers.)


Dynamic Seals 779
REFERENCES
Abar, J.W., Rubbing contact materials for face type mechanical seals, Lubr. Eng., Oct. 1964, p. 381–386.
Abar, J.W., Performance limitations of high pressure end face seals, National Conference on Fluid
Power,1971, 56–73.
Brink, R.V., Czernik, D.E., and Horve, L.A., Handbook of Fluid Sealing, McGraw Hill, 1993
Buchter, H.H., Industrial Sealing Technology, John Wiley, New York, 1979
Buck, G.S., Selection and Design of End Face Mechanical Seals for Common Refinery Services, MS
thesis, Department of Mechanical Engineering, Louisiana State University, Baton Rouge, 1978.
Clifton, C., Molyneaux, A.K., Thew, M.T., and Farrar, R.A., Variation of performance of automotive
water pump seals with change in face materials, 10th Int. Conf. Fluid Sealing, Innsbruck, Austria,
BHRA, April, 1984.
Darfour, E., Comparison of Sintered Alpha and Beta Silicon Carbide, Morganite Ltd., Wandsworth,
U.K., September 11, 1988.
Dziedzic, J., Siliconized graphite and silicon carbide as face materials for mechanical seals in 12-per-
cent boric acid — nuclear service, Lubr. Eng., 36(11), 643–538, 1980.
Green, I. and Etsion, I., Pressure and squeeze effects on the dynamic characteristics of elastomer O-
rings under small reciprocating motion, ASME Publ. No. 85-Trib-5, 1985.
Hirabayashi, H. and Matsushima, A., A study of friction in high-speed face seals, Lubr. Eng., 40(9),
533–538,1984.
Howatson, A.M., Lund, P.G., and Todd, J.D., Engineering Tables and Data, Chapman and Hall,
London, 1972.
Johnson, R.L. and Schoenherr, K., Seal wear, in Wear Control Handbook, Peterson, M.B. and Winer,
W.O., Eds., American Society of Mechanical Engineers, New York, 727–753, 1980.
Kaydon Ring & Seals, Inc., Engineer’s Handbook — Piston Rings, Seal Rings, Mechanical Shaft Seals,
Baltimore, MD, 1987
Kittleman, T., Pope, M., and Adams, W., CMA/STLE Pump Seal Mass Emissions Study, Proc. 1lth
Int. Pump Users Symp. and Short Courses, Texas A&M, Houston, March, 1994, 57–62.
Kojima, K., Matsumoto, S., Fujita, T., and Koga, T., End-face seals for high ‘PV’ performance, Lubr.
Eng., 41(11), 670–674, 1985.
Labus, T.J., The influence of rubbing materials and operating conditions on the power dissipated by
mechanical seals, Lubr. Eng., 37(7), 387–394, 1981.
Lai, T. and Kay, P., Breakaway frictions of dynamic O-rings in mechanical seals, Lubr. Eng., May,
1993,349–356.
Lauzau, W.R., Shelton, B.R., and Waldheger, R.A., The use of carbon-graphite in mechanical seals,
Lubr. Eng., 19(5), 201–209, 1962.
Lebeck, A.O., Principles and Design of Mechanical Face Seals, John Wiley & Sons, New York, 1991.
Lebeck, A.O. and Guss, A.L., ACTIS Data Base, Mechanical Face Seal Tribological and Seal
Performance Data, sponsored by National Bureau of Standards, Gaithersburg, MD, and by
Mechanical Seal Technology, Inc., Albuquerque, NM, 1988.
Lohou, J., Mechanical seals for water injection pumps — A new hard face material, Lubr. Eng., 34(6),
320–326, 1978.
Long, D., CY10C Against Chromium Oxide Coated Steel Tested on the Seal Test Rig, Morganite Ltd.,
Wandsworth, U.K., August 11, 1987a.
Long, D., Seal Tests on CY10C Against MORSIL, Morganite Ltd., Wandsworth, U.K., October 6,
1987b.
Lymer, A., Mechanical Seals, Section A34 of the Tribology Handbook, Neale, M.J. Ed., Butterworth and
Company, London, 1973.
Lynch, C.T., Ed., CRC Handbook of Materials Science, Vol. III: Metals, Composites, and Refractory Materials,
CRC Press, Boca Raton, FL, 1975.
Massaro, A.J., The ‘Mating Pairs’ Concept for Mechanical Face Seals, STLE Preprint, 42nd Annu.
STLE Meeting, Anaheim, CA, 1987, 1–11.
Nau, B.S.,. Rotary mechanical seals in process duties: An assessment of the state of the art, in Proc.
Inst. Mech. Eng., 199(1), 17–31, 1985.
Parker Hannifin Corporation, Parker O-Ring Handbook, Parker Hannifin Corporation, Cleveland,
1990.
Paxton, R.R., Manufactured Carbon: A Self-Lubricating Material for Mechanical Devices, CRC Press, Boca
Raton, FL, 1979, 173 pp.
Paxton, R.R. and Hulbert, H.T., Rubbing friction in radial face seals, Lubr. Eng., 36(2), 89–95, 1980.

Pijcke, A.C. and Vries, P., Comparative testing of a number of radial face seals, Paper E2, 8th
Int. Conf., Fluid Sealing, Durham, England, BHR, September, 1978.
Shapiro, W., Hydrodynamic and hydrostatic seals, in Handbook of Lubrication and Tribology, Vol.
3, Booser, E.R., Ed., CRC Press, Boca Raton, FL, 1995, 445–468.
Stair, W.K., Dynamic seals, in Handbook of Lubrication, Vol. 2, Booser, E.R., Ed., CRC Press,
Boca Raton, FL, 1984, 581–622.
Summers-Smith, D., Performance of mechanical seals in centrifugal process pumps, Paper HI,
9th Int. Conf. Fluid Sealing, Noordwijkerhout, Netherlands, BHRA, 1981.
Tribe, F.J. and Green, G.A., Assessment of mechanical seal face materials under controlled
interface torque, ASLE/ASME Tribology Conference in Atlanta, GA, ASLE Preprint No.
85-TC-1C-2, 1985.
Trytek, J.J., The application of mechanical end face seals for hot water service, Lubr. Eng.,
29(1), 17–23,1973.
Von Bertele, O., Why do seals fail unpredictably, Paper L4, 10th Int. Conf. Fluid Sealing,
Innsbruck, Austria, BHRA, April, 1984.
Warring, R.H., Seals and Sealing Handbook, Gulf Publishing Company, Houston and Trade &
Technical Press, Ltd., Crown House, Morden Surrey, U.K., 1981.
Wensel, R., Cotnam, B., Gentili, H., and Constantinescu, I., Friction and axial force/displace-
ment characteristics of elastomer seals in water, Lubr. Eng., 41(9), 550–555, 1985.
Young, L.A. and Lebeck, A.O., Experimental evaluation of a mixed friction hydrostatic
mechanical face seal model considering radial taper, thermal taper, and wear, J. Lubr. Technol.,
Oct., 1982, 439–47.

67 Gear Lubricant Selection and

Application
Robert L. Errichello
CONTENTS
Introduction....................................................................................................................................781
Lubricant Type................................................................................................................................781
Lubricant Viscosity.........................................................................................................................782
Oil Lubricant Application.............................................................................................................783
Gear Geometry...............................................................................................................................784
Scuffing Risk Evaluation...............................................................................................................787
Wear Risk Evaluation.....................................................................................................................789
For Further Information...............................................................................................................792
References.......................................................................................................................................793
Example Calculations (Includes Nomenclature).......................................................................793
INTRODUCTION
Methods are described for selecting and applying gear lubricants and evaluating the risk of
scuffing and wear for spur and helical gears. Equations based on ANSI/AGMA 2101 (1995)
are simplified to ease computation. New data are given for viscosity and pressure-viscosity
coefficient for mineral and synthetic gear lubricants.
The scuffing risk evaluation is based on Blok’s (1937) critical temperature hypothesis, and
the wear risk evaluation is based on the Dowson and Toyoda (1978) equation for elastohy-
drodynamic (EHL) film thickness.
LUBRICANT TYPE
Lubricant type is chosen depending on the type of gearing and enclosure, operating speed
and load, ambient temperature, oil temperature, and method of lubricant application. Most
gears are lubricated with the following types:
• Oil — Should be used unless operating conditions preclude its use. Readily distributed
to gears and bearings. Good lubricating and cooling properties. Contamination readily
removed by filtering, or draining and replacing. Requires oil-tight enclosure. The least
expensive system is a totally enclosed bath of mineral oil.
• Grease — Suitable only for low-speed, low-load applications because it does not cir-
culate, and it is a relatively poor coolant. Contaminants are trapped and require costly
maintenance to remove. Often used where enclosures are not oil tight.
0-8493-3904-9/97/$0.00+$.50
• Open-gear lubricant — Viscous adhesive semifluid used on large low-speed open gears
in applications such as mills, antenna drives, bridge drives, and cranes. Shares disadvan-
tages of grease. Enclosed oil-lubrication is preferred.
• Solid lubricant — Bonded solid film of molybdenum disulfide, graphite, polytetrafluo-
roethylene, or tungsten disulfide. Used where temperature is too high or too low for an
oil or grease, where leakage cannot be tolerated, or where the gears operate in a vacuum.
Expensive to apply and has limited wear life.
Spur, helical, and bevel gears have similar lubrication requirements. Low viscosity rust- and
oxidation-inhibited (R & O) mineral oils are used in high-speed gear units where gear tooth
loads are relatively low. Slower speed gears, especially carburized gears, are more heavily loaded.
These gears require higher viscosity lubricants and may require antiscuff additives.
Hypoid gears, such as those in automotive axles, are especially prone to scuffing because
they are heavily loaded and have high sliding velocities. Therefore, hypoid gear oils have high
concentrations of antiscuff additives.
Worm gears have high sliding velocity and significant frictional losses. Because their tooth
loads are relatively light, they are successfully lubricated with mineral oils that are compound-
ed with lubricity additives.
LUBRICANT VISCOSITY
Lubricant viscosity must be low enough to allow the oil to flow freely at the minimum ambi-
ent temperature during start-up, but high enough to provide adequate film thickness at the
maximum oil temperature during continuous operation. Ambient temperature is the dry bulb
air temperature in the immediate vicinity of the installed gears. Oil temperature is the temper-
ature of the oil supplied to the gear teeth. The following procedure is recommended for select-
ing lubricant viscosity:
1. Select a gear lubricant with viscosity at least equal to ν40 calculated from:
where
ν40 = kinematic viscosity at 40°C, cSt
νt = pitchline speed of the lowest speed gearest, m/s (see Equation 46)
2. If there is no oil cooler, determine the maximum expected ambient temperature during operation
and:
• Increase one ISO viscosity grade if ambient temperature exceeds 35°C.
• Increase two ISO viscosity grades if ambient temperature exceeds 50°C.
3. If there is an oil cooler, the maximum ambient temperature is less important because the oil tem-
perature can be controlled. Therefore, the viscosity should be based on the oil temperature:
• Increase one ISO viscosity grade if oil temperature exceeds 70°C.
• Increase two ISO viscosity grades if oil temperature exceeds 85°C.
4. Determine the oil temperature during all operating conditions. If it exceeds 90°C, control oil tem-
perature by using a cooler such as a fan or heat exchanger.
5. Pour point of the oil should be at least 5°C below the minimum expected ambient temperature
during start-up. If not, use an oil with the required viscosity but a lower pour point, or use a heater
to heat the oil prior to starting.

Gear Lubricant Selection and Application 783
OIL LUBRICANT APPLICATION

The method of applying the lubricant to the gear teeth depends primarily on the pitchline velocity.
Splash lubrication systems are the simplest, but they are limited to a pitchline velocity of about
15 m/s. The gears should dip into the oil bath for about twice the tooth depth to provide adequate
splash for pinions and bearings while minimizing losses due to churning.
Splash lubrication can be extended to about 25 m/s by using baffles to reduce churning.
However, auxiliary cooling may be required above 15 m/s.
Pressure-fed systems are required above 25 m/s. For gearboxes with rolling-element bearings,
spraying the oil at the gear mesh only and relying on splash to lubricate the bearings is permissible
up to 35 m/s. Above this speed, and for gear drives with journal bearings, both gears and bearings
should be pressure-fed.
Oil jets should be placed on the incoming side of the gear mesh for pitchline velocities less than
40 m/s. Above 40 m/s, more oil is needed for cooling than lubricating, and the oil flow removes heat
best when directed at the outgoing side of the gear mesh.
At speeds greater than 80 m/s, there is a risk that the amount of oil carried to the incoming side
of the gear mesh may be inadequate, and it is prudent to add supplementary flow at the incoming
side. About two thirds of the flow should be supplied to the outgoing side for cooling, and one third
of the flow directed at the incoming side for lubrication.
In pressure-fed systems, the following items must be carefully designed to provide adequate
lubrication and cooling:
• Quantity of flow
• Jet size
• Feed pressure
• Number of jets
Table 1 gives empirical values for the quantity of oil flow. For a typical industrial application trans-
mitting 160 kW, where weight is not critical, the designer might choose 40 kW/(1/min) resulting in
a copious flow of 41/min. On the other hand, for a high efficiency aviation application transmitting
160 kW, where weight is critical, 160 kW/(1/min) might be chosen, resulting in a lean flow of 1
1/min. Some applications may require different flow rates than those given by Table 1. For instance,
wide-face, high-speed gearing may require higher flow rate for uniform cooling and full-face cover-
age.
Jet size, feed pressure, and number of jets must be designed to maintain proper flow rate,
jet velocity, and full-face coverage. Jet diameter can be calculated for a given flow rate and pres-
sure, based on the viscosity of the oil at the operating temperature. The minimum recom-
mended jet size is 0.8 mm. If a smaller jet is used, contaminants in the oil may clog it. Typical
jet diameters range from 0.8 to 3 mm.

Feed pressure determines jet velocity and the amount of oil that penetrates the gear mesh.
Typical feed pressures range from 1 to 7 bar. Industrial application feed pressures are typical-
ly 1 to 2 bar, and high-speed aerospace applications are typically 7 bar. The higher the pressure,
the greater the cooling; but the higher the pressure, the smaller the jet diameter. Therefore,
pressure is limited by the minimum recommended jet diameter of 0.8 mm.
The number of jets should be sufficient to provide complete lubrication coverage of the
face width. More than one jet per gear mesh is advisable because of the possibility of clogging.
The upper limit on the number of jets is set by flow rate and jet size; too many jets for a given
flow rate give jet diameters less than the minimum recommended.
GEAR GEOMETRY
Equations 2 through 27 give the gear geometry used to determine contact temperature and
specific film thickness. The equations apply to both spur and helical gears; spur gearing is a
particular case with zero helix angle. Where double signs are shown, for example (±), the upper
sign applies to external gearsets and the lower sign to internal gearsets. See Figure 1 for the
geometry of meshing gear teeth.
Gear ratio
Standard pitch radius of pinion
Operating pitch radius of pinion
Transverse generating pressure angle
Base radii
Transverse operating pressure angle

FIGURE 1 Geometry of meshing gear tooth surfaces.
Transverse base pitch
Normal base pitch

Axial pitch (helical gears)
Base helix angle
Operating helix angle
Normal operating pressure angle
Distances along line of action
Transverse contact ratio
Axial contact ratio (helical gears)

Minimum contact length for helical gears where (1 - nr) ≥ na
Minimum contact length for helical gears where (1 - nr) < na
For spur gears
SCUFFING RISK EVALUATION
The probability of scuffing is determined by comparing the calculated contact temperature

with the mean scuffing temperature of the particular lubricant. The higher the load, speed, fric-
tion, and surface roughness, the higher the risk of scuffing.
Normal unit load
Average surface roughness
Mean coefficient of friction (limited to µm < 0.18)
Flash temperature factor
Flash temperature

Contact temperature
Maximum flash temperature—As gear teeth mesh, the instantaneous flash temperature
varies with contact location along the line of action. The maximum flash temperature
usually occurs at one of the ends of the line of action or at the highest or lowest point
of single tooth pair contact. To determine the maximum value, the flash temperature
should be calculated at the six points shown in Table 2.
Scuffing temperature
For nonantiscuff mineral lubricants, the mean scuffing temperature (50% chance of
scuffing) is given by:
where ν40 is the kinematic viscosity at 40°C.

For mineral gear lubricants with low concentrations of antiscuff additives, the mean
scuffing temperature is given by:
Scuffing temperatures for synthetic lubricants are shown in Table 3.

Scuffing risk — The scuffing risk should be calculated from a Gaussian distribution of the
scuffing temperature about the mean value. Typically the coefficient of variation is at
least 15%.
WEAR RISK EVALUATION

The probability of wear-related distress is determined by comparing calculated specific film
thickness with empirical data shown in Figure 6. The minimum film thickness usually occurs
near the lowest point of single tooth pair contact (lowest point on the tooth of a spur gear
where a single pair of teeth carries the load). At this point the entraining velocity, normal rel-
ative radius of curvature, and load sharing factor are:
The following are dimensionless parameters:
Materials parameter
Speed parameter
Load parameter

Central film thickness parameter
The dynamic viscosity is obtained from Figure 2 for mineral lubricants and from Figure 4
for PAO synthetic lubricants. The pressure-viscosity coefficient is obtained from Figure 3 for
mineral lubricants and from Figure 5 for PAO synthetic lubricants.
Values for dynamic viscosity and pressure-viscosity coefficient should be read from the
appropriate figures at the gear tooth bulk temperature.
For steel materials with elastic moduli E = 206800 N/mm2 and Poisson’s ratio V = 0.3, the
reduced modulus is Er = 227300 N/mm2.
FIGURE 2 Dynamic viscosity vs. temperature for non-VI-improved mineral oil-based and
ester-based gear lubricants.
The central film thickness is given by:
The composite surface roughness is given by:
The specific film thickness (lambda) is given by:

FIGURE 3 Pressure-viscosity coefficient vs. temperature for non-VI-improved mineral oil-

based and ester-based gear lubricants.
FIGURE 4 Dynamic viscosity vs. temperature for non-VI-improved PAO based synthetic
gear lubricants.

FIGURE 5 Pressure-viscosity coefficient vs. temperature for non-VI-improved PAO-based

synthetic gear lubricants.
Figure 6 is a guide to the probability of wear-related distress based on the specific film
thickness and the operating pitchline velocity given by:
It is best to have λ > 1 but many gears must operate under boundary-lubricated conditions (λ
< 1) because of practical limits on viscosity, speed, and temperature. Some wear is inevitable.
Mild adhesive wear occurs during running-in and usually subsides with time, resulting in a tol-
erable wear rate. The amount of wear that is tolerable depends on the expected life for the
gears and on allowable levels for sound and vibration.

Friction, Lubrication, and Wear of Gears by Errichello (ASM Handbook, Volume 18, 1992,
535-545) provides additional information on gear tribology including lubrication-related fail-
ure modes, EHL lubrication, lubricant selection, and application of gear lubricants.
The American Gear Manufacturers Association (AGMA) develops industrial standards and
information sheets through its technical committees. For information regarding gear standards,
contact the AGMA at 1500 King Street, Suite 201, Alexandria, VA 22314, or by phone at (703)
684-0211.

FIGURE 6 Probability of wear distress, percent.
REFERENCES
ANSI/AGMA 2101-C95, American National Standard, Fundamental Rating Factors and
Calculation Methods for Involute Spur and Helical Gear Teeth, American Gear Manufacturers
Association, Alexandria, VA 1995.
Blok, H., Les temperatures de surface dans des conditions de graissage sous pressions extremes, 2nd World
Petroleum Congr., Paris, June 1937.
Dowson, D. and Toyoda, S., A central film thickness formula for elastohydrodynamic line con-
tacts, Paper 11 (VII), 5th Leeds-Lyon Symp. Proc., 1978, 60-65.
EXAMPLE CALCULATIONS
Given data for external helical gearset:
z1 = 19
z2 = 60
b = 190 mm
ra1 = 135.85 mm
ra2 = 390.14 mm
mn = 12 mm
αn = 20°C
β = 11°C
a = 500 mm
P = 450 kW
n1 = 120 rpm
Ko = 1.1
KH = 1.3

Kv = 1.06
Ra1 = 0.6 µm
Ra2 = 0.8 µm
θM = 85°C
Lubrication system = oil bath without cooler
Maximum expected ambient temperature = 35°C
Minimum expected ambient temperature = -5°C
GEAR GEOMETRY CALCULATIONS

Based on Equations 2 through 26. (See Table 4 for nomenclature.)


LUBRICANT SELECTION
Pitchline velocity (Equation 46)

Minimum lubricant viscosity (Equation 1)
This is the minimum required viscosity. Therefore, use an ISO 460 lubricant. Since the maxi-
mum expected ambient temperature does not exceed 35°C, a mineral oil of ISO 460 viscosity
is adequate.
A typical pour point for an ISO 460 mineral gear lubricant is -18°C. Therefore, the pour
point of a mineral oil is more than 5°C below the minimum expected ambient temperature of
-5°C, and the lubricant does not have to be heated prior to start-up.
Data from Figures 2 and 3 at θM = 85°C
Scuffing temperature for mineral gear lubricant (Equation 35)
SCUFFING RISK EVALUATION

Based on Equations 28 through 32.

The maximum flash temperature occurs at point A. The corresponding maximum contact
temperature from Equation 33 is
Comparing the calculated contact temperature of θB = 158°C with the mean scuffing temper-
ature of the lubricant of θS = 320°C indicates a low risk of scuffing.
WEAR RISK EVALUATION

Based on Equations 36 through 45.

Since λ < 1, the gears operate in the boundary lubrication regime. However, Figure 6 with λ = 0.3
and vt = 1.5 m/s, indicates that the probability of wear-related distress is only about 25%.

68 Brakes
Valery V. Dunaevsky
CONTENTS
Nomenclature.................................................................................................................................800
Friction Materials............................................................................................................................801
Brake Temperatures.......................................................................................................................802
Friction............................................................................................................................................807
Instantaneous Variability of Friction Coefficient......................................................................808
Wear..................................................................................................................................................809
Acknowledgment...........................................................................................................................809
References.......................................................................................................................................810
NOMENCLATURE
Aa Nominal contact area, m2

Avent Air-swept area of the brake component, m2
a Thermal diffusivity, m2/s
b Characteristic dimension of a component of the friction couple,
thickness of the rim, rotor, or friction pad, m
bef 1.73 (at)1/2= effective depth of heat penetration into the friction
surface, m2,4; see Figure 5
c Specific heat, Jkg-1 - oK-1
Eg (I,n) Amount of heat liberated during individual braking actioni or n, J
Fo at/b2= Fourier’s criteria
g Acceleration of a free body, m/s2
i = (0 through k = n - 1) Number of a braking action preceding action n
k = σAvent/Mc Heat transfer parameter, 1/s
L Load per brake, N
t Braking time, s
tc Cooling time, s
T0 Ambient temperature, °K
Tcand Tf Cooling and before cooling temperatures, °K
V1, V2 Initial and final speed during braking
α Heat transfer coefficient, Wm-1 - °K-1
α′ Heat partition coefficient
∆T = (1 - α′)(Eg - ∆g)/Mc Bulk temperature during a single braking action within a series of
short repetitive actions, °K
0-8493-3904-9/97/$0.00+$.50

Brakes 801
∆ct Heat losses during cooling, J

∆g(i,n) Heat losses during braking, J (for approximate calculations
∆g = 0)
λ Coefficient of thermal conductivity, Wm-1- °K-1
ρ Density, kg/m3
σ Emissivity, Wm2 - °K-1
τN, τw Parameters associated with a variation of a friction power and
work, respectively, during a braking action2,3
FRICTION MATERIALS

BRAKE TEMPERATURES

Brakes 803
Dynamics of the bulk (initial) and surface temperatures during a railroad wheel braking
(the dynamometer test data and the data calculated based on the formulas of Table 7) are
shown in Figure 1. A substantial effect of the mass of a heat-absorbing brake component on
a braking temperature is shown in Figure 2. An influence of a cooling time and wheel speed
on a cool-down wheel tread temperature is shown in Figure 3.

FIGURE 1

Brakes 805
FIGURE 1 A profile of the initial (bulk) and surface temperatures of a wheel tread for a typ-
ical series of braking actions of a subway car (based on Figure 32): a, initial (bulk) tempera-
tures; b, maximum temperatures; c, superposition of the calculated bulk and maximum tem-
peratures. Test conditions: wheel load = 146,824 N; wheel diameter = 1.02 m; rim thickness =
0.076 m; range of initial speed = 32 to 104 km/h; range of shoe forces = 21,000 to 31,000 N;
elapsed time = 1h.
FIGURE 2 Effect of disc thickness of an automotive disc brake on temperature rise when
cooling is ignored.5 — disc surface temperature rise; – – – average temperature rise. (From
Newcomb, T.P., J. Mech. Eng. Sci., 2(3), 171, 1960. With permission.)

FIGURE 3 Wheel tread cool-down temperature for a 41” AAR (Association of American
Railroads) wheel with 3” thick rim. The calculations were done using this expression: Tc = Tf
exp[(α/λ)2][1 - erf(α/λ)(at)1/2].
erf = error function = (From Dunaevsky, V.V., Tribol. Trans., 34(3),
343–352, 1991. With permission.)
FIGURE 4 Mean temperature on cruising — bulk temperature during short repetitive brak-
ing actions.4 (From Fazekas, G.A.G., SAE Trans., 61, 679–291, 1953. With permission.)

Brakes 807
FIGURE 5 Effective depths of the wheel rim and brake disk; bef max = maximum value of bef; see
Nomenclature. (From Dunaevsky, V.V., Tribol. Trans., 34(3), 343–352, 1991. With permission.)
FRICTION

INSTANTANEOUS VARIABILITY OF FRICTION COEFFICIENT
Coefficient of friction (COF) and subsequently braking torque vary in a process of a braking
action. For the same friction couple, and all other conditions being the same, COF will vary
during a braking action depending on initial speed and duration of braking. It passes through
the minimum for high-speed braking, Figure 6 and Figure 7.
FIGURE 6 Typical dependence of a friction torque on initial speed at braking of a freight

car wheel: (a) through (e) are torque curves for speeds from 16 km/h to 144 km/h, respec-
tively, for a wheel load 92,737 N, shoe force 19,355 N, and wheel diameter of 0.91 m. (From
Dunaevsky, V.V., Tribol. Trans., 34(3), 343–352, 1991. With permission.)

Brakes 809
FIGURE 7 Typical variation of shoe-wheel COF and braking temperature during a high-
speed braking.
(Railroad friction material developers rely on the instantaneous friction coefficient µ presented as
a dependence on the instantaneous speed V (mile/h) and wheel temperature T (°F) in the form of a
second degree polynomial:9 µ = a0 + a1V + a2T + a3VT + a4V2 + a5T2. The values of the coefficients
for one popular composition friction material for a medium range of shoe forces are: a0 = 0.316; a1 =
-0.871e-3; a2 = 0.118e-3; a3 = –0.129e-6; a4 = 0.1218e-5; a5 = -0.158e-6.)
WEAR
Wear equation for normal brake usage:
W = wear rate of the brake lining in the units of wear volume (mass) per unit of fric-
tional work
W0 = low-temperature lining wear constant {W0= 40 to 100 mg/MJ (0.003 to 0.008
in.3/hp . h) for good automotive brake linings}
A = friction material wear constant
B = another friction material wear constant
T = brake interface temperature
ACKNOWLEDGMENT
Support from Joe Kahr, Railroad Friction Product Corporation, is gratefully acknowledged.

FIGURE 8 Specific wear rates for disc brake linings of different classes: (A) sintered metal-
lic truck lining of class IV; (B) automotive resin - asbestos friction material of class III; (C)
experimental carbon-carbon lining of class VI (running against a rotor of the same material);
(D), resin-asbestos truck lining of class III. (From Anderson, A.E., in Wear Control Handbook,
ASME, New York, 1980, 843–857. With permission.)
REFERENCES
1. Anderson, A.E., Wear of brake materials, Wear Control Handbook, ASME, New York, 1980, 843–857.
2. Dunaevsky, V.V., Prediction of railroad friction braking temperatures: Prediction of average bulk
and average surface temperatures of railroad wheels and brake discs, Tribol. Trans., 34(3), 343–352,
991.
3. Chichinadze, A.V., Calculation and Analysis of Friction during Braking, Nauka, Moscow, 1967, 7.
4. Fazekas, G.A.G., Temperature gradients and heat stresses in brake drums, SAE Trans., 61, 279–291,
1953.
5. Newcomb, T.P., Temperatures reached in disc brakes, J. Mech. Eng. Sci., 2(3), 171, 1960.
6. Carslaw, H.S. and Jaeger, J.C., Conduction of Heat in Solids, 2nd ed., Clarendon Press, Oxford, U.K.,
1959, 51.
7. Shigley, J.E. and Mischke, C.R., Mechanical Engineering Design, 5th ed., McGraw-Hill, New York, 1989,
654.
8. Brake Shoes. High Friction Composition Type, Association of American Railroads, Washington, D.C,
Mechanical Division, Manual of Standards and Recommended Practices, Effective: February 15,
973.
9. Chichinadze, A.V., Polymers in Friction Assemblies of Machines and Devices, Allerton Press, NewYork,
1984.

69 Piston Rings
Valery V. Dunaevsky
CONTENTS
General................................................................................................................................................811
Theoretical Relationships.................................................................................................................811
Ring Friction......................................................................................................................................812
Oil Loss Relations..............................................................................................................................813
Piston Ring Materials........................................................................................................................816
Requirements for Piston Ring Mating Surfaces............................................................................819
Piston Ring Lubrication...................................................................................................................820
Piston Ring Design Features............................................................................................................821
References and Recommended Literature.....................................................................................821
GENERAL
Piston rings in engines and compressors have three main functions: to seal the working cham-
ber from the crankcase, to assist in the flow of heat from piston to cylinder wall, and to con-
trol oil consumption.
In order to achieve efficient sealing, the piston ring should make a good fit with both the
cylinder wall and the top or bottom of the piston ring groove. The radial fit is achieved by the
inherent spring force of the ring, together with the pressure of the working medium acting
from behind the ring. In the case of an engine, the working medium is the combustion gas.
The axial position of the ring within its groove is determined by the gas pressure and the iner-
tia and friction forces, and can alternate between the top and bottom of the groove (Figure 1).
THEORETICAL RELATIONSHIPS
The ring is forced against the cylinder wall under a contact pressure, p, which depends on the
dimensions and the total free gap of the ring and on the modulus of elasticity of the materi-
al used. The total free gap is defined as the distance, measured along the neutral axis, between
the ends of a piston ring in its uncompressed state (Figure 2). A ring can be given a constant
or a variable contact pressure p, the latter being a function of the angle ϕ (Figure 3).
The measurement of p is extremely difficult. In practice, it is therefore calculated from the
tangential force. The tangential force is the force which, when applied tangential to the ends
of the ring, is sufficient to close the ring to the specified closed gap. By comparing the bend-
ing moment of the tangential force against that of the constant contact pressure, the rela-
tionships of Table 1 are established.
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FIGURE 1 Forces acting on piston ring.
FIGURE 2 Piston ring nomenclature.
RING FRICTION
The following factors affect the friction of piston rings in the direction of axial motion of the
piston — a major source of piston ring friction: contact pressure due to ring elasticity and gas
load, ring axial width, shape of the ring face, and its coefficient of friction which, besides the
listed factors, depends also on microgeometry of ring/cylinder interface, lubrication regime,
and ring and bore materials, coatings, (see Figure 4).
Ring face coatings with a better coefficient of friction can only be effective in crank angle
ranges in which there is no hydrodynamic lubrication. This is the case in small regions around
the dead centers. In these areas, however, the piston velocity is so low that any effect of the
face coating on the friction loss of the complete working cycle is probably negligible.

Piston Rings 813
FIGURE 3 Constant and variable contact pressure of a piston ring.
Typical measures to reduce friction are:
• Lowering of the contact pressure

• Decreasing the axial width, or the land width in the case of oil rings
• Reducing the number of rings per piston
For the first two measures, oil control rings are particularly suitable. They cause up to 60%
of the ring friction, the remainder being divided among the number of compression rings.
OIL LOSS RELATIONS

A contribution of each of the principal sources of oil consumption may substantially vary
depending on type of engine or compressor where the piston rings operate, operating condi-
tions, bore distortion, ring twist, entrainment of gas, ring-groove clearances, piston-bore clear-
ance, surface finish of the ring mating surfaces, and other characteristics of the reciprocating
mechanism (Figure 5).
Oil flow Qg through the ring gap during an expansion stroke is considered to be the major
source of oil consumption, and is given by:7
k1 = oil film thickness-related parameter, m

k2 = parameter related to width of the land between the first and second rings, m
N = frequency of piston oscillation, rpm
r = radius of puddle of oil consumed, m
s = end clearance, m
ρ = density of the oil, kg/m3


Piston Rings 815
FIGURE 4 Friction characteristics of piston rings surface treatments. (From Yoshida, H. et

al., SAE Pap., No. 900589, 1990. With permission.)
FIGURE 5 Principal mechanisms of oil transport to the piston top and oil consumption.

PISTON RING MATERIALS

Piston Rings 817

Piston Rings 819
REQUIREMENTS FOR PISTON RING MATING SURFACES

PISTON RING LUBRICATION
FIGURE 6 Comparison of piston and piston ring configurations based on presence of lubri-
cation. (From Fuchsluge, J.H. and Vandunsen, V.L., in Weat Control Handbook, ASME, New
York, 1980, 667–698. With permission.)
FIGURE 7 Typical minimum oil film thickness for the individual rings of automotive engines.
(From Jeng, Y.-R., SAE Pap., No. 920492, 1992. With permission.)

Piston Rings 821
PISTON RING DESIGN FEATURES
FIGURE 8 Design features of a typical cast iron compression piston ring.
REFERENCES AND RECOMMENDED LITERATURE
1. Piston Ring Manual, GOETZE, AG, D-5093, Burscheid, 1989.

2. SAE Handbook, 2, Parts and Components, Society of Automotive Engineers, Warrendale, PA, 1994.
3. Engineer’s Handbook of Piston Rings, Seal Rings, Mechanical Shaft Seals, Kaydon Ring & Seals, Baltimore,
MD, 1987.
4. Dunaevsky, V.V., Analysis of distortion of cylinders and conformability of piston rings, Tribol.
Trans., 33(1), 33–40, 1990.

5. Abe, S. and Suzuki, M., Analysis of cylinder bore distortions during engine operation, SAE Pap.,
No. 950541, 1995.
6. Yoshida, H. et al, Effect of surface treatment on piston ring friction force and wear, SAE Pap., No.
900589, 1990.
7. Hoult, D.P. and Shaw, B.T., II, The puddle theory of oil consumption, Tribol. Trans., 37(1), 75–82,
1994.
8. O’Rurke, J.T., You can tailor the properties of ‘teflon’ with fillers, J. “Teflon”, Reprint 13, Sept.-Oct.
1962 (out of print).
9. Helsing, D.M., A Study of Typical Bore Finishes and Their Effect on Engine Performance, Sealed
Power Corp., Muskegon, MI, 1987.
10. Dunaevsky, V.V., Surface texture, Tribology Data Handbook, Booser, E.R., Ed., CRC Press, Boca
Raton, FL, chap. 40.
11. Fuchsluger, J.H. and Vandunsen, V.L., Unlubricated piston rings, Wear Control Handbook, ASME,
New York, 1980, 667–698.
12. Jeng, Y.-R., Friction and lubrication analysis of a piston ring pack, SAE Pap., No. 920492, 1992.
13. Wahiduzzaman, S., A model for evaporative consumption of lubricating oil in reciprocating
engines, SAE Pap., No. 922202, 1992.
14. Neale, M.J., Drives and Seals. A Tribology Handbook, SAE, Warrendale, PA, 1994.
15. Sui, P.C. and Ariga, S., Effects of lubricant starvation and surface roughness on piston ring lubri-
cation mechanism, ASME Pap., No. 92-ICI 7, 1992.
16. Landheer, Ir. D. et al., TEFLON. A Tribological Characterization of TEFLON® PTFE Compounds,
DuPont de Nemours International S.A., Geneva, 1992.
17. Dursunkaya, Z. et al., Experimental and numerical investigation of inter-ring gas pressures and
blowby in a diesel engine, SAE Pap., No. 930792, 1993.
18. Keribar, R. and Dursunkaya, Z., A comprehensive model of piston skirt lubrication, SAE Pap.,
No. 920483, 1992.
19. Keribar, R. et al., An integrated model of ring pack performance, Trans. ASME, 113, 382–389,
1991.
20. Jeng, Y.-R., Impact of plateaued surfaces on tribological performance, presented at the STLE 50th
Annu. Meeting, Chicago, IL, May 14 to 19, 1995.
21. Hill, S. et al., Bench wear testing of common gasoline engine cylinder bore surface/piston ring
combinations, presented at the STLE 50th Annu. Meeting, Chicago, IL, May 14 to 19, 1995.
22. Goenka, P. et al., FLARE: An integrated software package for friction and lubrication analysis of
automotive engines, I. Overview and applications, SAE Pap., No. 920487, 1992.
23. Paranjpe, R. et al., FLARE: An integrated software package for friction and lubrication analysis of
automotive engines, II. Experimental validation, SAE Pap., No. 920488, 1992.
24. Engine tribology. SAE Publ., No. SP - 19, 1992.
25. Hill., S. et al., An experimental study of the effect of cylinder bore finish on engine oil consump-
tion, SAE Pap., No. 950938, 1995.
26. Mihara, K. and Inoue, H., Effect of piston top ring design on oil consumption, SAE Pap., No.
950937, 1995.
27. Zottin, W. et al., Predictive analysis of lube oil consumption for a diesel engine, SAE Pap., No.
950520, 1995.
28. Ma, J. et al., The piston ring shape and its effects on engine performance, SAE Pap., No. 960052,
1996.
29. Hitosugi, H. et al., Study on mechanism of lubricating oil consumption caused by cylinder bore
deformation, SAE Pap., No. 960305, 1996.

70 Magnetic Storage System Materials
Zunde Yang and Yip-Wah Chung

Magnetic recording in thin-film hard disk systems is accomplished by the relative motion
between a read-write head and a thin-film magnetic medium deposited onto a substrate, typ-
ically made of an aluminum alloy or occasionally glass. The read-write head assembly is
designed such that an air bearing is formed under steady-state operations. As of this date, the
typical operational parameters are: rotational speeds ~5400 revolutions per minute, normal
load on slider ~3 to 4 g, and fly heights ~50 nm.
Physical contacts at the head-disk interface occur during starts and stops, the primary
cause of wear and subsequent disk failure. Wear protection is provided by a protective over-
coat of amorphous hydrogenated carbon, or more recently, amorphous carbon nitride (typi-
cal thickness 10 to 15 nm). Generally, the rms roughness of the final surface (i.e., after dep-
osition of the protective overcoat), measured over a sampling area of 0.5 µm (micron) × 0.5
µm, is less than 1 nm. Further wear protection is provided by a thin lubricant layer (about 1
nm thick). Most lubricants used in this application are based on fluorinated ethers.
The thin-film magnetic media (thickness ≤50 nm) should provide high remanent magnetization,
high coercity, well-defined magnetization reversal, and high recording densities. The read-write
head assembly consists of a slider and read-write elements, which are located at the trailing edge
of the slider. The read-write elements should have high permeability, small magnetostriction, and
low coercity. The slider is typically made of an Al2O3/TiC composite, chosen because of its wear
resistance and electrical conductivity (some conductivity is needed to eliminate static charge).
In some designs, an overcoat is placed on the slider to minimize the catalytic dissociation of
the lubricant induced by Al2O3. Currently, recording densities exceeding one Gbit/in.2 have been
demonstrated (cf. ~0.5 Gbit/in.2 in routine commercial production).
Typical properties of these components are compiled in the following tables. As the tech-
nology moves towards higher recording densities, the following trends should be expected:
1. lower fly heights;

2. thinner, more wear-resistant and smoother protective overcoats;
3. thinner magnetic media layers;
4. use of magnetostrictive (MR) heads to decrease bit sizes;
5. higher rotational speeds;
6. more stable lubricants with improved rheological properties.
0-8493-3904-9/97/$0.00+$.50

Magnetic Storage System Materials 825

Magnetic Storage System Materials 827
REFERENCES
1. Bhushan, B., Tribology and Mechanics of Magnetic Storage Devices, Springer-Verlag, New York, 1990.
2. Nader, B.S., Kar, K.K., Morgan, T.A., Pawloski, C.E., and Dilling, W.L., Tribol. Trans., 35(1),
37–44,1992.
3. Data from the Dow Chemical Company, Midland, MI.
4. Bhushan, B. and Venkatesan, S., J. Mater. Res., 8(7), 1611–1682, 1993.
5. Chu, M.Y., Bhushan, B., and Dejonghe, L.C., Tribol. Trans., 35(4), 603–610, 1992.
6. Koka, R., Tribol. Trans., 38(2), 417–423, 1995.
7. Tani, N., Takahashi, T., Hashimoto, M., Ishikawa, M., Ota Y., and Nakamura, K., IEEE Trans.
Magn., 27(6), 4736, 1991.
8. Futamoto, M., Matsuda, Y., Inaba, N., Suzuki, M., and Honda, Y., J. Magn. Magn. Mater, 134, 298,
1994.
9. Shen, Y, Laughlin, D.E., and Lambeth, D.N., J. Appl. Phys., 76(12), 8167, 1994.
10. Yogi, T., Tsang, C, Nguyen, T.A., Ju, K., Gorman, J.L., and Castilo, G. IEEE Trans. Magn., 26(5),
2271, 1990.
11.Sanders, I.L., Yogi, T., Howard, J.K., Lambert, S.E., Gorman, G.L., and Hwang, C. IEEE Trans.
Magn., 25(5), 3869, 1989.
12. Tani, N., Hashimoto, M., Ishikawa, M., Ota, Y., Nakamura, K., and Itoh, A., IEEE Trans. Magn.,
26(4), 1282, 1990.
13. Christner, J.A., Ranjan, R., Peterson, R.L, and Lee, J.I.,. J. Appl. Phys., 63(8), 3260, 1988.
14. Mahvan, N., Zeltser, A.H., Lambeth, D.N., Laughlin, D.E., and Kryder, M.H., IEEE Trans. Magn.,
26(5), 2277, 1990.
15. Handbook of Chemistry and Physics, Weast, R.C., Ed., 66th ed., CRC Press, Boca Raton, FL, 1985.
16. Rossi, F., Andre, B., van Veen, A., Mijnarends, P.E., Schut, H., Labohm, F., Delpancke, M.P.,
Dunlop, H., and Anger, E., Thin Solid Films, 253, 84, 1994.
17. Li, Y. and Kumaran, A.R., Adv. Inf. Storage System, 3, 65, 1991.
18. Li, D., Cutiongco, E., Chung, Y.W., Wong, M.S., and Sproul, W.D., Diamond Films Technol., 5(5), 261,
1995.
19. Yang, Y, Nelson, K.A., and Adibi, F., J. Mater. Res., 10(1), 41, 1995.

IX
Metalworking


71 Metal Removal: Fluid Selection and

Application Guide
Gregory J. Foltz and Harold J. Noble
CONTENTS
Selection Criteria............................................................................................................................831
Metalworking Fluid Application..................................................................................................837
For Further Information...............................................................................................................838
Defining Terms...............................................................................................................................839
References.......................................................................................................................................839
Metal removal involves a machine, a cutting tool or grinding wheel, a part, and in most cases
a metalworking fluid whose selection is an integral part of a productive and efficient opera-
tion. The categories of fluids listed in Table 1, straight oils, soluble oils, semisynthetics,
and synthetics will have different performance properties depending on their chemical com-
position.1,2 These can be affected by the oil levels, the amount of chemical and extreme pres-
sure lubricants, cleanliness properties, biocide levels, and a variety of other factors.3
SELECTION CRITERIA
The selection criteria that follow are designed to guide a review for a specific operation to
select the ideal metalworking fluid.
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1. PLANT SIZE
In a small plant (5 to 40 machines) where many different machines perform different operations
on a variety of metals, a very general purpose metalworking fluid is typically selected to minimize
the number of products required. In larger plants which manufacture large quantities of the same
part, a product very specific to the needs of that operation can be selected.
2. TYPE OF MACHINES
It is important to consider the age and design of a machine tool before selecting a product. Some
machines, especially older models, were designed so that the metalworking fluid also serves as the
lubricating fluid for the moving parts and gears. In that case, a fluid with a high degree of physi-
cal lubricity, probably a straight oil, will be required. The seals on the machines must also be
inspected to insure they are designed to be used in a water environment and are compatible with
the type of fluid being used. Fluorocarbon materials are the most resistant, but are also higher
cost. Again, it may be necessary to use a straight oil-type fluid or to convert to more compatible
seal materials.4,5
3. MATERIALS
The kind of material being worked (cast iron, steel, aluminum, titanium, copper, glass, carbide,
plastic, etc.) is very important in fluid selection. Lubrication requirements vary for different oper-
ations on different materials. Corrosion control and/or staining properties of some fluids may
not be compatible with all materials. Some fluids are formulated specifically for certain metals.
The hardness and machinability of the material must also be considered. Refer to Table 2 for a
classification of the machinability properties of various material groups. Machinability is a term
used to indicate the relative ease with which a material is machined. Materials with higher machin-
ability ratings are easier to machine than those with lower values. Machinability is most often
determined by the cutting speed obtainable, tool life, power consumption, and cutting forces.
However, changes in any of the operating parameters, such as feeds and speeds, tool, part dimen-
sions, metalworking fluid used, etc., can change how easily the material machines.6
4. SEVERITY OF OPERATIONS
The severity of the operation will dictate the lubricity requirements of the fluid. Metalworking
fluids may contain one or more of the hydrodynamic, boundary, and extreme pressure lubri-
cants.3,7 It is not always necessary to use an oil-containing product to achieve good
machining/grinding characteristics. Stock removal rates, feeds, and speeds, together with finish
requirements, must be considered. Metalworking operations can be divided according to their
severity: light duty (surface grinding cast iron), moderate duty (turning, milling steels), heavy duty
(centerless grinding, sawing steels), and extremely heavy duty (form and thread grinding, broach-
ing). If a series of operations are to be performed with one fluid, it is necessary to select the most
critical operation, because in most cases, it will dictate the fluid selection.1,8 Refer to Table 3 for a
listing of operations on various materials and a general description of the types of product
required. Use Table 3 to help identify what kind of metalworking fluid(s) can be used for the
operation and material identified. From the products identified, select the product type that best
fits your operations and plant. For example, if you are honing a cast iron part and require that the
metalworking fluid does not have mineral oil in its concentrate, you would select a complex syn-
thetic for the operation. In many grinding operations, different stock removal rates, frequently
defined as Q′, can dictate the type of fluid required. As Q′ increases, there is the need for a heav-
ier duty fluid. Typical fluid selection can be based on the values illustrated below.1

Metal Removal: Fluid Selection and Application Guide 833
5. QUALITY OF WATER
Since water is the main component (90 to 95%) of any water-based metalworking fluid mix,
its quality is an important factor in the selection and performance of a fluid. Water hardness
greater than 200 ppm can produce mix stability problems with many emulsion type products.
Water with a high chloride or sulfate level (greater than 150 ppm) can promote corrosion, mix
instability and/or rancidity. On the other hand, soft water (less than 50 ppm hardness) can lead
to foam with many products. In many cases, even if the incoming water supply is satisfactory,
minerals can build up in the fluid over its life, to reach levels where problems can be experi-
enced. If the water quality is questionable, use of water treated by deionization (DI) or reverse
osmosis (RO) would be recommended.1,9

6. TYPE OF FILTRATION
Individual machine sumps or central systems make different demands on a fluid. Also, fluid
selection will be affected by the type of filtration: settling, some type of positive filtration using
media (paper, cloth, or wire screens), or a separator such as a centrifuge or cyclone. Settling
systems obviously require fluids with good settling characteristics. Media filters require fluids
capable of passing through the media without clogging. Centrifuges require products that are
sufficiently stable to undergo the demands of this process.1,10
7. CONTAMINATION
The amount and type of contamination have a drastic effect on the life and performance of
the metalworking fluid. Lubricating oils, way lubes, hydraulic oils, rust inhibitors, floor clean-
ers, and heat treat solutions are some of the contaminants often found. Different fluids have
different mechanisms for handling these contaminants, especially the oils. Some fluids are
designed to reject oils completely; others emulsify some or all of the oil. While most cutting
fluids can handle some contamination, the greater the amount, the shorter the fluid life and
the more erratic the performance. The method for handling or eliminating the contamination
must synchronize with the type of fluid selected.1,9
8. STORAGE AND CONTROL CONDITIONS

Where and how a fluid is stored prior to use can affect its performance. Many products will
freeze if stored outside or in unheated warehouses during winter conditions. Other products
will degrade if stored outside under the hot sun. Review the storage conditions of the plant
and the freezing point of the fluid before making a selection. The compatibility of the fluid
with the plant’s mixing conditions must be considered. For water-based fluids, the concentra-
tion control procedures must be considered. If they are very lax or nonexistent, then a prod-
uct with a very wide operating range, such as a soluble oil, should be selected.1,9–11
9. FREEDOM FROM “SIDE EFFECTS”

In some grinding operations, a very transparent fluid is desirable. A particular product color or
odor may be requested. Fluids should be mild to the operators’ skin, depending on the amount
of hand contact. A fluid should minimize biological growth to prevent objectionable odors
and other worker complaints. Current information on the health and safety of metalworking
fluids was summarized at the 1995 AAMA Metalworking Fluid Symposium.13 Fluids should all
be safe when used as directed, pleasant to use, leave no objectionable residue, and cause no
problems with the paint on machine tools.
10. EASE OF DISPOSAL/RECYCLING

At many factories, the most critical element in the selection of a metalworking fluid is its com-
patibility with the waste treatment process.2,14,15 If the fluid cannot be effectively and econom-
ically treated, then any performance advantages are negated. Plants will typically have a very
specific waste treatment test that a product must pass before it can even be considered for test-
ing. Chemical treatment or ultrafiltration are types of waste treatment that may be utilized.
With the advent of more in-plant recycling systems, products are also being judged on their
ability to be effectively recycled through the plant’s existing or planned treatment system.
Frequently in recycling operations, it is necessary to standardize an entire plant on just one
product, in order to have the recycling system work.

11. CHEMICAL RESTRICTIONS

Due to concerns over health, safety, environmental, or disposal issues, certain plants may
restrict the use of certain chemicals found in some formulations. The possibility of eventual
stress corrosion problems in their products has led aerospace and nuclear power plant com-
ponent manufacturers to restrict chlorine and other halogen compounds. It is necessary to
obtain not only a list of the restricted chemicals, but also the allowable limits for them. In some
cases, trace amounts of these materials may appear as impurities in a formulation, and may not
be present in a sufficient quantity to restrict the use of the product. The limitation will typi-
cally be expressed as “less than” a certain level in ppm.9
12. PERFORMANCE VS. COST
The objective with any fluid is to achieve maximum performance at minimum cost. In calcu-
lating cost, it is necessary to consider all the factors and not just the cost of the product. Used
fluid disposal costs, downtime for cleaning, lost production, machine cleaning, recharging
costs, tool life, tool resharpening costs, etc. are all important and frequently overlooked costs
associated with the use of a particular fluid. Small improvements in tool life, fluid sump life,
additive costs, shop cleanliness, operator acceptance, and other related factors contribute to the
cost of the fluid in use. It is also important to use the common denominator of “mix gallon
cost,” the cost of the product per gallon multiplied by its recommended dilution ratio. If a
product costs less ($6.00 per gallon vs. $8.00 per gallon) but is used at a stronger concentra-
tion (10% vs. 5%), the actual cost comparison for a mix gallon is $0.60 vs. $0.40. The product
that costs more is actually less expensive to use, without considering the other factors noted
above.9
While these Selection Criteria will influence fluid selection requirements for any metal-
working job, many other parameters must be considered. There are over 300 suppliers of met-
alworking fluids in the U.S. offering a wide range of products. It is necessary to evaluate how
the suppliers and their business practices and philosophies compare with shop needs. In this
analysis, the major goal should be to find the most cost effective product in terms of per-
formance, quality, and productivity.
METALWORKING FLUID APPLICATION

Improved tool life, better surface finish, lower power consumption, greater accuracy, and effi-
cient chip flushing can be achieved when clean metalworking fluid floods the cutting zone.1,9
Generally a large volume of fluid at low pressure is most effective. An exception is in gun
drilling and some reaming, where the fluid is fed under pressure through the tool. High pres-
sure is beneficial where chip packing is a problem and in grinding because of the need to break
the air currents generated by the grinding wheel.
A good rule to follow on flow rate is:
1. General purpose machining and grinding, m3/s = machining kW/120

2. High production machining and grinding, m3/s = machining kW/60 to 30
The reservoir capacity must allow sufficient retention time to settle fines and to cool the
fluid. For general-purpose machining and grinding operations, ideal values would be:
1. Grinding: Tank volume = (flow/min) × 10

2. Machining cast iron and aluminum: Tank volume = (flow/min) × 10
3. Machining steel: Tank volume = (flow/min) × 8

For high stock removal, tank sizes obey the same formulas, since flow rate has already been
increased in relation to machine horsepower.
FLOOD APPLICATION
Flooding is the most common application method. In turning and facing, the metalworking
fluid is directed to the area where the chip is formed, using two nozzles — one above and one
below the tool. In slab milling, the fluid is directed to both sides of the cutter, again using two
nozzles. One nozzle insures that the cutting fluid reaches the cut zone; the other flushes out
the chips. In the case of face milling, a ring-type distributor can direct as many streams of fluid
as needed to flood the cutter. For drilling, reaming, or tapping through-holes with hollow
shank tools, a cutting fluid retainer assures that all cutting edges will be flooded and that chips
will be flushed from the hole. For thread chasing, direct the metalworking fluid to the cutting
edges of the tool; and when using a self-opening die, direct the fluid to each chaser in the die
head. A ring-type distributor is most effective in internal broaching.
MANUAL APPLICATION
Manual brushing, dripping, or squirting metalworking fluid on the cutting area is seldom rec-
ommended, except in conjunction with flood application systems. For instance, tapping com-
pound is often manually applied on a tapping or threading operation where extra friction-
reducing chemicals are needed to provide the tool life and finish required.
MIST APPLICATION
Metalworking fluid is sometimes applied as a mist generated by pumping the fluid through a
special nozzle where it mixes with air. Mist application has found its greatest use where,
because of the part size or configuration, fluid could not be rechanneled to the reservoir. Mist
application also makes the use of fluids practical with portable tools. Reversible respiratory irri-
tation has been associated with metalworking fluid mists. Insure adequate ventilation and/or
provide mist collectors when applying metalworking fluids as a mist.
HIGH PRESSURE APPLICATION

To control grinding heat, the metalworking fluid must penetrate directly to the cut zone
through the high-pressure air bubble surrounding the wheel. Use of a special high-velocity
nozzle can achieve this. If the nozzle is functioning properly, the spark stream will virtually dis-
appear. High-pressure fluid supply is also needed in creep-feed grinding applications.

Very good basic information on all aspects of metalworking fluid selection, use, application,
and control is presented in Metalworking Fluids edited by Jerry Byers1 and in Cutting and Grinding
Fluids: Selection and Application edited by Jeffrey Silliman.9
Waste disposal and fluid recycling information can by found in Waste Minimization and
Wastewater Treatment of Metalworking Fluids published by the Independent Lubricant
Manufacturers2 and in Shop Guide to Reduce the Waste of Metalworking Fluids published by LAMS.15
A very detailed and referenced source on every current topic relating to the health and safe-
ty aspects of metalworking fluids can be found in the AAMA Symposium Proceedings.13

DEFINING TERMS
Boundary lubricant — a thin layer of lubricant film which physically adheres to the surface
by molecular attraction of the lubricant to the metal surface.
Extreme pressure lubricant — a compound, typically containing sulfur, chlorine, or phos-
phorus, which reacts with the surface of the metal or tool to form a sulfide, chloride, or phos-
phide compound, which has a low shear strength.
Hydrodynamic lubricant — separates surfaces sliding over each other with a coherent lubri-
cating film of liquid.
Q′ — the volume of metal removed per unit of time per unit of effective wheel width. Its
units are inches squared per minute (in.2/min.). The higher the Q′ value, the heavier duty the
metalworking fluid must be used.
Semisynthetic — a metalworking fluid with moderate to low oil content (3–30%), water,
emulsifiers, and various other additive packages.
Soluble oil — a metalworking fluid with a high oil content (50 to 80%) and little or no water
content. It will contain oil and emulsifiers and may contain a variety of other additive pack-
ages. When mixed with water, it creates an emulsion that is milky in appearance.
Straight oil — hydrocarbon oil with or without additives, used undiluted.
Synthetic — a metalworking fluid that contains no mineral oil. Some synthetics are totally
water soluble (chemical solutions), while others are emulsions of water insoluble, synthetically
derived lubricants (emulsifiable synthetics).
Water hardness — the combined calcium and magnesium content of the water, usually
expressed as parts per million (ppm) of calcium carbonate.
REFERENCES
1. Byers, J. Ed., Metalworking Fluids, Marcel Dekker, New York, 1994.

2. Dacko, P., Dick, R., and Kelly, R., Waste Minimization and Wastewater Treatment of Metalworking Fluids,
Independent Lubricant Manufacturers Association, Alexandria, VA, 1990.
3. Nachtman, E.S. and Kalpakjian, S., Lubricants and Lubrication in Metalworking Operations, Marcel
Dekker, New York, 1985.
4. Rolfert, E., The influence of metalworking fluids on common elastomers, Lubr. Eng., January 1993,
pp. 49–52.
5. Sluhan, W., Does your machine like its coolant?, Cutting Tool Engineering, April 1996, pp. 62–69.
6. Machining Data Handbook, 3rd ed., Vol. 2, compiled by the Technical Staff of the Machinability Data
Center, Metcut Research Associates, Cincinnati, OH, 1980.
7. Booser, E.R., Ed., CRC Handbook of Lubrication, CRC Press, Boca Raton, FL, 1984.
8. Koelsch, J.R., Drowning in grinding fluids, Manuf. Eng., August 1993, pp. 35–42.
9. Silliman, J.D., Ed., Cutting and Grinding Fluids: Selection and Application, Society of Manufacturing
Engineers, Dearborn, MI, 1992.
10. Joseph, J.J., Coolant Filtration, Joseph Marketing, East Syracuse, NY, 1987.
11. Blenkowski, K., Coolants and lubricants, The truth, Manuf. Eng., March, 1993, pp. 90–96.
12. Blenkowski, K., Coolant and lubricants, Staying pure, Manuf. Eng., April, 1993, pp. 55–61.
13. AAMA Metalworking Fluids Symposium Proceedings, American Automobile Manufacturers
Association, Detroit, MI, March 1996.
14. Burke, J.M., Waste Treatment of Metalworking Fluids, A Comparison of Three Common
Methods, Lubr. Eng., April 1991, pp. 238–246.
15. Shop Guide to Reduce the Waste of Metalworking Fluids, prepared by Institute of Advanced Manufactur-
ing Sciences (IAMS), Cincinnati, OH, and Waste Reduction and Technology Transfer Foundation,
Muscle Shoals, AL, 1996.

72 Metal Forming
Ted G. McClure
CONTENTS
Introduction....................................................................................................................................840
Lubrication, Friction, and Wear Factors....................................................................................840
Metal Forming Processes..............................................................................................................843
Lubricant Selection........................................................................................................................844
References.......................................................................................................................................852
INTRODUCTION
In manufacturing, the desired shape of individual parts is often obtained by plastic defor-
mation. Most steel and other technically important metals and alloys are subject to bulk or
primary deformation processes including rolling, forging, extrusion, and drawing, often
repeatedly. These may also be followed by secondary processes such as deep drawing, stamp-
ing, bending, roll forming, spinning, shearing, and punching.1–15
The workpiece surface frequently undergoes a very substantial extension; fresh metal sur-
faces are exposed, and lubricants must protect not only the old but also these new surfaces.
Success or failure of such lubrication is important in determining the magnitude of pressures,
forces, energy requirements, and often the very possibility of plastic deformation itself.
Figure 1 illustrates the range of considerations of tool, lubricant, and workpiece involved in
designing a robust process to produce high quality formed parts.4
LUBRICATION, FRICTION, AND WEAR FACTORS

LUBRICATING REGIMES
Tribological conditions vary widely between metal forming operations and even within a sin-
gle operation on different areas of the workpiece. Factors affecting friction include sliding
speed, changes in the substrate during deformation, temperature, pressure, workpiece and
tool materials, the shear strength of tool and workpiece coatings and chemical reaction prod-
ucts, and lubricant composition. Any combination of the following mechanisms may be at
work during metal deformation.
Hydrodynamic or Full-Fluid Film Lubrication

In this regime, tool and workpiece surfaces are separated by a liquid film of sufficient thick-
ness to prevent asperity interaction. The pressure and temperature sensitivity of viscosity
must be considered, together with the possibility of the lubricant becoming a polymer-like
solid at higher pressures.
0-8493-3904-9/97/$0.00+$.50
Metal Forming 841
FIGURE 1 Elements of a metalworking lubrication system. (From Lange, K. et al., Eds.,

Handbook of Metal Forming, Society of Manufacturing Engineers, Dearborn, MI, 1985. With
permission.)
Boundary Films
Very thin films formed on the die or workpiece may prevent adhesion and also reduce friction.
Extreme-pressure (EP) compounds rely on reactions that take place if sufficient time is avail-
able at temperature and if substrate composition is favorable. Boundary films form almost
instantaneously and are among the most important lubricants for reactive metals, particularly
aluminum, copper, and steel. Their shear strength is pressure and temperature dependent.
Breakdown at elevated temperatures limits them to cold working.

Mixed Film Lubrication

In most practical situations, only some portion of the total contact area is separated by a thick
lubricant film. Other parts of the contact area are in boundary contact, making boundary or
EP additives a necessity in almost all metal forming fluids.
FRICTION
In metal forming, the workpiece is deformed by a contacting die. The pressure required for
this deformation generates a stress normal to the die surface. In the absence of plastic defor-
mation, the coefficient of friction is
where P is normal force; F, frictional force; p, interface pressure; and τi, interface shear stress;
all referred to apparent total area of contact, A. In plastic deformation, the interface pressure
is usually high, and physical sliding at the tool/workpiece interface is possible only if the in-
terface shear stress is less than the shear flow stress of the material.
WEAR
With the prevalence of boundary and mixed lubrication in metalworking processes, wear can
become a serious problem.
Adhesive wear is predominant when there is a great affinity between die and workpiece
material. Adhesion leads to pressure welding (die pickup) at asperities, followed by shearing
and wear particle formation. Most wear is concentrated on the workpiece. In rolling, however,
large amounts of debris enter the lubricant and the rolls have to be refinished at regular inter-
vals. The same is true of dies in wire and bar drawing. High die hardness is generally helpful,
as can be surface or diffusion coatings, although there may be interference with reactions on
which the efficacy of some lubricants depends.
The presence of hard particles, such as oxides or wear debris, accelerates wear. Thus,
removal of scale particles becomes important in forging and hot rolling of steel, and filtration
is a must in all recirculating lubricant/coolant systems.
While adhesive and abrasive wear generally follow the same laws as in machine elements,
the rate of wear is often accelerated by the generation of virgin surfaces during plastic defor-
mation. High workpiece temperatures subject colder dies to severe thermal shock, and thermal
fatigue then contributes to wear and die failure.
SURFACE ROUGHNESS EFFECTS

Although asperities piercing through the lubricant film can create adhesion problems, tool and
workpiece surfaces need not always be very smooth. To avoid skidding in rolling, the roll sur-
face is kept somewhat rough. A moderately coarse, nondirectional (such as bead blasted) sur-
face finish is desirable in maintaining graphite or molybdenum disulfide supply in hot forging.
A smooth, polished die surface is, however, desirable for liquid lubricants; any remaining
roughness is preferably oriented in the direction of material flow.
Moderate roughness of the workpiece surface forms reservoirs holding lubricant and helps
carry liquid lubricants into the interface, especially if the roughness is perpendicular to the
direction of feeding. If sliding is multidirectional, a random bead-blasted finish is preferable
(as in sheet metal forming).

Metal Forming 843
METAL FORMING PROCESSES

FORCING
In forging, metal is deformed plastically by application of compressive forces. The material flows
in the direction of least resistance. In hot and warm forging the metal is heated to facilitate metal
flow. Lubrication reduces the sliding friction between the workpiece and dies in order to control
metal flow and reduce pressure requirements. Additionally, the lubricant must:
Prevent welding to protect part and die surfaces

Provide insulation to minimize temperature fluctuations
Coat die surfaces uniformly preventing uneven metal flow
Not accumulate in die impressions
Assist in forging ejection
Not attack or abrade die surfaces
WIRE, BAR, AND TUBE DRAWING

In these processes, the product is reduced in cross-sectional area by pulling through die(s) where
deformation is attained by compressive stresses at the stationary die. Most drawing operations are
performed on round stock, although shaped wire and bar are also drawn. All sliding is unidirec-
tional, and the draw force is opposed by frictional stresses at the interface. If the strength of the
drawn product is insufficient to carry the draw force, the product will be torn off. This sets a limit
of 30% or less reduction in cross-sectional area per pass, even with a good lubricant. Interface pres-
sures are always below the compressive flow strength of the material.
In tube drawing without an internal die, frictional conditions are the same as in wire drawing.
More frequently, however, a short plug (British) or mandrel (U.S.) controls the internal diameter.
Friction on this plug increases drawing stresses, thus reducing the maximum attainable reduction.
However, when the internal die element is a long mandrel (British) or bar (U.S.), this die element
moves together with the drawn product and some of the drawing stresses are transmitted to it by
interface friction. Higher friction on the internal surface actually increases the attainable reduction.
EXTRUSION
In extrusion, the cross-sectional area of the workpiece is reduced by forcing it through a die. Since
the billet is pushed through the die, strength of the extruded product is immaterial and attainable
reduction is limited only by the strength of the container and punch.
In reverse or indirect extrusion the billet remains stationary in the container and the magnitude
of friction plays no role; die pressure is a function of extrusion ratio. In forward extrusion, the
stresses necessary to overcome friction add to the die pressure, often limiting the length of billet
that can be extruded.
When a lubricant is used, the die entry must be tapered to facilitate material flow along the die
face. To minimize friction in reverse extrusion of tubes, the container is kept as short as possible
and a short land is formed on the punch. Lubricant between the workpiece and punch end face
must be gradually metered out to protect the freshly formed, highly extended surfaces. The extru-
sion ratio and die pressures diminish as the punch diameter decreases. As with all inhomogeneous
deformation, lubrication is relatively ineffective in reducing punch pressure; nevertheless, it is still
desirable to prevent metal pickup and punch wear.
ROLLING
In rolling, the thickness of a strip of metal is reduced by passing it through sets of rolls. Some min-
imum friction is required to pull the metal into the roll gap. Since the same material volume

must enter and leave the rolls in unit time, the product of velocities and slab thicknesses must be the
same everywhere in the absence of spread. The slab moves at the same speed as the surface of the
rolls at the neutral point, but moves slower (backward slip) towards the entry and faster (forward slip)
towards the exit. Interface pressures reach a maximum at the neutral point. Since the position of the
neutral point is governed by friction in the roll gap, forward slip is a very sensitive measure of the effi-
ciency of lubricants. With decreasing friction, forward slip diminishes.
Rolling of very thin strips presents difficulties because roll flattening becomes commensurate with
strip thickness. Interface pressures can be reduced with small diameter rolls and application of front
and back tensions to the strip; even so, good lubrication is indispensable. Some minimum friction is
still needed, otherwise the strip may skid in the rolls and the lateral strip movement becomes difficult
to control.
SHEET METALWORKING
Sheet metalworking is always a secondary process on previously rolled flat products such as sheet,
strip, and plate. The first such operation is usually shearing, slitting, blanking, or punching. Separation
of adjacent metal parts occurs through highly localized plastic deformation followed by shear failure
and seems unaffected by friction. Nevertheless, lubrication is necessary to protect against rapid wear
and die pickup. Sticking of the workpiece to the punch is a common problem in these operations. In
fineblanking, the metal is held securely to the die with a V-shaped ring and the part is extruded out of
the strip without fracture. This produces parts with a high degree of dimensional accuracy, flatness,
and a smooth edge. Fineblanking requires a lubricant with high concentrations of extreme pressure
additives.
Friction becomes extremely important when shapes of three-dimensional geometry are formed
through stretching, deep drawing, or their combination. In pure stretching, the sheet is firmly clamped.
In the absence of friction, thinning is most severe and fracture occurs at the apex of the stretched
part. With increasing friction, free thinning over the punch nose is hindered and the fracture point
moves further down the side of the part.
In deep drawing, blanks of large diameter-to-sheet thickness ratio would buckle (wrinkle) and
must be kept flat by applying pressure through a blankholder. Frictional stresses increase the force
required for deformation, and when the force exceeds the strength of the partially drawn product,
fracture occurs. Friction must be minimized to reach the maximum possible draw.
Cups of large depth-to-diameter ratio must be produced with several redrawing steps. When the
cup wall is to be reduced substantially, the drawn cup is pushed through an ironing die, and wall thick-
ness reduction takes place under high normal pressures and severe sliding, calling for a much heavier-
duty lubricant. Friction on the punch surface is again beneficial.
Many sheet metal parts in the automotive and appliance industries are of complex shapes pro-
duced by simultaneous stretching and drawing. Lubrication is essential to prevent die pickup and sur-
face damage. To restrict free drawing in of the sheet, a draw bead is incorporated; this imposes severe
demands on the lubricant.
LUBRICANT SELECTION
TYPES OF METAL FORMING LUBRICANTS
General classification of metal deformation lubricants is based on the amount of mineral oil present
in the product as received and whether or not the lubricant may be diluted in water prior to use:
Straight oil: mineral oil-based, used as received

Soluble oil: high (50–80%) oil content, emulsified in water for use
Semisynthetic: low (3–30%) oil content, diluted in water for use
Synthetics: containing no mineral oil, and water dilutable

Metal Forming 845
Additionally, metal forming lubricants may be classified in terms of their physical form, where
applied, and how used.
Vanishing Lubricants
These, products are straight oils, normally based on a volatile hydrocarbon solvent which evaporates
from the formed part, leaving little to no residue. This leaves a relatively clean part ready for subse-
quent finishing operations. When used on pre-painted stock, the parts are ready for assembly, if nec-
essary, without cleaning. They have the disadvantage of health, safety, and environmental concerns
and can only be used on light severity cold forming operations.
Preformed Emulsions and Pastes

These are normally water-based oil in water emulsions, but are sometimes supplied as invert (water in
oil) emulsions. These products may contain dispersed solid barrier type lubricating additives like calci-
um carbonate, talc, or mica. Graphite or molybdenum disulfide dispersions are commonly used for
warm and hot forming.
Prelube
These are straight oils which are normally applied at the steel mill or metal processor in place of the
corrosion preventative oil (mill oil). The intent is to replace press shop lubricant application, but pre-
lube may also be applied at the press, due to limitations on oil coating weight which is practical in the
coiled steel.
Dry Film Lubricants

These are also normally applied by the steel sheet processor but are also applied to blanks in press
shops. The goal again is to replace conventional press shop-applied fluids. Dry film lubricants may be
applied in a liquid carrier, normally water, as a hot melt, or by other proprietary processes. Typical films
are soap, wax, phosphate, or polymeric. Some dry films must be further coated with a light mineral oil
to function effectively.
High Performance Blankwash

Most automotive outer body panels are washed in a fluid which may be oil, hydrocarbon solvent, or
water-based prior to drawing to remove dirt and metal slivers. Products are available which also func-
tion as drawing lubricants and replace the press-applied lubricant.
METAL FORMING LUBRICANT COMPOSITION

Table 117 lists additives commonly used in metal forming lubricants along with their primary function
in each fluid type.
SELECTION CRITERIA
Selection of a metal forming lubricant should include consideration of the whole manufacturing sys-
tem, including processes subsequent to the deformation operation and any other activities or envi-
ronments directly or indirectly affected by the lubricant. Tables 2 through 7 summarize current selec-
tion practices for a variety of operations.5 Environmental pressures have encouraged lubricant users
to recirculate or recycle more than in the past. This has caused the responsibility for chemistry and
performance criteria for metalforming lubricants to move closer to those involved with metal removal
fluids than in the past. Listed below are some primary considerations in choosing a lubricant.


Metal Forming 847


Metal Forming 849
Health, safety, and environmental: One must consider what types of worker exposures are to
be expected and whether or not the lubricant can be used safely by all workers who may
come into contact with it or any of its decomposition products. The extent to which ingre-
dients carry regulatory use restrictions or reporting burden should be carefully considered.
If the product will be recirculated or recycled, it should have been designed for


Metal Forming 851
these activities. The product’s impact on treatment and disposal of waste streams which the
lubricant is likely to contaminate is a concern.
Application method: Table 8 lists the common methods of metal forming lubricant applica-
tion. Primary performance considerations for application include foaming tendency, mist-
ing, and viscosity.
Severity of the metal forming operation: The lubricant must be able to control friction adequately
to allow the process to produce consistently high quality parts, keep scrap and rework rates to
a minimum, and prevent excessive tool wear. Several simulation and laboratory bench tests are
used to assess lubricants, including ring compression for forging, and draw bead simulator for
sheet metal forming.1,2,5,7 No single test provides information for all conceivable metal forming
conditions. In selecting tests, die and workpiece material, surface preparation and roughness,
interface velocity, and entry zone geometry should be as close as possible to the actual process.
Compatibility with press and die components: Chemical attack or undesirable buildup of lubri-
cant residues must be avoided. Certain water-based lubricants may leach the cobalt binder
from carbide tools. Staining and compatibility with elastomers, paint, and ferrous and nonfer-
rous machine parts which will come into contact with the lubricant should be assessed.
Workpiece compatibility: The lubricant should be capable of protecting the formed part from
staining or corrosion, from the time of manufacture until subsequent finishing. Considerations
include storage time, temperature, humidity, and other atmospheric contaminants, as well as
packaging of parts prior to finishing. Several laboratory corrosion tests used to compare lubri-
cants are generally carried out in humidity and temperature-controlled cabinets.
Wetting and carry-through: A component of metal forming operations is lubricant starvation,
particularly if the lubricant will be expected to perform in successive operations without reap-
plication. A higher viscosity lubricant may be required in some cases. The lubricant should wet
the metal surface (normally already coated with mill oil), forming a continuous

uniform coating at the use dilution. This is important for consistent friction control and
part quality, as well as corrosion protection of the part.
Compatibility with post processes: The most common processes which the lubricant must not
interfere with are cleaning, phosphatizing, painting, welding, and bonding of adhesives and
sealants. In laboratory cleaning and phosphate testing, metal coupons are coated with the
lubricant being evaluated. The test pieces are aged at a slightly elevated temperature prior
to cleaning and phosphating using production chemicals. Panels are then examined for
cleanliness, and phosphate coating weight and uniformity. Sometimes the cleaner is con-
taminated with lubricant prior to cleaning to simulate “loading” of the bath. The effect of
lubricant contamination on cleaning bath foaming tendency is also often considered. Other
compatibility tests are similar in that test pieces contaminated with the lubricant are put
through a simulation of the shop process of concern, and the effect of the lubricant on
the process and part or assembly is evaluated, usually compared with no lubricant or a con-
trol lubricant which has been used successfully in production.
Compatibility with recirculation and/or recycling: As mentioned previously, there is a trend in
the industry toward recirculation and recycling of metal forming lubricants. Characteristics
which affect the use life of a fluid includes: microbiological resistance, reserve alkalinity,
hard water stability, compatibility with filtration and tramp oil removal systems, and oxida-
tion stability.
Supplier support: Production process chemicals like metal forming lubricants must perform
consistently and always be available, or there is a real risk of costly production downtime.
Total system cost: When selecting a metal forming lubricant it is essential to consider in-use
cost. This includes the effect of the lubricant on all associated processes, including post
processes and waste treatment and disposal. For example, some lubricants carry more of a
regulatory reporting burden than others. A more easily cleaned lubricant may permit ener-
gy savings by reducing the temperature of parts washers. Tool life and scrap rate are always
significant factors, particularly in severe operations.
REFERENCES
1. Wagoner, R. and Chenot, J., Fundamentals of Metal Forming, John Wiley & Sons, New York, 1997.
2. Schey, J., Tribology in Metalworking, American Society for Metals, Metals Park, OH, 1983.
3. Semiatin, S. et al., Eds., Metals Handbook, 9th ed., American Society For Metals, Metals Park, OH,
1988.
4. Lange, K. et al., Eds., Handbook of Metal Forming, Society of Manufacturing Engineers, Dearborn,
MI, 1985.
5. Nachtman, E. and Kalpakjian, S., Lubricants and Lubrication in Metalworking Operations, Marcel Dekker,
New York, 1985.
6. Booser, E. R., Ed., CRC Handbook of Lubrication, CRC Press, Boca Raton, FL, 1984.
7. Dohda, K. and Kawai, N., Correlation Among Tribological Indices for Metal Forming, Lubri. Eng.,
November 1990, pp. 727–734.
8. Schey, J., Speed effects in drawbead simulation, J. Mater. Proc. Technol., 57, 146–154, 1996.
9. Schey, J., Geometric factors affecting results from the drawbead simulation (DBS) test, J. Soc.
Tribol. Lubr. Eng., March 1994, pp. 255–260.
10. Schey, J., Causes of random variations of friction in sheet metalworking, J. Soc. Tribol. Lubr. Eng.,
October 1994, pp. 821–829.
11. Schey J, Friction and lubrication in drawing coated steel sheets on chromium-coated beads, Lubr.
Eng., September 1996, pp. 677–681.
12. Schey, J., Solid-film lubrication of galvanized sheets, Automotive Stamping Technology, 1995, pp. 55–64.
13. Schey, J., Lubricant effects in drawing coated sheets over nitrided die surfaces, Lubr. Eng., August
1996, pp. 630–636.

Metal Forming 853
14. Schey, J., Interactions of lubricants and zinc coatings, Recent Developments in Sheet Metal Forming
Technology, Proc. 18th Biennial Congr. IDDRG, 1994, pp. 177–188.
15. Schey, J., Friction in working 5052 aluminum alloy sheet, in Light Metals Processing and Applications,
Bickert, C. et al., Eds., Metallurgical Society of CIM, Montreal, 1993, 571–580.
16. AAMA Metalworking Fluids Symp. Proc., American Automobile Manufacturers Association,
Detroit, MI, March 1996.
17. Steigerwald, J. C, Howell, J. K., and Lucke, W. E., Introduction to Metalworking Fluids: Industrial
Formulations, Components, Contaminants and Additives, ILMA, Alexandria, VA, 1994.
18. Baboian, R., Corrosion Tests and Standards: Application and Interpretation, ASTM, Philadelphia, 1995.

73 Microbial Control of Coolants

Alan C. Eachus
CONTENTS
Metalworking Fluids — General..................................................................................................854

Metalworking Fluids — Microbiology........................................................................................855
Consequences and Determination of Microbial Growth........................................................857
Metalworking-Fluid Preservatives................................................................................................858
Risk and Exposure Reduction......................................................................................................859
Disposal Considerations................................................................................................................860
Bibliography....................................................................................................................................861
METALWORKING FLUIDS — GENERAL
Metal removal operations such as cutting or grinding, and metal forming operations such as
rolling into sheets or drawing into wire, inherently generate heat which can be damaging to
the machine tools. Metalworking fluids (coolants) are sprayed on or poured over the points
of contact between the metal stock being worked and the metalworking tool to carry away
the heat generated there, provide lubrication at the point of contact, help protect the fresh
metal surfaces against corrosion, and finally, sweep away cutting and grinding chips from crit-
ical areas.
ASTM D 2881-73 provides a standardized classification of metalworking fluids. Only
those types which are diluted with water just prior to use are susceptible to significant micro-
bial contamination (see Table 1).
0-8493-3904-9/97/$0.00+$.50
Microbial Control of Coolants 855
Soluble-oil concentrates contain mostly mineral oil, but also emulsifiers and other additives.
When the concentrate supplied by the manufacturer is diluted with water at the point of
end use, a stable emulsion of oil droplets in water is formed. Dilution ratios usually range
between one part oil and five parts water, up to one part oil to 20 or 30 parts water. The
water provides cooling, and the oil provides lubrication and a degree of corrosion protec-
tion.
Synthetic fluid concentrates contain no oil. They are mainly water solutions of corrosion
inhibitors and other chemical compounds, again diluted with water at the point of end use.
Synthetic fluids provide cooling and corrosion protection, but their lubrication properties
come from synthetic lubricity components, not oil.
Semisynthetic fluid concentrates contain oil already emulsified in water and other additives.
These preformed emulsions are further diluted with water tankside, providing a degree of
lubrication, together with good cooling and corrosion protection.
Table 2 lists several classes of common coolant constituents. In addition to the previously
mentioned oil, water, and emulsifiers, water-dilutable metalworking fluids may contain syn-
thetic corrosion-inhibiting chemicals and chemical lubricants, sometimes based on animal fats
or vegetable oils. To further aid in preventing corrosion of the freshly worked metal, alkaline
chemicals such as nitrogen-based alkanolamines are incorporated into fluid concentrates.
Maintaining alkalinity in the use-diluted fluids is important for noncorrosive conditions; an
acidic pH (below 7) in the fluid is usually conducive to ferrous-metal corrosion. The physical
agitation of metalworking fluids during use can produce foam, and this foaming may be accen-
tuated by the presence of emulsifiers and other chemicals. Since foam can interfere with pre-
cision machining and prevent visual inspection of the metal being worked, other chemicals are
added which prevent stable foam from forming. Also, water-dilutable fluid concentrates may
already contain sufficient levels of preservatives to provide antimicrobial protection immedi-
ately upon use-dilution into the working fluid.
METALWORKING FLUIDS-MICROBIOLOGY
In-use diluted fluids can provide an efficient medium for the proliferation of bacteria
and fungi, some of which are listed in Table 3. Anaerobic bacteria grow best in the
absence of oxygen or air. They flourish when the diluted fluid is not moving, such as
during a weekend or a holiday shutdown. Aerobic bacteria, conversely, grow most read-
ily when air is present. The agitation of in-use fluids mixes enough oxygen into the fluid
to promote this growth. Soluble oil and semisynthetic fluids usually permit more bacte-
ria growth than do synthetic fluids. Fungi (molds and yeasts) grow better

when bacteria do not compete for nutrition sources. Therefore, fungal contamination is more likely
in synthetic fluids. The wealth of chemical nutrients in the fluids, moderate warmth, darkness in the
fluid sumps and transfer systems, moderate alkalinity, and less-than-sterile conditions of machine
shops all combine to make diluted metalworking fluids ideal systems for bacterial and fungal growth.
Several ways in which microbes can be introduced into metalworking fluids are listed in Table 4.
The working fluids are open to the air, permitting contamination by airborne microbes or spores. Very
often the water used for concentrate dilution by the end user contains microorganisms. Dirt, inherent
in industrial operations, can easily find its way into fluid systems, especially if fluid return lines consist
of trenches cut in a concrete floor and covered with metal grates. The more dirt allowed to accumu-
late in the workplace through poor housekeeping, the more will enter the fluid. The metal stock to be
worked can add further contaminants from its surface.
When working fluids are microbially degraded beyond usefulness, the system is drained and fresh
diluted fluid is added. The remnants of the spoiled fluid, if not completely removed from the sump
and transfer system, can contribute residual bacterial and fungal contamination to the fresh fluid.
Hydraulic oils, gear oils, and lubricating greases can find their way as “tramp” oils into the system dur-
ing machine operation to bring further microbial challenges to the metalworking fluid. Porous fluid
sumps and concrete-floor return lines offer crevices in which microbes can evade contact with preser-
vatives and recontaminate fresh working-fluid dilutions. Body fluids such as saliva or urine can further
enhance microbial populations in working fluids.

CONSEQUENCES AND DETERMINATION OF MICROBIAL

GROWTH
When microbes begin to thrive in fluids, the white milky color of a diluted soluble oil or semisynthetic
fluid will darken to a tan or brown color. Different species within the mixed microbial populations
which grow in working fluids will metabolically deplete the concentrations of fluid functional com-
ponents by using them as energy sources. However, different raw materials will be metabolized at dif-
ferent rates, throwing off the careful balance of component concentrations. Many microbial metab-
olism processes are oxidations which create organic acid residues as metabolites, lowering the fluid pH.
Other microbes can produce ammonia or hydrogen sulfide; destroy emulsifiers, lubricant, and alka-
linity compounds; or oxidize iron. Some bacteria, as well as fungi, can build up slimy masses or
biofilms within the transfer system or on machine surfaces.
Some overt signals of microbial attack on coolants are listed in Table 5. Gas production can cre-
ate unpleasant odors. Especially prevalent is the “rotten egg” odor of sulfides, produced by anaerobic
bacteria when a quiescent fluid is agitated after a weekend or other shutdown. However, an odor-free
coolant is not necessarily free from microbial proliferation. Microbial metabolic destruction of alka-
linity agents such as alkanolamines and production of organic acids through oxidation can tend to cre-
ate corrosive conditions for metal finishes. Many emulsifier systems in soluble oils and semisynthetic
fluids are biologically soft and vulnerable to chemical destruction by bacterial attack. This will increase
the oil droplet size of oil-in-water emulsions, decreasing lubricity and eventually splitting the working
fluid into a water layer and an oil layer. In addition to chemically degrading corrosion-inhibiting chem-
icals in working fluids, microbial masses can attack and alter the surface finish of worked metal parts.
Slime buildup in fluid transfer lines can impede or even prevent fluid flow, and filters used to remove
metal chips, fines, and sludge can be overgrown, or “blinded,” resulting in fluid-flow impairment.
Antifoam or lubricity ingredients can be chemically destroyed, leading to loss of that function. A
common term for a profoundly degraded fluid is “rancid.”
Effective management and control of metalworking coolants requires knowledge and docu-
mentation of the history and behavior of each specific system. Absolute measured values are not as
meaningful as are deviations from a known baseline of data. Some valuable parameters for meas-
urement and documentation are given in Table 6. Not all of these need be done on every system;
experience with each system will indicate which parameters are most meaningful and/or more vari-
able, and their range of acceptable values.
The gross observation of appearance, odor, and color are easiest to perform, but difficult to
quantify. Make-up rates of water and of fluid concentrate will help establish mass balance for the
system. Alkaline pH values alone are not always indicative of microbial stability; the metabolic by-
products of ammonia-generating bacteria can mask an otherwise downwardly mobile pH. Reserve
alkalinity is the measurement of the amount of acid a system can accept before its overall pH is low-
ered to unsuitable levels; it is determined on a relative basis by titrating a standardized acid into in-
service fluid until the fluid pH falls to a target value. Degradative loss of alkanolamines

will decrease this attribute. Emulsion-stability, foaming, and corrosion tests are all indicators of
the presence of functional components at adequate concentrations in the in-use fluid, while
refractive index can be used to indicate the concentration of a synthetic fluid concentrate or a
component thereof.
Finally, direct measurement of biocide (preservative) concentration is valuable, if it can be
done simply; the same is true for microbial content of the fluid. In the case of formaldehyde-
condensate preservatives, they can be deliberately decomposed into formaldehyde by extremes
of acidification or alkalinization of the fluid; the liberated formaldehyde can be measured col-
orimetrically, and this value used to calculate the biocide level in the fluid. In many cases, man-
ufacturers of preservatives will be able to offer analytical procedures to determine use-level con-
centrations of their products.
METALWORKING-FLULD PRESERVATIVES
No two in-use metalworking-fluid systems are totally identical; microbial populations change
with regard to species as well as numbers, and the fluid makeup also fluctuates through selec-
tive ingredient depletion. These situations, coupled with the needs for varied preservative solu-
bility, compatibility, stability, and mode of action, mandate diverse preservatives for the market
to choose among.
Table 7 lists the most common classes of antimicrobial agents, members of which are EPA-
registered for use in preservation of metalworking fluids. Nitroalcohols, hexahydrotriazines, and
oxazolidines are classified as formaldehyde condensates. These materials, together with glu-
taraldehyde, are generally quite effective against bacteria but less so against fungal infestations.
They are used in working fluids at levels of about 500 to 1500 ppm active material (many are
supplied commercially in aqueous liquid form). Pyrithione oxide salts, conversely, are extreme-
ly effective against fungi and less so against bacteria. Their common active ingredient level is
about 100 ppm in working fluids. Isothiazolinones are typically used at active levels of about 25
ppm, while benzisothiazolinones, phenolics, and morpholine derivatives are ordinarily used at
levels of 500 to 1000 ppm in use-diluted systems. Permissible in-use concentration ranges of
EPA-registered preservatives are stipulated on their product label, along with a description of
authorized product uses, product EPA-registration number and manufacturing-site number, and
the required hazard and warning statements.

Preservatives are either incorporated into water-dilutable metalworking fluid concentrates

at levels calculated to immediately provide adequate protection to just-diluted fluids, or they
may be added directly to the working fluid. Table 8 lists some considerations in either case.
Frequency of addition of preservative will depend on factors such as microbial influx, fluid
dragout rate, and biodegradability of fluid constitutents. The efficacy of a specific preservative
in a specific fluid can be determined using test procedures such as ASTM E686-85. Over-dos-
ing of biocide can lead to worker skin irritation, while chronic under-dosing can induce bio-
cide resistance among surviving microbes in a system. The use of more than one type of pre-
servative together in synergistic biocide blends is sometimes useful in cost-efficient control of
microbial populations. It is not necessary or desirable to maintain a metalworking fluid system
totally free from microorganisms; often levels of 105 colony-forming units (CFU)/ml of bac-
teria or 103 CFU/ml of fungi are acceptable for maintaining the long-term integrity of a fluid.
RISK AND EXPOSURE REDUCTION

Common industry practices intended to reduce employee risk from exposure to metalworking fluid
preservatives include following all EPA-mandated label warnings on preservatives; promoting aware-
ness of the OSHA-required Material Safety Data Sheet information for preservatives and fluid con-
centrates; use of appropriate eye and skin protection in handling preservatives, such as safety glass-
es, goggles, gloves, and chemical aprons; use of splash guards and mist collectors with in-use fluids;
and adequate ventilation of the workplace. OSHA is currently being pressured to lower the permis-
sible “oil mist” level in workplaces to 0.5 mg/m3, and has already set 0.1 ppm as the airborne
formaldehyde level at which worker monitoring must be performed.

Methods used by industry to reduce worker exposure to metalworking fluid preservatives, list-
ed in Table 9, include the use of service specialists from fluid suppliers or specially-trained pre-
servative handlers from end-use companies; hands-off automated tankside preservative-addition
systems which pump automatically from preservative drum into diluted fluid, either automatical-
ly or on demand; easy-to-measure and easy-to-handle product forms, such as tablets or pouches
for smaller individual-machine sumps; and techniques which permit minimization of preservative
additions. Automatic delivery systems are similar to those utilized for cooling water and paper-
making biocides, and generally add preservatives beneath the liquid surface.
Preservative-minimization techniques, shown in Table 10, include good end-user housekeeping;

diluting concentrates with good-quality deionized water; carefully cleaning out fluid transfer systems
after dumping spoiled fluids; prompt removal of sludge and chips from working fluids; proper fil-
tration of fluids to remove metal fines; carefully maintaining concentrate dilution ratios according
to fluid manufacturers’ recommendations; and monitoring working fluids to permit early detection
and correction for microbial proliferation. Extraneous oil in the use-diluted fluid should be
removed as soon as practical, to remove potential contamination and anaerobic conditions.
DISPOSAL CONSIDERATIONS
Metalworking fluid preservatives will be chemically degraded or consumed during fluid
use; they are not persistent in the same sense as heavy-metal biocides. Spoiled fluids are
removed from the working system mainly because the preservative is no longer func-
tioning; spent fluids will therefore not contain effective levels of antimicrobial chemi-
cals. Economic considerations cause fluids to be recycled rather than disposed of when-
ever possible, further minimizing the possibility of environmental contamination

by metalworking fluid preservatives. Oil-containing fluids will be treated with acid or alum to
enable recovery of the oil for reclamation or burning.
When spent metalworking fluids are disposed of, they may be considered hazardous waste,
whether or not preservatives were ever added to them. If fluids contain regulated levels of
contaminants listed in the Resource Conservation and Recovery Act of 1976 (RCRA), such
spent fluids must be dealt with under RCRA’s cradle-to-grave accountability system. Moreover,
annual reporting of inventories of listed hazardous substances and reporting of releases of
hazardous materials must be done under The Superfund Amendments and Reauthorization
Act of 1986 (SARA), Title III. Finally, any directly discharged waste coolant must meet the
purity criteria of a National Pollutant Discharge Elimination System (NPDES) permit.
BIBLIOGRAPHY
1. Abanto, M., Byers, J. et al., The effects of tramp oil on biocide performance in standard metal-
working fluids, Lubr. Eng., 50 (9),732–737, 1994.
2. Bennett, E.O., Cutting Fluids — Microbial Action, in Booser, E.R., Ed., CRC Handbook of
Lubrication, Vol. 2, CRC Press, Boca Raton, FL, 1984, 371–78.
3. Bienkowski, K., Coolants and lubricants — The truth, Manuf. Eng., March 1993, pp. 90–96.
4. Bienkowski, K., Coolants and lubricants — Staying pure, Manuf. Eng., April 1993, pp. 55–61.
5. Heenan, D.F. and Burrell, R.E., Microbiocide stabilization in an aluminum cold rolling mill — A
case history, Lubr. Eng., 49(4), 285–289, 1992.
6. Heenan, D.F., Burrell, R.E. et al., Isothiazolone microbiocide-mediated steel corrosion and its con-
trolin aluminum hot rolling emulsions, Lubr. Eng., 47(7), 545–548, 1990.
7. Holtzman, G.H.M., Rossmoore, H.W. et al., Interrelationships between biodeterioration, chemical-
breakdown and function in soluble oil emulsions, Dev. Ind. Microbiol., 23, 207–216, 1982.
8. Passman, F.J., Microbial problems in metalworking fluids, Lubr. Eng., 44(5), 431–433, 1988.
9. Passman, F.J., Monitoring microbial contamination in metalworking fluids, Soc. Manuf. Eng. Tech.
Pap., No. MR89–454, 1989.
10. Passman, F.J., Controlling microbial contamination in metalworking fluids, Soc. Manuf. Eng.
Tech. Pap., No. MF92–127, 1992.
11. Rossmoore, H.W., Antimicrobial agents for water-based metalworking fluids, J. Occupat. Med.,
23, 247–254, 1981.
12. Rossmoore, H.W. and Rossmoore, L.A., The identification of a defined microbial inoculum for
the evaluation of biocides in water-based metalworking fluids, Am. Soc. Lubr. Eng., Reprint 79–AM–
1A–2, 1979.
13. Rossmoore, H.W. and Sondossi, M., Applications and mode of action of formaldehyde conden-
sate biocides, Adv. Appl. Microb., 33, 223–277, 1988.
14. Shennan, J.L., The selection and evaluation of biocides for aqueous metalworking fluids, Tribol.
Int., 16, 317–330, 1983.
15. Vahle, H.R. and Passman, F.J., Controlling coolant contamination, Machine and Tool Blue Book,
October 1986.

74 Additives for Metalworking Fluids

Neil M. Canter
CONTENTS
Additive Categories and Functions..............................................................................................862
Examples of Metalworking Additives.........................................................................................864
Defining Terms...............................................................................................................................864
References.......................................................................................................................................870
The major component in metalworking fluids is either mineral oil or water, depending upon
fluid type. Since neither base alone meets the needs of the required metalcutting and metal-
forming applications, metalworking fluids are formulated with a series of additives to ensure
satisfactory performance by the finished fluid.
ADDITIVE CATEGORIES AND FUNCTIONS

The fluids used in metalworking are divided into the following categories: straight oils, solu-
ble oils, semisynthetics, and synthetics. The specific additives required for each fluid type are
listed by function in Table 1, and each type of additive is described below.1–2
BOUNDARY LUBRICITY
These additives adsorb on the surface of the metal to generate a film which will reduce metal-
to-metal contact at the tool-workpiece interface.3-5 Two key components contained in a
boundary lubricity additive are a polar group which interfaces with the metal and a hydropho-
bic component that is compatible with the base.
EXTREME PRESSURE (EP)
This is a specific class of boundary lubricity additives which react with the metal surface to
form a metal salt layer between the tool and the workpiece under severe metalworking con-
ditions. The high temperatures generated by the interaction between the tool and the work-
piece trigger this reaction. This layer acts as a barrier to reduce friction, wear, and damage
generated under the severe conditions. Chlorine, sulfur,6 and phosphorus7–9 compounds are
the three main classes of EP additives that react with iron to form chlorides, sulfides, and
phosphates, respectively. Each of these EP additive classes exhibits a distinct activation tem-
perature. A fourth class of EP additives is overbased sulfonates.10 This additive type functions
by introducing a carbonated film between the tool and the workpiece during the metalwork-
ing operation.
0-8493-3904-9/97/$0.00+$.50
Additives for Metalworking Fluids 863
ANTIMIST (TACKINESS)
Polymeric materials are used especially in mineral oil-based fluids to minimize the amount of lubri-
cant that disperses into the air surrounding the metalworking machine.
CORROSION AND RUST INHIBITORS

Corrosion and rusting of the machine, workpiece, and lubrication systems are a constant problem
in metalworking fluids of all types. Corrosion inhibitors act either by forming a protective coating
on the metal surface or neutralizing corrosive contaminants in the lubricant. Additive selection is
predicated upon both fluid type and the metals involved. The main class of ferrous corrosion
inhibitors for straight oils is overbased metallic sulfonates. In water-based systems, alkanolamides,
aminoborates, and aminocarboxylates are used extensively as ferrous corrosion inhibitors.
EMULSIFIERS
Surfactants are extensively used in metalworking fluids to ensure that oil-soluble additives can be
stabilized in the aqueous environment of soluble oils, semisynthetics, and synthetics.11 These addi-
tives contain components which are both oil and water soluble. As a consequence, emulsifier addi-
tives tend to be situated at the boundary between oil and water layers. Their function is to reduce
the interfacial tension between the normally incompatible layers to generate a stable fluid.

Common additives used are anionics such as metallic petroleum sulfonates and nonionics such as
ethylene oxide and propylene oxide copolymers. Coupler additives are used to assist the emulsifier in
stabilizing water-based metalworking fluids. Two popular classes of coupler additives used are glycols
such as diethylene glycol and glycol ethers such as propylene glycol monomethyl ether.
BIOCIDES
The susceptibility of water-based metalworking fluids to attack by bacteria and fungus has led to the
inclusion of biocides to inhibit these microbes.12,13 Without this protection, microbial attack would
eventually generate increased acidity which leads to corrosion, decomposition of additives, fluid insta-
bility, and objectionable odors. Since biocides are effective against specific microbials, more than one
biocide is needed to protect against bacteria and fungus. Some biocides cannot be blended with other
metalworking additives during compounding and have to be added to the diluted fluid during use. The
most popular biocide used to protect against bacteria is hexahydro–1,3,5–tris(2-hydroxyethyl)-j-tri-
azine. Sodium omadine is an effective biocide against fungus.
DEFOAMERS
An excessive amount of entrained air as foam will lead to the following negative consequences: insuf-
ficient metalworking fluid available at the tool-workpiece interface and maintenance problems due to
metalworking fluid overflow in central systems and machine sumps. Air can be introduced into met-
alworking fluids both during the spraying of lubricant on the tool and workpiece, and in circulation
of the lubricant from a fluid reservoir through the metalworking machinery and back. Defoamers may
be used especially in water-based metalworking fluids to counter the tendency of some water-soluble
additives to generate foam.14 These additives are used in low concentrations and should be readily dis-
persible in the metalworking fluid. The main class of defoamers used in water-based metalworking
fluids are silica and silicone polymers which unfortunately may reduce the ability of coatings or paint
to adhere to the metal part in subsequent operations.
DYES
These are used to provide color to all classes of metalworking fluids.
EXAMPLES OF METALWORKING ADDITIVES

Examples of common metalworking additives are listed by function and subdivided into the four
main fluid types. Straight oil additives are listed in Table 2, soluble oil additives are in Table 3, semi-
synthetic fluid additives are in Table 4, and synthetic fluid additives are in Table 5.
DEFINING TERMS
Monobasic ester — this class of esters is produced from the reaction of an alcohol with only
one hydroxyl site and a fatty acid.
Polyol ester — a specific class of alcohols which contain at least 2 and up to 6 hydroxyl sites that
react with fatty acids to form polyol esters. The high degree of thermal and oxidative stability
of polyol esters is due to the absence of hydrogen atoms on the beta carbon of the alcoholic
portion of the ester.
Aliphatic — this term refers to a series of carbon atoms linked together in a linear chain, a
branched chain, or in a cyclic orientation.
Aromatic — This term refers to the presence of at least one benzene ring which may or may not
be substituted. Usually, at least one chain of carbon atoms is attached to the benzene ring.






REFERENCES
1. Laemmle, J.T., Metalworking lubricants, in ASM Handbook, Vol. 18, Friction, Lubrication, and Wear
Technology, Blau, P.J., Ed., ASM International, Metals Park, OH, 1992, 139–149.
2. Rizvi, S.Q.A., Lubricant additives and their functions, in ASM Handbook, Vol. 18, Friction, Lubrication,
and Wear Technology, Blau, P.J., Ed., ASM International, Metals Park, OH, 1992, 98–112.
3. Formo, M.W., Miscellaneous oil and fat products, in Bailey’s Industrial Oil and Fat Products, Swern, D.,
Ed., John Wiley & Sons, New York, 1982, 355–358.
4. Hermann, C.L. and McGlade, J.L., Industrial applications for animal fatty oils, J. Am. Oil. Chem. Soc.,
51, 88–92, 1974.
5. Matthews, D.M., Fat-based synthetic lubricants, J. Am. Oil Chem. Soc., 56, 841A–844A, 1979.
6. Rohr, O., Sulfur, the ashless additive, NLGI Spokesman, 58(5), 191–197, 1994.
7. Beiswansen, J., Katzenstein, W., and Krupin, F., Phosphate ester acids as load-carrying additives
and rust inhibitors for metalworking fluids, ASLE Trans., 7, 398–405, 1964.

8. Canter, N., Klisch, J., Pochuski, A., and Taylor, M., Development and evaluation of a novel phos-
phorus, nitrogen compound as a chlorine replacement, 47th Annu. STLE National Meeting, 1992.
9. Brannen, W., Burt, G., and McDonald, R., Phosphite Amine Lubricant Additives, EP 0 325 977 Al,
1989.
10. Cahoon, J., Hong, H., Riga, A., and Vinci, J., Evaluation of overbased sulfonates as extreme pres-
sure additives in metalworking fluids, Lubr. Eng., 49(1), 19–24, 1993.
11. Myers, D., Surfactant Science and Technology, VCH Publishers, New York, 1988.
12. Rossmoore, H.W., Antimicrobial agents for water based metalworking fluids, J. Occup. Med., 23(4),
247–254, 1981.
13. Rossmoore, H.W., Biostatic fluids, friendly bacteria, and other myths in metalworking microbiol-
ogy, Lubr. Eng., 49(4), 253–260, 1993.
14. Myers, D., Foams, in Surfactant Science and Technology, VCH Publishers, New York, 1988, 268–272.

A good overview of metalworking fluid additives is presented annually at the Metalworking
Fluids Education Course held in conjunction with the National Meeting of STLE.

X
Monitoring, Maintenance,
Failure Patterns


75 Elements
Program
of an Oil Analysis
James C. Fitch
CONTENTS
Oil Analysis Implementation Steps..............................................................................................875
Oil Sampling Methods...................................................................................................................876
Selection of Oil Analysis Tests.....................................................................................................878
Interpreting Test Results...............................................................................................................883
References.......................................................................................................................................888
OIL ANALYSIS IMPLEMENTATION STEPS

Most often, users associate an oil analysis program with a systematic early alert to oil or
machine failure, i.e., damage control. While these benefits are helpful and frequently achieved,
they should be regarded as low on the scale of importance compared to the more rewarding
objective of failure avoidance.
Whenever a proactive maintenance strategy is applied, three steps are necessary to insure
that its benefits are achieved. Since proactive maintenance, by definition, involves continuous
monitoring and controlling of machine failure root causes, the first step is simply to set a tar-
get, or standard, associated with each root cause.
In oil analysis, root causes of greatest importance relate to fluid contamination (particles,
moisture, heat, coolant, etc.) and additive degradation. However, the process of defining pre-
cise and challenging targets (e.g., high cleanliness) is only the first step. Control of the fluid’s
conditions within these targets must then be achieved and sustained. This is the second step
and often includes an audit of how fluids become contaminated and then systematically elim-
inating these entry points. Often better filtration and the use of separators are required.
The third step is the vital action element of providing the feedback loop of an oil analy-
sis program. When exceptions occur (e.g., over target results) remedial actions can then be
immediately commissioned. Using the proactive maintenance strategy, contamination control
becomes a disciplined activity of monitoring and controlling high fluid cleanliness, not a
crude activity of trending dirt levels.
Finally, when the life extension benefits of proactive maintenance are flanked by the early
warning benefits of predictive maintenance, a comprehensive condition-based maintenance
program results. While proactive maintenance stresses root cause control, predictive mainte-
nance targets the detection of incipient failure of both the fluid’s properties and machine
components like bearings and gears. Following the oil sampling procedures, selection of
appropriate sample testing procedures, and interpretation of test results outlined in this sec-
tion, immediate corrective action can then be directed to effectively avoid failure chain reac-
tions and further self-destruction.
0-8493-3904-9/97/$0.00+$.50
OIL SAMPLING METHODS

Optimal performance in oil sampling depends directly on succeeding in the following three areas:
1. SELECTING OOPTIMUM SAMPLING POINT

In circulating oil systems such as shown in Figures 1 and 2, the best location is a live zone of the sys-
tem upstream of filters where particles from ingression and wear debris are the most concentrated.
Usually, this means sampling on fluid return or drain lines. In some cases where oil drains back to
sumps without being directed through a line (e.g., a diesel engine), the pressure line downstream of
the pump (before filter) must be used. Always avoid sampling from dead zones such as static tanks
and reservoirs. Splash, slinger ring, and flood-lubricated components are best sampled from drain
plugs after considerable flushing or preferably, using a portable circulating off-line sampler.
FIGURE 1 Hydraulic system fluid sampling on return lines upstream of filters for routine analysis.
2. COLLECTION REPRESENTATIVE SAMPLES

Once a sampling point is properly selected and validated, a sample must be extracted without dis-
turbing the integrity of the data. When a sample is pulled from turbulent zones such as at an elbow
as in Figure 3, particles, moisture, and other contaminants enter the bottle at representative concen-
trations. Moreover, machines should always be sampled in their typical work environment, ideally
while they are running with the lubricant at normal operating temperature. Likewise, during (or just
prior to) sampling, machines should be run at normal loads, speeds, and work cycles.
Sampling valves should be flushed well prior to sampling. Never fill a sample bottle more than
three-fourths full to enable adequate agitation by the lab. Avoid sampling methods that involve remov-
ing the bottle cap, especially where significant atmospheric contamination is present.
With many noncirculating systems, static sampling is the only option. Often this can be done
effectively from drain ports if a sufficient volume of fluid is flushed through prior to the actual sam-
ple. Alternatively, drop-tube vacuum samplers could be used, especially for larger fluid systems (Figure
4). Care should be taken to always sample a fixed distance into the sump. Flushing of the suction tube
is also important. Never reuse suction tubes to avoid cross contamination and mixing of fluids.
Static sampling using a vacuum sampler can be improved by installing a quick-connect sampling
valve to which the vacuum tube is attached. Often this will require drilling and tapping, preferably in
wall of the sump or casing. It is best if the valve can be located near return lines and where turbu-
lence is highest. Sometimes it is desirable to install a short length of stainless steel tubing inward from
the valve.

Elements of an Oil Analysis Program 877
FIGURE 2 Primary sampling location for large circulating systems is on main return line,
with secondary points for trouble-shooting on individual drain lines from bearings and gear-
ing. A probe-on vacuum sampler will be required with insufficient drain pressure.
FIGURE 3 Elbow sampling locations insure turbulent conditions to provide representative

contaminant concentration.
3. MINIMIZING DATA CONTAMINATION

Since an important objective in oil analysis is the routine monitoring of oil contamination, consider-
able care must be taken to avoid “contaminating the contaminant.” Once atmospheric contamination
is allowed to contact the oil sample, it cannot be distinguished from the original contamination.

FIGURE 4 Drop-tube static sampling can be used with many noncirculating systems.
Three levels of bottle cleanliness are identified by bottle suppliers: clean (fewer than 100 parti-
cles >10 (µm/ml), superclean (fewer than 10), and ultraclean (few than 1). The nomograph of
Figure 5 helps to simplify the selection of bottle cleanliness for each fluid system. The “expected
fluid cleanliness” often is just the machine’s target cleanliness level. The “acceptable variation” is
best if less than 20% which equates to a 5:1 signal-to-noise ratio.
Scheduled sampling intervals are common in oil analysis. The frequency may be keyed to drain
intervals or operating hours. Table 1 gives commonly recommended intervals based on operating
hours for different machine classes. Based on trends, these intervals may be adjusted for the degree
of atmospheric contamination and the need for machine cleanliness. For very dirty conditions
around critical machinery, on-site particle counting may be scheduled every other day. The particle
count is often used as a screen for more comprehensive laboratory analysis.
The most sophisticated oil analysis programs include a combination of on-site and laboratory
oil analysis. The decision tree of Figure 6 is very useful in defining the oil analysis requirements for
a range of equipment applications. Machines with high mission criticality are those that can cause
excessive downtime costs as the result of failure. Fluid environment severity (FES) rates the oper-
ating and environmental stress on the health/condition of the lubricant. If a user is trying to main-
tain a cool, dry, and clean oil in a hot, humid, and dusty environment, frequent monitoring is a must.
Operating loads, pressures, and speeds also influence fluid environment severity. Wear debris analy-
sis (ferrous density and analytical ferrography) is most efficiently performed on an exception basis
triggered by either spectroscopy or particle counting.
SELECTION OF OIL ANALYSIS TESTS

To be thoroughly effective, a program must encompass three categories of analysis: (1) fluid prop-
erties, (2) fluid contamination, and (3) fluid wear debris.
FLUID PROPERTIES ANALYSIS

This essential function of oil analysis helps insure the fundamental quality of the lubricating fluid.
The standard to which a used oil’s properties should be routinely compared are the new oil’s

FIGURE 5 Bottle cleanliness selection nomograph.
properties; a listing of each of the new oil properties should be a standard fixture on used oil
analysis reports. Examples of common tests include viscosity, total acid number, total base
number, infrared for oxidation, emission spectroscopy for additive elements, flash point, spe-
cific gravity, and rotating bomb oxidation test (RBOT).

FIGURE 6 Decision tree for defining oil analysis requirements.
FLUID CONTAMINATION ANALYSIS

Despite the use of filters and separators, contaminants are the most common destroyers of
machine surfaces that ultimately lead to failure and downtime. For most machines, solid con-
tamination is the number one cause of wear related failure. Likewise, particles, moisture, and
other contaminants are the principal root cause of additive and base stock failure of lubricants.
It is important to perform basic tests such as particle counting, moisture analysis, glycol test-
ing, and fuel dilution as directed by a well-designed proactive maintenance program.
FLUID WEAR DEBRIS ANALYSIS

Unlike fluid properties and contamination analysis, wear debris analysis relates specifically to
the health of the machine. Owing to the tendency of machine surfaces to shed increasing num-
bers of larger and larger particles as wear advances, the size, shape, and concentration of these
particles tell a revealing story of the internal-state condition of the machine. Two methods are
commonly employed:
• The first method is emission spectroscopy, which evaluates several elements present in the
oil such as iron, aluminum, copper, chromium, and lead. While not truly quantitative due
to an in-built bias towards only small particles, spectroscopy has been found to be
exceedingly useful in numerous applications.
• The second method, known as analytical ferrography, overcomes the particle size bias of
spectroscopy but has only limited ability to distinguish the elemental qualities of the par-
ticles. This is due in part to the fact that it is a visual examination of the particles on a
slide (ferrogram). The overriding benefit of ferrography is its unique ability to detect
many common wear mechanisms through the skillful eye of an experienced tribologist.
Typically, wear debris density analysis or ferrous particle counting is performed as a
screen prior to analytical ferrography. This insures that a sufficient number of particles
are present prior to the preparation of a ferrogram.

FIGURE 7 Tracing failure progression to oil breakdown and surface distress.

Tracing a failure to its roots leads to effective strategies for avoiding future failures. Figure 7 shows
the failure progression leading to oil oxidation and surface distress. Different tests in oil analysis can
be used to monitor this progression with the primary goal of responding proactively to random root
cause conditions. Failing this, oil analysis offers the opportunity to detect incipient or impending fail-
ures, often before irreparable damage occurs.
Streamlining oil analysis can be effectively done when on-site oil analysis tools are available. For
many machines, the particle counter serves as the best first line of defense. Only when particle counts
exceed preset limits is exception testing performed. The best exception test is ferrous particle analy-
sis, such as a ferrous particle counter. When ferrous levels are high, a failure condition exists, trigger-
ing yet further testing and analysis. In addition to on-site particle counting, on-site moisture analyzers
and viscometers also assess important root cause conditions.
Table 2 relates the most common tests performed by oil analysis instruments and the problems
they would detect. While certain tests are primary indicators of problems, others are used only for
confirmation purposes. From this chart it can be seen that particle counting, emission spectroscopy,
and infrared spectroscopy are among the most versatile instruments in oil analysis. Table 3 lists

the most common oil analysis tests for various types of machines and whether they are sched-
uled on-site or in the laboratory.
Table 4 gives typical targets and limits in oil analysis. For optimum results, these limits
should be influenced by the machine, its application, and the goals of the user. Where possi-
ble, targets and limits should be quantifiable and directed towards producing a specific bene-
fit, such as machine/lubricant life extension. Rate-of-change of certain tests values, such as ele-
mental spectroscopy, is an important indicator of condition.
INTERPRETING TEST RESULTS
Most machines are highly complex, consisting of exotic metallurgy and intricate mechanisms.
The numerous frictional and sealing surfaces usually employ varying contact dynamics and
loads, all sharing a common lubricant. A failure to gain knowledge about these many internal
machine details as a reference base for use in interpreting oil analysis data may lead to confu-
sion and indecision in response to oil analysis results. A good approach is to build a three-ring
binder with index tabs for each machine type. Include in this binder photocopied pages from
the service and operation manuals plus other accumulated information. The following are
examples of data and information to include:
1. Identify types of bearings in use and their metallurgy.

2. Identify input and output shaft speeds/torques.
3. Identify type of gears in use, speeds, and loads. Determine gear metal hardness, surface treatments,
alloying metals.
4. Locate and identify all other frictional surfaces, such as cams, pistons, bushings, swash- plates, etc.
Determine metallurgy of surface treatments.
5. Locate and identify coolers and heat exchangers and type of fluids used.
6. Obtain fluid flow circuit diagrams/schematics.
7. Locate and determine the types of seals in use, both external and internal.
8. Identify possible contacts with process chemicals and types.

9. R
. ecord lubricant flow rates, lubricant bulk oil temperatures, bearing drain and inlet temperatures,
and oil pressures.
10. Record detailed lubricant specification and compartment capacity.
11. Record filter performance specification and location.
In many cases oil analysis data can be inconclusive when used alone. When combined with
sensory inspection information, however, a reliable, more certain, determination can be made.
Likewise, the application of companion maintenance technologies (like vibration and ther-
mography) can help support a conclusion prior to expensive machine tear-down or repair.
Table 5 gives examples for combining analytical data with simple sensory and inspection data
in defining operating problems. The analytical data are primarily generated from on-site or lab-
oratory oil analysis tests.
The oil analysis report of Figure 8, generated from user oil analysis software, shows how
effectively data can be presented for simple interpretation and analysis. The software allows
users to customize their reports for individual machine and lubricant applications.



FIGURE 8 Oil analysis report.

REFERENCES
1. Fitch, J.C., The 10 Most Common Reasons Why Oil Analysis Programs Fail and the Strategies That Effectively
Overcome Them, Diagnetics, Inc., Tulsa, OK, 1995.
2. Fitch, J.C, Oil Analysis and Proactive Maintenance Seminar Workbook, Diagnetics, Inc., Tulsa, OK, 1996.
3. Fitch, J.C., Three-Step Implementation of Fluid Contamination Control, Diagnetics, Inc., Tulsa, OK, 1990.
4. Troyer, Drew D., Three Dimensions of Equipment Condition Monitoring with Oil Analysis, P/PM
Technology, Minden, NV, April 1995.
5. Fitch, E.C., Fluid Contamination Control, FES, Inc., Stillwater, OK, 1988.
6. Troyer, Drew D., Oil Analysis and Machine Condition Monitoring: A General Introduction and
Workshop, The Vibration Institute Proceedings, Willowbrook, IL, 1996.
7. Troyer, Drew D. and Borden, H.B., Streamlining Oil Analysis With Field Testing, P/PM Technology,
Minden, NV, April, 1994.

76 Wear Monitoring and Metal Analysis

Costandy S. Saba
CONTENTS
Introduction....................................................................................................................................889
Laboratory Methods......................................................................................................................890
Limitations of SOAT.....................................................................................................................891
Improving SOAT............................................................................................................................892
In-Line, On-Line Techniques.......................................................................................................894
Future Concerns.............................................................................................................................894
References.......................................................................................................................................895
INTRODUCTION
Diagnostic methods for determining the health of machinery include the use of oil contam-
ination monitors as important indicators of the condition of lubricant-wetted components.
Spectrometric oil analysis technique (SOAT) is one widely used diagnostic tool that involves
the measuring and trending of specific wear metal contamination levels. Other engine health
monitors such as in-line magnetic plugs and chip detectors are used to detect a rapidly pro-
gressing component failure before it becomes catastrophic.
SOAT has been proven to be very effective for the maintainability and reliability of oil
systems. In the early 1940s, the railroad industry first applied this technique to their diesel
engines. Within two decades, the U.S. military (Navy, Army, and Air Force) adopted SOAT to
monitor wear in their diesel, gasoline, and gas turbine engines. Benefits included cost savings
(e.g., avoiding catastrophic failure, major overhaul, engine replacement), minimizing down-
time, and increasing reliability and fleet readiness. At least for the military, the program has
been 90 to 95% effective.
In spite of its effectiveness, SOAT has been limited in detecting metallic wear particles,
both by the instrumentation used and by inability to detect particles of a size beyond the
instrument capability.1 Knowing these challenges, it can be surmised that no single technique
is capable of giving wear particle concentration, particle size distribution, particle shape, and
chemical nature that are essential in the prognosis of engine health.
Table 1 provides a summary of various techniques developed to meet some of the chal-
lenges mentioned above. The off-line, i.e., laboratory methods, are the most available, and in-
line has been limited to magnetic plugs. However, recently both in-line and on-line (not
directly in the circulating oil stream) sensors have been developed and their capabilities have
been assessed in Table 1 for accommodating the temperature, pressure, and oil flow in the
lubrication system.
This chapter offers data pertinent to SOAT capabilities and limitations as well as a sum-
mary of recent methods for improving the current technology. Future technological changes
and their implications for laboratory and in-line wear monitoring are outlined.
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LABORATORY METHODS
The basic principle behind the wear metal analysis for oil systems is to determine the severity and
location of wear. Metallurgical knowledge of the oil system components will aid in identifying the
wearing parts. Mechanisms for generating wear particles can be mechanical or chemical in nature:
fatigue, adhesion, abrasion, corrosion, and fluid breakdown.
Normal rubbing wear involves either dissolved and/or metallic wear particulates of less than
one µm (micron). Generation of larger particles, i.e., >5 µm, is usually indicative of severe wear.
An unusually high level of dissolved metals, such as Mg, is also indicative of severe corrosion
problems. Based on historical data specific for each engine in service, wear metal guidelines can

Wear Monitoring and Metal Analysis 891
be established for determining engine health. Rapid wear metal production even at low concentra-
tions is an indication of impending oil wetted component failure.
Table 2 lists critical wear metals analyzed for by SOAT and their possible metallurgical source.
An example of Fe or Ti wear metal guidelines for the F-100 gas turbine engine is as follows:
• Normal SOAT values, <12 ppm

• High SOAT values, 13 to 14 ppm
• Abnormal SOAT values, >15
If the engine is operating normally, the wear metal concentrations should be less than 12 ppm and
the concentration increase <4 ppm in 10 operational hours. Components related to abnormal
SOAT values for Fe or Fe + Ti are due to bearings or bearing compartment wear, respectively.
The following are integral to the maintenance program of the engine oil system:
• Sampling time and sample handling are critical in producing a representative sample
• Sampling interval is critical for determining the trend of wear
• Determination of the level of wear from SOAT values, i.e., normal, marginal, or abnormal
• Determination of the trend from the values of the last sample result
• Recommendation of action to be taken based on absolute values and trend
LIMITATIONS OF SOAT
The most common analytical tool used for SOAT is the rotating disc atomic emission spectrome-
ter (AES). Its multielement capability and ease of analysis makes it very desirable. Unlike other spec-
trometric methods, i.e., with atomic absorption spectrometers (AAS), inductively coupled plasma
(ICP), and direct current plasma (DCP), no dilution of the sample nor special gases are required.
AES is capable of simultaneously determining all the critical wear metals in question with a simpler
sample introduction system. Other methods are either sequential or have single element capability
which is time consuming.
Unfortunately, SOAT only yields optimum wear metal results when samples contain dissolved
metals or metals with particle size of <1 mm. Based on sized metal powders, the particle size detec-
tion capability of the various spectrometers are listed in Table 3.1 Several cases have been docu-
mented where large metallic wear particles produced by severe wear were not quantitatively

analyzed.2–4 The inability to detect large wear particles has led to engine component failure without
prior indication of wear as determined by SOAT.
Introducing fine filtration in advanced engine systems may be beneficial in reducing the amount
and size of circulating wear debris, but it requires a real time analysis for engine health
assessment.5Since fine filtration removes larger size wear particles from the mainstream of the lubri-
cant and might render SOAT ineffective, a filtration test rig was designed and built to study the effect
of filtration on various spectrometric oil analysis techniques.6 Figure 1 demonstrates that fine filtration
significantly reduces wear particle size and concentration, as well as the spectrometer response for
wear metal. Both ICP and AE analytical results were affected by the reduced particle size and con-
centration, and other spectrometric techniques offered no advantage.
IMPROVING SOAT
The following four methods were developed to improve SOAT capability in analyzing metallic wear
debris. For ease of deployment, AES portable spectrometers were also developed having the same
elemental capability as the heavier laboratory models.
The first method was developed to improve AES or AAS type instruments for determining Al,
Cu, Fe, Mg, Mo, Ni, Pb, Si, Sn, Ti, and Zn in lubricating oils and hydraulic fluids.3 It involves dissolv-
ing metallic particulates and renders the oil sample homogenous. Metal recoveries ranged from 89 to
102% with relative standard deviations of 2 to 12% (Figure 2). The method was applied successfully
to the analysis of aircraft, automobile, and diesel truck engine oils and aircraft hydraulic fluids. It is the
most reliable and accurate technique available for quantitative metal determination.
The second method deals with modifying the sample introduction system of an AC spark AES
to improve the detection of wear metal particles <1 to 3 mm.7,8 Using a pin-on-pin sample stand,
the lower electrode was modified to hold a 5 ml oil sample. Ashing was performed to eliminate the

FIGURE 1 Metal detection by various spectrometric methods.
FIGURE 2 Percent metal recovery by the acid dissolution-atomic absorption spectroscopy

method.
matrix effect and to improve metal evaporation and atomization in the spark source. Comparative data
demonstrated significant improvement in the analysis capability for the large metallic particles in oils.
An AAS equipped with an electrothermal atomization source was a third technique developed to
improve large particle detection. Its analytical results for 10 metals were almost identical to those from
the ADM for particles as large as 30 mm.7 While this technique was superior to ICP, DCP, flame A
A, and rotating disk AES, the sample volume of 10 ml makes representative sampling

of oils with large particles difficult. This instrument was further developed for the simultane-
ous determination of nine wear metals.9,10
The final technique was specifically designed to improve the particle analysis of the rotating
disc AES.11 It uses the lower disc electrode as the filter medium to collect the solid material from
the oil sample on its outer surface. In a sense, it forces the loading of the metallic particles on
the surface of the electrode so they are exposed to the arc; otherwise the larger particles tend
to settle in the bottom of the analytical cup. Field applications of this technique provided
important additional information about metal concentration of large particles.
IN-LINE, ON-LINE TECHNIQUES

Current analytical techniques sometimes fail to provide timely data and accurate assessment of
wear. Such limitations have encouraged development of supplementary diagnostic tools that can
provide real time data and improve cost effectiveness. Table 4 compares the benefits and limits
of current laboratory and in-line techniques.
Several sensors were evaluated for their diagnostic capability as in-line oil condition moni-
toring devices in a test rig which simulates an engine oil circulation system.12 Each sensor’s sen-
sitivity was determined for various concentrations and sizes of magnetic particles. The overall
comparative data for the four sensors in Table 5 indicate a need for further development and
improvement in their capability.
FUTURE CONCERNS
One the of near term goals for improving the diagnostic capability of wear metal analysis is
the total analyzability of the wear metal debris. This improvement will mean closing the parti-
cle size gap between the spectrometers and the in-line chip detectors as follows:

The solid lines signify the particle size capability of the current technique and the dashed lines
the improvement in detection that need to be made. Further challenges include reduction in
manpower required, more timely data for defining failure modes, higher temperature capabili-
ty, and improved tolerance for mechanical and lubricant effects.
REFERENCES
1. Rhine, W.E. et al., Evaluation of Plasma Spectrometers for the Air Force Oil Analysis, Rep. No.
AFWAL-TR-82-2019, Materials Laboratory, Wright-Patterson Air Force Base, OH, February
1982.
2. Westcott, V.C. and Siefert, W.W., Investigations of iron content of lubricating oils using a ferro-
graph and an emission spectrometer, Wear, 23, 239, 1973.
3. Kauffman, R.E. et al., Quantitative multielement determination of metallic wear species in lubri-
cating oils and hydraulic fluids, Anal. Chem., 54, 975, 1982..

4. Peiffer, L.B., The air force spectrometric oil analysis program 1963-1980, AFLC Historical Study
No. 393, Office of History, Air Force Logistics Command, Wright-Patterson Air Force Base, OH,
December, 1982.
5. Saba, C.S., Impact of microfiltration on spectrometric oil analysis, Proc. 44th Meeting Mechanical
Failures Prevention Group, Virginia Beach, VA, April 3 to 5, 1990.
6. Saba, C.S. et al., Alternate spectrometric oil analysis techniques, Rep. No. WL-TR-92-2017, Aero
Propulsion and Power Directorate, Wright-Patterson Air Force Base, OH, April 1992.
7. Saba, C.S., Improving the wear metal detection of spectrometric oil analysis, Lubr. Eng.,
46, 310, 1990.
8. Saba, C.S. and Byrd, R.J., Improving sample introduction for wear metal determination by atomic
emission spectroscopy, Lubr. Eng., 48, 227, 1992.
9. Niu, W.H. and O’Connor, J.J., Development of a portable wear metal analyzer for field use, Rep.
No. AFWAL-TR-83-2087, Aero Propulsion Laboratory, Wright-Patterson AFB, OH, December
1983.
10. Quinn, M.J., Calibration of the portable wear metal analyzer, Rep. No. AFWAL-TR-87-2061, Aero
Propulsion Laboratory, Wright-Patterson Air Force Base, OH, May 1987.
11. Lukas, M.X. and Anderson, D.P., Rotrode filter spectroscopy — Does it have a place in the com-
mercial or military oil analysis laboratory?, Joint Oil Analysis Program Int. Conf., Pensacola, FL,
November 14 to 18, 1994.
12. Saba, C.S. and Toth, D.K., In-line wear debris monitoring, Joint Oil Analysis Program Int.
Conf., Pensacola, FL, November 14 to 18, 1994.

77 Laboratory
Methods
Used Oil Analysis
Make Lukas and Daniel P. Anderson
CONTENTS
Introduction....................................................................................................................................897
Debris Monitoring..........................................................................................................................897
Lubricant Condition Monitoring.................................................................................................907
Turnkey Used Oil Analysis Laboratories....................................................................................911
References.......................................................................................................................................913
INTRODUCTION
Analysis of used lubricating oil is a fast-evolving technique for predictive maintenance with
any closed loop lubricating system such as those in gas and steam turbines, diesel and gaso-
line engines, transmissions, gearboxes, compressors, pumps, bearings, and hydraulic systems.
To be effective in monitoring both machine condition and lubricant condition, a modern
oil analysis program takes the form shown in Figure 1. Based on analysis of periodic oil sam-
ples, a laboratory diagnostic report is sent to the personnel responsible for the equipment to
warn of any possible problem or to make a specific maintenance recommendation.1 The
entire process, from sample taking to the diagnostic report, should take less than 48 hours to
be effective. These reports, when combined with statistical analysis and trending, can provide
an insight to management personnel on the effectiveness of the program, efficiency of the
maintenance department, repair status of equipment, recurring problems, and even informa-
tion on the performance of different lubricants.
Condition monitoring by oil analysis can be broken down into two main categories: debris
monitoring to measure the trace quantities of wear particles carried by the lubricant away
from the wearing surfaces, and lubricant condition monitoring to determine if the lubricant
itself is fit for service based on physical and chemical tests.
DEBRIS MONITORING
Detection, and sometimes also the analysis, of metallic wear particles is the backbone of oil
analysis condition monitoring. When applied to determine that a system is nearing or has
reached a failure mode, further damage can be contained or avoided through scheduled main-
tenance or immediate shutdown and repair.
Spectroscopy, the most widely applied of these techniques, provides qualitative and quan-
titative analysis of wear debris in lubricating oil. It is effective at detecting those failures that
are characterized by an abnormal increase in wear metals or contaminants. Table 1 shows
examples of detectable and undetectable failures by spectrometric oil analysis.
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FIGURE 1 Oil analysis program, flow diagram.
With spectroscopy, the elemental concentration of as many as 20 elements are reported in

parts per million (ppm). Wear metals, lubricant additives, and contaminants are routinely
detected and quantified. Table 2 lists the typical elements which are routinely analyzed and pro-
vides examples as to their origin in an oil-wetted lubricating system.

Laboratory Used Oil Analysis Methods 899
Spectrometer types used for debris and lubricant monitoring include flame and graphite fur-
nace atomic absorption spectrometers (AAS), rotating disk electrode atomic emission spectrome-
ters (RDE/AES), inductively coupled plasma atomic emission spectrometers (ICP/AES) and X-
ray fluorescence (XRF) spectrometers. Each has its own advantages and disadvantages as indicated
in Table 3.
ATOMIC ABSORPTION SPECTROSCOPY (AAS)

In the flame atomic absorption spectroscopy (FL/AAS) technique, Figure 2, a small amount of
diluted oil sample is fed into a controlled flame normally fueled by an acetylene-oxygen or nitrous
oxide mixture. The flame vaporizes the sample and causes the atoms to be in an elevated energy
state so they can readily absorb light. A special hollow cathode lamp emits a high intensity light

FIGURE 2 Schematic diagram of an atomic absorption spectrometer (AAS).
beam corresponding to the exact energy required to cause the element of interest to be raised
to an excited energy state. Since the lamp emits light at the specific wavelength of the element
to be analyzed, a separate lamp is required for each element. The monochromator is tuned to
the desired wavelength and because of the chopper, receives a continuous reference signal from
the hollow cathode lamp and an alternating absorbed signal from the flame. The absorbed light
can be related to the concentration of the element present in the oil,3 and a microprocessor or
computer then separates the signals and converts them into concentrations.

The FL/AAS technique has been in use for over 35 years in thousands of instruments for ele-
mental analysis, but is applied most often for aqueous solutions, rather than oil samples. It is a sin-
gle-element-at-a-time technique that is good for quantitative, not qualitative, analysis. Improvements
in the past 10 years have been an alternate means to atomize the sample.4
The FL/AAS technique is relatively simple to operate, offers good analytical performance, and
is the least costly instrument to acquire. It is, however, relatively slow, involves sample preparation
for most oils, and requires a different light source for each element analyzed. The sample intro-
duction system and flame temperature limit the wear particle size detection capability to about 5
µm.5 Table 4 summarizes advantages and disadvantages of the AAS technique.
Another AAS technique which has found limited acceptance for oil analysis is graphite furnace
atomic absorption spectroscopy (GF/AAS). The equipment used is identical to the flame atomic
absorption method except for replacing the flame with a small high-temperature furnace typically con-
figured as either a small cylindrical carbon tube or cup to hold the sample. In operation, a few micro-
liters of sample are first evaporated at low temperature, the current through the furnace is increased
to a few hundred amperes, the temperature soars to approximately 2500°C, and the sample is atom-
ized for analysis in the same manner as in standard FL/AAS.
While the GF/AAS provides superior detection limits for most elements, the detection limit varies
from element to element, with operating conditions, and between different oil types. Most published
detection limits measured in dilute aqueous solutions represent ultimate system capability6 which
unfortunately are not achieved with used oil.
Primary advantage of GF/AAS over FL/AAS is the ability to analyze large wear particles since
they are completely volatilized by the furnace. However, as a disadvantage, the microliter size of the
oil sample makes large particle detection questionable because a large particle may not be present in
such a small sample. Analysis can also take 20 minutes or more per sample.
Analytical instruments using the AAS technique are considered ideal starter systems and for appli-
cations with few daily oil samples, but not for used oil analysis programs supporting many sampling
points and diverse machinery.
ATOMIC EMISSION SPECTROSCOPY (AES)

Most atomic emission spectrometers employed in used oil analysis are either of the rotating disk elec-
trode type (RDE) or of the inductively coupled plasma (ICP) type. In the RDE/AES technique, a
rotating disc electrode brings a continuous sample into a gap between the disc and a stationary rod
electrode. A high voltage arc is then struck between the disc and rod electrodes (Figure 3), causing the
individual atoms in the sample to give off light or radiant energy.
The ICP/AES excitation technique employs an electrode-free plasma created by a flow of inert
gas (argon). The gas passes continuously through the plasma torch which is located inside a two or
three-turn R.F. coil connected to a radio frequency alternating current generator. The argon gas acts
as a secondary coil of a transformer, becoming highly ionized and extremely hot. The ionized argon
is referred to as a plasma and reaches temperatures of 8,000 to 10,000°C. The oil sample is

FIGURE 3 Schematic diagram of atomic emission spectrometer.
aspirated through the center of the torch and into the plasma where the atoms present are totally dis-
associated and excited to give off radiant energy.
In RDE/AES and ICP/AES systems, a lens or fiber optic is then used to gather and focus the
radiant energy from the excitation source onto a concave diffraction grating which disperses the light
into the various spectral lines associated with the elements present. Photomultiplier tubes are posi-
tioned behind exit slits to detect and convert radiant energy into electrical currents which give a meas-
ure of the concentration of each metal present in the sample. This result is displayed on a video
screen, sent to a printer, or stored on a hard disc. While the ICP technique was developed for water
analysis, improvements have continued for various applications including oil analysis.
For lubricating oil and fuel analysis, the RDE technique continues to be preferred for its simplic-
ity of operation and reliability. It also has the ability to more efficiently analyze the larger particulates
in used oil samples and light distillate fuels to heavy gear oils and even greases without dilution. The
technique is very robust, has few moving parts, and requires little maintenance. It has been the only
viable choice for field deployable spectrometers for commercial and military applications. Table 5
summarizes the advantages and disadvantages of the RDE technique.
Along with the advantages listed in Table 5, the main disadvantage of the RDE technique is an
accuracy limitation often referred to as “matrix” effect resulting from:
1. Background signal differences between different petroleum products, and

2. Suppression or enhancement of the excitation analyte due to sample composition.
Background correction and different calibration curves are often used to minimize this “matrix”
effect. While the matrix effect is not necessarily a limitation in wear metal trending, it is a disadvantage
in quality control of oil blending operations. The maximum particle size analysis capability is about 10
µm.5 This is due primarily to the physical characteristics of the turning disc electrode in carrying the
particle into the analytical gap for analysis. Even if a large particle reaches the gap, the spark forces
(blows) it away before it can be volatilized.

The advantages and disadvantages of the ICP technique are summarized in Table 6. The
main advantage of the ICP technique is its performance: accuracy, precision, and detection
limits are excellent. Matrix effects are minimal, since samples must be diluted prior to analysis
and the diluent becomes the primary base material. The ICP also lends itself to analysis of
almost any material that is dissolvable so a fine spray can be created prior to analysis.
Automation of the sample introduction process is widely practiced in some cases; therefore,
unattended operation is possible.
The primary limitation of the ICP technique is the need to dilute an oil sample with a solvent
prior to analysis. This time-consuming step can lead to accuracy errors. Operation of the ICP also
requires a relatively well-trained person with experience in basic laboratory procedures. Used oil
samples are not ideally suited for the sample introduction system, and a certain amount of care and
cleaning is routinely required. It is not the kind of instrument one would place on the factory floor.
The particle size analysis efficiency is worse than the RDE technique and limits its ability to detect
certain types of severe wear conditions.
X-RAY FLUORESCENCE (XRF) SPECTROMETERS

These spectrometers offer rapid, nondestructive elemental analysis for a range of solids, liquids,
powders, granules, and films over a wide analytical range from parts per million to percent concen-
tration. Figure 4 provides a schematic diagram of a basic system.
When an oil sample is bombarded with X-rays, electrons are ejected from the various energy
levels of the wear metals, contaminants, or additive atoms. The atoms then exist as ions with their
electrons in an excited state. The ions return to the ground state as loosely held outer electrons
move into the inner vacancies left by the ejected electrons. The outer electrons lose energy by flu-
orescence; that is, they emit X-rays.3 Since every element has a unique electron distribution, it pro-
duces a unique secondary X-ray spectrum whose intensity is proportional to the concentration of
the element in the oil sample.
The two main types of XRF instruments used for oil analysis are wavelength dispersive
(WDXRF) and energy dispersive (EDXRF). They differ primarily in the energy of the X-ray tube

FIGURE 4 Schematic diagram of an XRF spectrometer.
and detection system. Resolution and sensitivity of the EDXRF is typically an order of mag-
nitude worse than the WDXRF. However, the cost of an EDXRF spectrometer, especially a
single-element model, can be ten times less than the WDXRF spectrometer.7
The XRF technique is easy to use, nondestructive, has the capability of simultaneous deter-
minations, and excellent precision and accuracy. For multielement analysis, the technique suf-
fers from the high cost of instrumentation, interferences, and the need to match samples and
standards. The XRF technique is useful for providing multielement analysis of wear debris
once particles are isolated from the used oil, such as when debris is collected on a filter. Poor
detection limits restrict its ability to directly analyze used oil samples with low concentrations
of wear metals. Furthermore, it is only effective for the detection of elements with atomic
numbers above 10 or so, depending on the specific instrument design. However, the flexibili-
ty and accuracy of the XRF technique makes it ideal for quality control of additive blending
of lubricant oils and the analysis of lead in gasoline and sulfur in fuels. The advantages and
disadvantages are summarized in Table 7.
WEAR PARTICLE ANALYSIS INSTRUMENTS

Ferrography was developed in the 1970s to overcome the large particle detection deficiencies of
spectrometric oil analysis. With the original analytical ferrograph, a ferrogram is prepared by pass-
ing an oil sample, diluted with solvent, across a specially prepared glass microscope slide which is
subjected to a strong magnetic field gradient. Ferrous (magnetic) particles align in strings, with the
largest particles deposited at the beginning of the ferrogram where the sample first touches down,
Figure 5. Weakly magnetic particles deposit randomly along the length of the ferrogram.
After the oil is washed away with solvent, dried particles on the microscope slide are ready for
microscope examination. Heat treatment of the ferrogram can further distinguish between steel,
cast iron, and high alloy steels, between various nonferrous metals, and between organic and inor-
ganic materials. Wear mode is inferred from the shape, size, and surface characteristics of the wear
particles. For special investigations, a scanning electron microscope (SEM) elemental analysis

FIGURE 5 Example of a ferrogram.
may be performed on individual particles if the SEM is equipped with an X-ray fluorescence spec-
trometer. Training and experience are required to perform effective ferrographic analysis.
With the rotary particle depositor, the ferrogram is prepared by applying a small volume of sam-
ple with a pipette to a glass substrate on a rotating magnetic assembly. Two circular magnets which
cause two circular fields of magnetic flux are mounted beneath the substrate. Ferromagnetic parti-
cles are deposited as the oil sample slowly flows outward on the rotating substrate. Large particles
are deposited first, followed by smaller particles in two and sometimes three rings.8
In a used oil analysis program, ferrography provides important supplemental information to
spectrometric readings since the ferrous particles captured are too large to be measured by routine
spectrometric methods. However, ferrography suffers from being slow and expensive and requiring
skilled and subjective interpretation. Ferrogram preparation time is about 20 minutes per sample, and
the examination of the ferrogram can take from 5 to 15 minutes per sample, depending on the depth
of analysis and the skill of the analyst. In spite of these shortcomings, ferrography is virtually the
only systematic method of identifying wear mode inside a machine and is recommended as a diag-
nostic technique in support of more rapid screening techniques such as spectroscopy.
Several complementary instruments are available for use with ferrography to act as fast screen-
ing methods to provide a quantifiable figure of total magnetic particles in the sample. Some give two
dimensionless numbers that relate to the concentration of large and small ferrous wear particles in
an oil sample. Advantages and disadvantages of the ferrography and other particle analysis tech-
niques are summarized in Table 8.
PARTICLE COUNTING
For “clean” lubricating systems, such as hydraulic systems in which wear rates are low and clear-
ances between mating machine parts are very small, particle counting is a primary lubricant

condition screening method. While particle counting is not usually performed on systems that
generate a substantial quantity of wear debris, recent developments in sensor geometry show
promise for analysis of “dirty” samples from reciprocating engines and gear boxes.
Particle counters give the number of particles found in specified size categories. Typically,
this will be stated as the number greater than a stated size, such as the number >5 µm, >10 µm,
>20 µm, >30 µm, >40 µm, and >50 µm. The number categories and the sizes are specific to
the instrument employed and its calibration.
An International Standards Organization (ISO) standard has gained wide acceptance for
reporting particle count information in the form x/y, where x is the number >5 µm/ml and y
is the number >15 µm/p/ml using a special scale. The scale uses numbers from 1 to 24 as a
shorthand to describe the number per milliliter, with 24 being the worst case (80,000 to
160,000 particles per ml) and 1 being extremely clean (from 0.01 to 0.02 particles per ml).
Particle counters typically use one of two different techniques for particle counting in
lubricant and hydraulic systems, light-blocking and light-scattering.
Light-scattering sensors are ideal for counting and sizing light-colored particles since they
reflect or scatter light. They operate by detecting the amount of light reflected or scattered by
a particle. As a liquid sample enters the sensor, it passes through the “view volume,” an area
of intense laser light (Figure 6). Particles in the sample scatter bursts of light into a series of
collection optics that focus the burst of light onto a solid-state photo diode. The photo diode
converts the light to electrical pulses where the quantity and height correspond to quantity and
size of particles.9
FIGURE 6 Light-scattering laser sensor.
Light-blocking sensors operate by detecting the “shadow” created by a particle (Figure 7). As
a liquid sample passes through the “view volume,” an area of intense laser light, particles in the
sample momentarily block the laser light. A solid-state photo diode detects the momentary
decrease in light and creates a corresponding electrical pulse that is proportional to particle size.9
While both light-scattering and light-blocking sensors can be used for counting particles, light-
blocking sensors are preferred because they have simpler optics resulting in lower cost, are more
effective at counting dark particles, remain calibrated over a larger range of flow rates, handle a
larger concentration of wear and contaminate particles, and have longer service life. On the other
hand, instruments with the light-scattering sensor can detect smaller particles.

FIGURE 7 Light-blocking laser sensor.
ON-SITE DEBRIS MONITORS

Several other relatively simple instruments for wear particle analysis are for fast on-site screening
of used oil samples or for selecting those samples requiring more detailed laboratory analysis.
Since they are based on magnetism and permeability, their limited sensitivity restricts their appli-
cation to systems with high wear modes and high particle concentrations such as gear boxes and
transmissions. These instruments do not involve laboratory techniques and therefore will not be
described in detail.
LUBRICANT CONDITION MONITORING

The second part of an effective oil analysis program is lubricant condition monitoring to deter-
mine the effectiveness and remaining life of the lubricant based on degradation and contamina-
tion analysis. The number and type of tests performed on a used oil sample vary with the type of
oil and the type of machine being monitored. Physical property tests performed by the typical
used oil analysis laboratory, often using modifications of ASTM procedures to reduce analysis
time, include the following: viscosity, TBN (total base number), TAN (total acid number), water
content (Karl Fischer), fuel dilution, and insolubles.
VISCOSITY
In the laboratory, ASTM D 445,10 is the most commonly employed test. This is done using capil-
lary tubes suspended in precisely controlled temperature baths, at either 40°C, or 100°C, or often
at both temperatures, depending on the application. Oil is allowed to flow through a capillary tube
and time of passage between two calibration marks on the capillary tube is measured. Sample vis-
cosity in centistoke (cSt) units is a multiple of the time measurement and the capillary tube cali-
bration factor. Analysis time is a function of oil viscosity and can vary from one to several min-
utes. Most laboratory viscometer baths can accommodate from 4 to 8 capillary tubes and through-
put is increased by analyzing multiple samples at the same time.
Semiautomatic and completely automatic viscometers that meet ASTM D 445 are also avail-
able for used oil analysis. Typical semiautomatic viscometers require one manual function such as
the insertion of the sample in the capillary tube, or cleaning of the capillary tubes. Fully

automatic viscometers use sample changers and are completely automated such that unattended oper-
ation is possible. The high capital costs are justified with a large sample load because of reduced labor
costs.
Viscosity may also be measured on site by the electrical power required to maintain constant
amplitude in an oscillation viscometer. The test is commonly performed at ambient temperature,
which is measured with a thermocouple built into the sample probe. Using density and viscosity index
data, viscometer readings can be converted by computer to centistokes at the standard reference tem-
peratures of 40°C and 100°C. A temperature bath can also be used to directly measure viscosity at
these two temperatures. This instrument is not as accurate as a capillary tube in a controlled temper-
ature bath, but accuracy is sufficient for condition monitoring applications. The advantage is its ease
of use, speed of measurement (less than 1 minute per sample), and ruggedness of design.
Disadvantages are that it is fairly expensive, does not meet the requirements of ASTM D 445, and is
not as accurate as capillary tube viscometers.
NEUTRALIZATION NUMBER
Neutralization numbers are reported as either TAN or TBN, depending on the lubricant or the appli-
cation.
TAN is a measure of the total amount of acid products present in the lubricant. TAN values of
new oils tend to be less than 1 and gradually rise with oxidation of the lubricant due to operation at
high temperatures. A high acid number is an indication of oil breakdown. ASTM D 974 determines
the acidity level of the lubricant by observing a color change as an indicator solution of potassium
hydroxide (KOH) is added. TAN is expressed as milligrams of KOH required to neutralize a gram of
oil (mgKOH/g). The method is accurate to 15%.11 ASTM 664, used with oils that are opaque and too
dark to use a color change indicator, determines lubricant acidity by measuring the potentiometric
change as KOH is added.
TBN, the opposite of TAN, measures the alkalinity reserve remaining in the lubricant — in other
words, its ability to neutralize corrosive acids that are formed during operation. TBN procedure
ASTM D 2896 measures alkalinity and results are also expressed in mgKOH/g.
Several manufacturers market titrators capable of performing automatic TAN and TBN titrations.
The instruments are computer controlled and small enough for counter top operation. Automatic
samplers are available since some titrations require a fair amount of time. Both TAN and TBN require
the use of organic solvents which are not only expensive to purchase, but also expensive to dispose
of properly.
WATER CONTENT
The amount of water suspended in a used oil sample can be assessed through tests that vary in their
detection ability. A visual test will show perhaps 500 ppm or greater concentration by the presence of
turbidity or cloudiness.7 Laboratory analyses of water vary from the simple “crackle” test to the very
accurate coulometric Karl Fischer titration.
The “crackle” test is performed by placing a few drops of the used oil sample on a hot surface
(about 300°F). Any water present will quickly vaporize with a crackling or popping sound. The test is
subjective and does not quantify the amount of water present.
The three ASTM methods used for the analysis of water in used oil are ASTM D 95, ASTM D
1744, and ASTM D 4928. ASTM D 95, which determines water in oil by distillation, is time con-
suming and not practical for most used oil analysis applications. It measures only high concentrations
of water over 1000 ppm.
ASTM D 1744 determines water content by reacting the oil sample volumetrically with Karl
Fisher reagent to an electrometric end point. While the procedure can be carried out manually with
the appropriate glassware, commercial instruments are automatic and can be purchased as stand alone
products or as an ancillary device to titrators used for TAN and TBN.

The preferred method to measure trace water levels in oil down to levels below 10 ppm is by
coulometric Karl Fischer titration, ASTM D 4928. A number of instrument manufacturers offer auto-
matic coulometric titrators which employ a potentiometric end point and generate Karl Fischer
reagent electrolytically.12 The principal advantages of coulometric titrations are low detection limit
and the elimination of problems associated with the preparation, standardization, and storage of stan-
dard solutions. For most used oil analysis applications, the volumetric method is adequate, with the
coulometric preferred for production quality control. Neither method can be used with automatic
sample changers because the decanted sample waiting for analysis will absorb atmospheric water giv-
ing spurious results.
INSOLUBLES
Among solid content tests, the only one that is easy to perform is the blotter test used to evaluate the
concentration of insolubles and to estimate the dispersive power of the used oil.13 After one drop of
used oil is placed on a special type of filter paper, visual interpretation of the spot left determines
whether or not the oil is still dispersant in character or whether insoluble material has started to drop
out of the oil. Although some automatic techniques to read the spot test have been developed, the
method is still highly subjective and interpretation is something of an art. It applies to insolubles rang-
ing from approximately 0.2 to 3.5% by weight.
ASTM D 893 describes the centrifuge method to determine insolubles in used oil. Two proce-
dures are available. In one, the used oil is mixed with pentane and then centrifuged. In the other, the
used oil sample is mixed with pentane-coagulant solution and then centrifuged. In both procedures,
the precipitate is washed, dried, and weighed to give the insolubles content. The centrifugation method
became self-defeating when the modern dispersant additives in lubricants necessitated adding coagu-
lants to the sample in order to effect a more complete separation of solids during centrifugation.
The filtration method to measure insolubles starts with a weighed amount of used oil sample
which is diluted with pentane or heptane prior to being filtered through a membrane. Percentage of
insolubles is calculated from the increased weight of the membrane after filtration and drying. While
membrane filters can be selected according to pore size to measure insolubles above a preselected crit-
ical size, large particles may block the filter pores and thus introduce an error by holding back insol-
ubles smaller than the pore size. This procedure uses highly flammable solvents.
Thermogravimetry can also be applied for determination of insolubles in used oils. Automatic
instruments are used for the test in which a weighed sample of used oil is heated in a stream of nitro-
gen in increments up to 650°C. After a few minutes, the sample weight is recorded and 10% of air is
introduced into the stream of nitrogen to oxidize the carbon and soot. The air content is gradually
increased to 100%. When the sample weight has stabilized, the test is complete. The primary advan-
tage of the thermogravimetric test is the ability to quantify separately the combustion-formed carbon
or soot and the noncombustible portions of the used oil sample. Since this technique can take as long
as one hour per sample, thermogravimetric insoluble determination is rarely applied in a routine used
oil analysis program. It is applied more often in support of lubricant formulation or engine design and
testing programs.
FOURIER TRANSFORM-INFRARED SPECTROSCOPY (FT-IR)

This technique is starting to receive wide acceptance as a rapid method which can measure and quan-
tify in less than one minute, the information shown in Table 9. A major breakthrough came with FT-
IR spectrometers capable of collecting an entire spectrum in half a minute or less and the tedious
measuring of the spectrum by hand was replaced with attached computers.
FT-IR spectrometers measure energy in the infrared region of the spectrum where individual types
of chemical bonds absorb light of specific wavelengths. The basic FT-IR spectrometer has three com-
ponents: a source, a Michelson interferometer, and a detector, Figure 8. The interferometer

FIGURE 8 Schematic diagram of an FT-IR spectrometer.
consists of a beamsplitter, a fixed mirror, and a moving mirror.14 In routine operation, broad
band infrared light from the source is directed onto the beamsplitter where it is split into two
beams of approximately equal energy. One beam is reflected from the fixed mirror and the
other beam is reflected from the moving mirror. The reflected beams recombine at the beam-
splitter. Here constructive or destructive interference takes place, depending on the position of
the moving mirror relative to the fixed mirror. The net effect of the interferometer is to imbed
an interference pattern into the infrared light which is next directed to the sample which selec-
tively absorbs those wavelengths corresponding to the chemical bonds in the sample. Intensity
of the infrared light passing through the sample is measured by the polychromatic infrared
detector. The computer in the FT-IR spectrometer then performs a Fourier transform calcu-
lation to convert the time/intensity points to frequency/intensity points from which software
extracts and reports information on lubricant degradation and contamination levels.

Two approaches to FT-IR are in use for oil analysis. One applies subtraction prior to data
extraction by comparing the used oil spectrum to the spectrum of the identical new oil.15 The
difference between certain peaks of the two spectra is indicative of the change in the lubricant
and is used for trending purposes. This technique necessitates either analysis of the new oil
prior to the used oil, or recall of the new oil spectrum stored in the computer memory. The
other technique is based solely on extracting the area under certain peaks of the spectrum. This
is a trending technique based on changes in used oil samples over time. For FT-IR to be effec-
tive, the base lubricant for the used oil sample must be known for the subtraction approach,
and the trend is defeated for either approach if the machine’s oil is changed.
Primary advantage of FT-IR is speed of analysis and the number of properties reported
in each analysis. Although often backed up with standard ASTM methods when more preci-
sion is required, it is excellent for trending techniques where changes in data are indicative of
lubricant contamination and/or degradation. Used oil analysis using the FT-IR technique has
been widely accepted over the past few years, and most instrument manufacturers provide cus-
tom software with analytical methods for the typical physical property analysis. Table 10 sum-
marizes typical physical properties and their absorbance spectra.16,17
TURNKEY USED OIL ANALYSIS LABORATORIES

Configuration and instrumentation of a laboratory will vary based on the machines being mon-
itored and the sample work load. A full-service laboratory is shown in Figure 9, but the basic
minimum components consist of an emission spectrometer, a Fourier transform-infrared spec-
trometer (FT-IR), and a viscometer. Each instrument sends its results to a data-based laborato-
ry information management system for data storage, evaluation, and reporting.
A rotating disc emission (RDE) spectrometer is the basic instrument recommended for rou-
tine measurement of the elemental concentration of wear metals, contaminants, and additives.
It provides simplicity of operation, sensitivity to larger particles, freedom from diluting samples,
and requires no gas or cooling water while completing analysis of approximately 20 elements in
less than a minute. An atomic absorption spectrometer (AAS) is seldom used unless the sample
volume is extremely low and cost per sample is not a consideration. An inductively coupled
plasma (ICP) spectrometer is recommended only where absolute accuracy of results is impor-
tant, such as quantification of additive elements in a lubricating-blending plant.

FIGURE 9 Full-service turnkey used oil analysis laboratory.
FT-IR spectrometers for used oil analysis have dedicated programs which extract lubricant
degradation and contamination parameters from the measured spectrum of the used oil sam-
ple. The technique is fast, less than a minute per sample, and provides data on oxidation, nitra-
tion, sulfation, soot, fuel dilution, water and glycol contamination, and in some cases, additive
depletion. As a fast trending technique, it has become a standard instrument in many high sam-
ple volume used oil analysis laboratories.
A viscometer is the third required instrument in the basic turnkey used oil analysis system.
Viscosity is the single most important physical characteristic of a lubricant since it determines
load carrying ability as well as flow and heat flow characteristics. Manual viscometers are inex-
pensive and work well in low sample volume requirements. Automatic viscometers are readily
available for various degrees of automation and unattended operation.
In the basic system, measurements from each analytical instrument are sent to a central
computer file where the results are incorporated into a history file for each unit (specific
machine or sampling point on a machine). When tests are complete, the computer calls up the
file of each unit and compares the results to a criteria matrix with allowable limits and to past
analyses. In an automatic evaluation mode, records for samples with all data within limits are
passed directly to the history file and a report with no recommended action is sent to the main-
tenance personnel. Samples with “out of limit readings” are flagged for review by the labora-
tory expert, who can then send a report with a maintenance recommendation to the mainte-
nance personnel via telephone, telefax, or printed copy.

This basic used oil analysis laboratory can be expanded as the analytical requirements of
the laboratory or the sample work load increase. Ferrography, which magnetically separates the
wear particles in an oil sample and arranges them according to size on a microscope substrate,
gives important supplemental information on ferrous particles too large to be measured by
routine spectrometric methods.
Total acid number (TAN), total base number (TBN), and Karl Fischer water determination
are three frequently performed ASTM tests for oil degradation and contamination. An auto-
matic titrator is sometimes supplied with a turnkey system if more definitive information than
that supplied by the FT-IR spectrometer is required.
Particle count measurement is sometimes recommended, primarily for use with hydraulic
systems or other clean lubricating oil systems such as those for turbines and compressors.
With this added equipment, the used oil analysis laboratory combines the analytical speed
required for large sample volumes with the additional capabilities of providing specialized
ASTM based tests. It contains instruments and operating software designed specifically for
used oil analysis with turnaround times of 24 to 48 hours to provide data trends used for effec-
tive machine condition monitoring. With expanding needs, a local area network (LAN) can be
used to share information and additional tests can be added to match specific machinery mon-
itoring needs.
REFERENCES
1. Lukas, A. and Anderson, D.P., Machine and lubricant condition monitoring for extended equipment
lifetimes and predictive maintenance, paper presented at Int. Symp. Mining, September 15 to 17,
1992, Pretoria, South Africa.
2. Lukas, M., Lubricating oil analysis, Sawyer’s Turbomachinery Maintenance Handbook, Sawyer, J.W., Ed.,
Turbomachinery International Publications, Norwalk, CT, 1980, 8-1 to 8-20.
3. Sieber, J.R. and Salmon, S.G., Elemental analysis of lubricating oils and greases, Lubrication, Vol. 80,
No. 1, 1994.
4. Lukas, M., Comparison of spectrometric techniques for the analysis of liquid gas turbine fuels,
Trans. ASME, Vol. 115, 620-627, 1993.
5. Rhine, W.E., Saba, C.S., and Kaufmann, R.E., Metal particle detection capabilities of rotating disc
emission spectrometers, Lubr. Eng., 42(12), 755, 1986.
6. Bruno, T. J. and Svorornos, P.D.N., CRC Handbook of Basic Tables for Chemical Analysis, CRC Press,
Boca Raton, FL, 1989, 367-390.
7. Nadkarni, R.A., A review of modern instrumental methods of elemental analysis of petroleum
related material, Modern Instrumental Methods of Elemental Analysis of Petroleum Products and Lubricants,
ASTM STP 1109, American Society of Testing and Materials, Philadelphia, PA, 1991.
8. Hunt, T.M., Handbook of Wear Debris Analysis and Particle Detection in Liquids, Elsevier Applied
Science, London, 1993, 25, and pp. 263.
9. Hunt, J. and Hjelmervik, S., Light-Scattering Laser Sensors for Liquid, Product Note, Met One Inc.,
Grants Pass, OR, 1991.
10. ASTM, Petroleum Products, Lubricants and Fossil Fuels, Annual Book of ASTM Standards, Vols.
05.01, 05.02, and 05.03, American Society of Testing and Materials, Philadelphia, PA, 1992.
11. Marshall, E.R., Used Oil Analysis—A Vital Part of Maintenance, Lubrication, Vol. 79, No. 2,
Texaco, Inc., Beacon, NY, 1993.
12. Skoog, D.A., West, D.M., and Holler, F.J., Fundamentals of Analytical Chemistry, Saunders College
Publishing, Ft. Worth, TX, 1988, 418.
13. Lubrizol Petroleum Chemical Company, Diesel Engine Oil Change Intervals, Cleveland, OH, May
1989.
14. Nicolet Analytical Instruments, Theory of FT-IR, Madison WI, 1986, 6.

15. Toms, A.M., A Preliminary Report on the Evaluation of FTIR for Lubricant Condition and
Contamination Determination in Support of Machinery Condition Monitoring in Synthetic
Lubricants, Department of Defense, Joint Oil Analysis Program, Pensacola, FL, 1994.
16. Lockwood, RE. and Dally, R., Lubricant Analysis, ASM Handbook, ASM International, Metals Park,
OH, Vol. 18,1992,301.
17. Nicolet Instrument Corporation, Used Lubricating Oil Analysis, Madison, WI, 1995, 27.

78 Gas Turbine Engine Lubricant

Monitoring and Analysis
Costandy S. Saba
CONTENTS
Introduction.........................................................................................................................................................915
Physical and Chemical Properties....................................................................................................................915
Electrical Methods..............................................................................................................................................917
Electrochemical Methods.................................................................................................................................919
Thermal Methods...............................................................................................................................................920
Chemical Methods..............................................................................................................................................920
Future Devices and Techniques for Lubricant Monitoring......................................................................920
References.............................................................................................................................................................921
INTRODUCTION
Lubricant condition monitoring is a technique for determining periodically the condition of the
lubricant or changes occurring within the lubricant chemistry. For properly running engines, the
physical properties of the oil remain fairly constant, since the rate of lubricant degradation is small
and some volatile degradation products are lost. When abnormal operating conditions occur which
increase aeration rate of the oil and/or oil temperature, the rate of oil degradation increases and the
physical and chemical properties of the oil change.
Of the numerous physical properties changed by oil degradation, the electrochemical properties
are commonly most suited for routine analysis. As an example, the complete oil breakdown rate ana-
lyzer measures an electrochemical property ofthe oils which correlates well with conductivity.1-3 By
detecting the rapid changes in the electrochemical properties of used oil samples, the Air Force was
successful in identifying many abnormally operating engines in the early 1980s.1
While a relationship exists between the degree of oxidative degradation and the electrochemical
properties of a lubricant,4 electrochemical measurement of used oils is complicated by the effects of
different basestocks and additives. For reliable measurements, one has to stay within the lubricant
type and formulation. Along with the comparison in Table 1 of monitoring devices and techniques
for used oil, descriptions follow of diagnostic methods based on physical and chemical properties,
electrical and electrochemical methods, spectrophotometry, and thermal and chemical stressing.
PHYSICAL AND CHEMICAL PROPERTIES

Recent analytical practices for determining the condition of used lubricants have focused primarily
on the determination of total acid number (TAN), viscosity, and contaminants (fuel, water, solids). In
lubrication systems, lubricants can degrade to produce lower or higher molecular weight compounds
0-8493-3904-9/97/$0.00+$.50
which either volatilize and escape out of the engine or remain in the bulk oil, respectively. As a
result, the viscosity of the oil will change. According to the MIL-L-7808, 3-cSt lubricant specifi-
cation, the change in viscosity for laboratory-stressed lubricants should not be more than -5 to
+15% after 96 hours of corrosion and oxidation testing at 175°C (Federal Test Method 791-
5307.1). In real service, a ±15% limit is common.5
Total acid and base numbers are the most commonly monitored chemical properties in used
oils. Total base number (TBN) is more of a concern in internal combustion engines where gen-
erally over-based mineral oils are used, while total acid number would be for gas turbine engines
where ester base lubricants are used. MIL-L-7808 specification requires a change of no more
than 2 mg KOH/g for a laboratory-stressed lubricant using corrosion and oxidation testing at
175°C for 96 h, while in service a TAN of 1.0 is a warning limit.5 TAN limits have been used as
a criterion for oil changes while rapid rate changes have indicated abnormal conditions.
Colorimetric “kits” have been developed for monitoring lubricants based upon changes in TAN
which reduce test time but still require disposal of test solutions and impair the accuracy of TAN
measurements.
Under thermal stressing, deposit-forming tendency of lubricating oils is an important char-
acteristic used to assess lubricant performance.6 Even though total solid determination is a part
of used automotive oil testing, gas turbine lubricants are not routinely tested for solids except for
cases where the lubricant is visibly black (resulting from lubricant coking) or contaminated by

Gas Turbine Engine Lubricant Monitoring and Analysis 917
ingestion of debris such as volcanic ash. Similarly, there is no need to analyze for fuel and water
contamination in oils from Air Force engines. Fuel contamination can occur from leaks devel-
oped in fuel lines, but this occurrence is rare. Water concentration in fresh ester-based lubri-
cant is on the order of 500 ppm. This level is maintained also in used lubricants. While Air
Force engines have experienced essentially no corrosion problems due to water build-up, the
combination of water- and ester-based lubricant can cause corrosion in systems where mag-
nesium alloy is used. Recently, electric generators on C-17s have failed due to magnesium cor-
rosion. Water level monitoring in used lubricants is more appropriate for equipment aboard
ships, steam turbines, or machinery operating in humid environment.
Table 2 provides limiting values of lubricant properties measured by various test methods.
These values are indicative of lubricant performance under certain test conditions. In order for
a lubricant to be qualified for field use, its performance must be within these limits of specifi-
cation. Using viscosity, acid number, and evaporation loss limiting values (hours) in a labora-
tory oxidation test, one can assign a ranking for qualifying certain oils. For example, Figure 1
ranks 15 lubricants based on time to reach limiting values, measured in hours, set by the spec-
ification of lubricant performance (Table 2). One can easily determine the longest life lubri-
cants, those clustered in the far upper right hand corner of the diagram, when three lubricant
properties are considered simultaneously.
ELECTRICAL METHODS
CONDUCTIVITY
Conductivity measurements using a small portable tester were made on a used 4-cSt ester-based lubri-
cant from a gas turbine engine stand. The results listed in Table 3 correlated well with analysis of oil
breakdown rate by COBRA.1,2 The changes in viscosities and TAN values were not significant

FIGURE 1 Ranking of lubricant lifetimes (hours) based on limiting values of 1.5 TAN, 25%
viscosity change at 100°C, and 25% weight loss at 210°C, a modified FTM 5307.1 temperature.
even after 144 test hours, indicating no appreciable oxidative degradation. However, the bases-
tock degradation seen from the percent basestock remaining study by gas chromatography, a
result of the thermal stressing of the lubricant, contributes to the significant increases in COBRA
and conductivity values. While increases in conductivity usually indicate oxidative and thermal
deterioration of the oils, only thermal stressing was responsible in this example.
DIELECTRIC CONSTANT
A dielectric constant tester was used to analyze 3- and 4-cSt ester-basestock aviation fluids that
had been stressed in laboratory oxidation tests.7 The data were evaluated with respect to TAN
and viscosity of the lubricants and displayed meaningful correlation when evaporative loss of the
lubricant was minimal.
Changes in the dielectric properties of the lubricant and presence of wear metal debris will
effectively alter the capacitance of a test cell, thus altering the frequency of the circuit. A new
instrument was evaluated to measure the frequency as a function of time.8 This allows the parti-
cles to settle down onto the sensor, altering the frequency and producing a negative sloping line.
Furthermore, the instrument also measures dielectric decay in the presence of a time-varying
magnetic field. The magnetic “ON” state causes a greater rate of migration of magnetic parti-
cles relative to the magnetic “OFF” state, which is shown as a digression in the decay rates of
their respective frequency curves. Results with this portable sensor correlated well with oil degra-
dation levels and showed excellent sensitivity for magnetic particles less than 5 (µm at concen-
trations as low as 1 ppm, but poor sensitivity to nonmagnetic metal particles.
MICROSENSOR METHODS
Of the many very small chemical and physical sensors being developed, solid state microsensors
have the potential of being developed into a lubricant condition-monitoring instrument.9 Jarvis

et al.10,11 have developed TBN and fuel dilution meters which were successfully tested on oper-
ating Navy vessels. These meters use surface acoustic wave (SAW) chemical sensor consisting
of a piezoelectric substrate surface (e.g., quartz) imbedded with a pair of integrated electrode
arrays which act as a transmitter and receiver of the radio frequency wave. Any absorbed mate-
rial on the surface of the sensor will cause a shift in the applied radio frequency which is relat-
ed to the mass/density of the material absorbed. The selection of a chemically specific coat-
ing is critical in the development of the sensor response to certain vapors.
ELECTROCHEMICAL METHODS
CYCLIC VOLTAMMETRY
This technique measures the remaining percent of specific species from the current generated
by their oxidation or reduction. It can indicate the remaining useful life of a gas turbine engine
lubricant from the electrochemical reduction of the original and generated antioxidant species
in the oil sample.12,13 It is applicable to the analysis of lubricating oils, hydraulic fluids, and
greases and was successfully field tested in analyzing gas turbine engine oils.

SPECTROPHOTOMETRIC METHODS
INFRARED
Generally, this IR absorption technique has been used to monitor the degradation of hydrocar-
bon (mineral oil or synthetic)-based lubricants by measuring specific absorbencies that appear in
the lubricant due to degradation products. The most useful spectral regions that can be moni-
tored are those due to water, soot, oxidation and nitration products, fuel contamination, and
lubricant additive depletion. The technique has been shown to be applicable to ester-based lubri-
cants where contaminants and degradation products can be identified.14,15
FLUORESCENCE
Fluorescence spectroscopy has been investigated for condition monitoring of oxidized
polyphenyl ether lubricants.16 Oxidative degradation of the lubricant was shown to induce spe-
cific changes in its fluorescence properties. Excitation/emission wavelengths with monitoring
potential were identified and found to yield a useful correlation between emission intensity and
viscosity increases of the degraded lubricant for two different formulations. Neat thin films of
the degraded fluids yield similar correlations.
THERMAL METHODS
Differential scanning calorimetry (DSC), differential thermal analysis (DTA), thermogravimetric
analysis (TGA), and thermomechanical analysis (TMA) have found many uses in the lubricant
field.17 Among these analytical techniques, DSC is the most useful for lubricant monitoring
because it can determine oxidative stability.18 DSC measures heat flow of the sample relative to a
reference as a function either of temperature or of time at constant temperature. The onset of
rapid oxidation is generally accompanied by a rapid heat flow increase, and lubricant stability is
found to be proportional to the induction time or temperature.
Both DSC and TGA were used to design a rating system for ester base-lubricants based on
their volatility, oxidation, and deposition characteristics.19 DSC is often performed at high pres-
sures (200 to 1000 psi) in order to lower the rate of sample evaporation and sharpen the “onset
of oxidation” peak.18 High pressure-differential scanning calorimetry and sealed pan-DSC tech-
niques were used to relate onset of reaction times to the remaining useful lives of ester-based
lubricants. A limitation of the DSC technique for condition monitoring is its high instrumental
cost relative to electrical methods.
CHEMICAL METHODS
Chemical stressing methods involve the addition of reactive species that deplete the antioxidants
in the lubricant, thus giving a relative measure of the lubricant’s oxidation resistance. A method
was developed to measure the free radical trapping capability of hydrocarbon-base lubri-
cants.20 Later, a technique was developed for determining the peroxide decomposing capability of
ester-base fluids of gas turbine engines.21
FUTURE DEVICES AND TECHNIQUES FOR LUBRICANT

MONITORING
Future monitoring of normal mineral and ester-base lubricants will continue to be based upon
measured chemical changes such as total acid numbers and physical property changes such as vis-
cosity and electrochemical properties. Monitoring will likely be conducted more and more in con-
junction with wear debris analysis. Such monitoring will be conducted primarily for identifying

abnormal operating engines and not oil change intervals, since most military aircraft engines
require no oil changes between scheduled inspections or overhaul.
Monitoring techniques for advanced high temperature lubricants will likely be more spe-
cialized as dictated by the chemistry and degradation mode. For example, since polyphenyl
ether lubricants do not produce acidic breakdown products, monitoring techniques based on
total acid number or electrochemical properties would not be suitable, and specific spec-
troscopy or chromatography techniques will likely be employed.
REFERENCES
1. Smith, H.A., Complete oil–breakdown–rate analyzer (COBRA) for identifying abnormal operating
turbine engines, Joint Oil Analysis Program, Int. Symp. Proc., Pensacola, FL, May 17 to 19, 1983,
307.
2. Saba, C.S. et al., Lubricant Evaluation and Performance, Tech. Rep. No. AFWAL–TR–87–2025,
Aero Propulsion Laboratory, Wright–Patterson Air Force Base, OH, June 1987.
3. Saba, C.S. et al., Lubricant Evaluation and Performance II, Tech. Rep. No. WL–TR–91–2111, Aero
Propulsion and Power Directorate, Wright–Patterson Air Force Base, OH, January 1992.
4. Saba, C.S. et al., Lubricant Evaluation and Performance, Tech. Rep. No. AFWAL–TR–89–2008,
Aero Propulsion Laboratory, Wright–Patterson Air Force Base, OH, April 1989.
5. Centers, P.W., Routine analysis of turbine engine lubricants, Joint Oil Analysis Program, Int.
Condition Monitoring Conf., Pensacola, FL, November 14 to 18, 1994.
6. Smith, H.A. and Saba, C.S., Lubricant deposition studies using a small test volume, low cost static
coker, Lubr. Engr., 44, 983–992, 1988.
7. Keller, M. and Saba, C.S., Monitoring of ester base lubricants by dielectric constant, Lubr Eng.,
45(6), 347–351, 1989.
8. Keller, M.A. and Saba, C.S., Lubricant and wear debris monitoring using a time resolved dielectric
device, Joint Oil Analysis Program, Int. Condition Monitoring Conf., Pensacola, FL, November
14 to 18, 1994.
9. Ballentine Jr., D.S. and Wohltjen, H., Surface acoustic wave devices for chemical analysis, Anal.
Chem., 60, 704A–715A, 1989.
10. Jarvis, N.L., Wohltjen, H., Klusty, M., Gorin, N., Fleck, C, Shay, G., and Smith, A., Solid–state
microsensors for lubricant condition monitoring, I. Fuel dilution meter, Lubr. Eng., 50(9),
689–693, 1994.
11. Woltjen, H., Jarvis, L.N., Klusty, M., Gorin, N., Fleck, C, Shay, G., and Smith, A., Solid–state
microsensors for lubricant condition monitoring, II. Total base number, Lubr. Eng., 50(11),
861–866, 1994.
12. Kauffman, R.E., Remaining useful life measurements of gas turbine engine oils, diesel engine oils,
hydraulic fluids, gear box oils, and greases using cyclic voltammetric methods, Proc. Joint Oil
Analysis Program Int. Condition Monitoring Conf., Pensacola, FL, 1992.
13. Kauffman, R.E., Development of a remaining useful life of a lubricant evaluating technique, III.
Cyclic voltammetric methods, Lubr. Eng., 45, 709–716, 1989.
14. Toms, A.M., Joint Oil Analysis Program evaluation of Fourier transform infrared (FT–IR) spec-
troscopy, I. Proc. Joint Oil Analysis Program Int. Condition Monitoring Conf., November 14 to
18, 1994.
15. Toms, A.M., Joint Oil Analysis Program evaluation of Fourier transform infrared (FT-IR) spec-
troscopy, II. Proc. Joint Oil Analysis Program Int. Condition Monitoring Conf., November 14 to
18, 1994.
16. Keller, M.A. and Saba, C.S., Monitoring of polyphenyl ether lubricants using fluorescence spec-
troscopy, Appl. Spect., 44(2), 266, 1990.
17. Noel, F. and Cranton, G., Application of thermal analysis to petroleum research, Amer. Lab.,
27–50, June 1979.
18. Kauffman, R.E. and Rhine, W.E., Development of remaining useful life of a lubricant evaluation
technique, I. Differential scanning calorimetric techniques, Lubr. Eng., 44(2), 154–161, 1988.

19. Fehrenbacher, L., Schafrik, R., and Macia, J., Improved Thermo–Oxidative–Deposition Screening
Tests for Turbine Engine Lubricants, WRDC–TR–89–2133, Aero Propulsion and Power
Directorate, Wright-Patterson Air Force Base, OH, November 1989.
20. Mahoney, L. et al., Determination of the antioxidant capacity of new and used lubricants: meth-
ods and applications, Ind. Eng. Chem. Prod. Res., 17, 250, 1978.
21. Kauffman, R.E. and Rhine, W.E., Development of a RULLET, II, Colorimetric Method, Lubr.
Eng., 44(2), 162–167, 1988.

79 Automotive Engine Oil Life Factors

Shirley E. Schwartz
CONTENTS
Introduction....................................................................................................................................923
Chemical and Physical Changes to the Engine Oil During Service........................................924
Standard Tests that Simulate Selected Service Conditions.......................................................925
Significance of Oil Analysis Data................................................................................................926
Conclusion......................................................................................................................................926
References.......................................................................................................................................926
INTRODUCTION
Engine oil degrades as a consequence of use in an operating vehicle. The mechanism and rate
of engine oil degradation are influenced by many factors, including:
• Engine
• Design
• Presence or absence of hot spots1,2
• Range of operating temperatures1,3
• Nature of the ventilation and recirculation system
• Volume of engine oil1,2
• Age
• New (green)4
• Well broken in4
• Old and worn5
• Problems
• Coolant leak5
• Bearing corrosion or failure, causing hot spots and loss of metal5
• Fuel
• Gasoline4
• Diesel oil5
• Alternative fuel4
• Engine oil
• Base stock
• Synthetic3
• Mineral3
• Additive package
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• Service
• Freeway3,4
• High load5
• City/taxi/police4
• Short trip, cold start6
CHEMICAL AND PHYSICAL CHANGES TO THE ENGINE OIL

DURING SERVICE
Different types of service cause different changes to the engine oil, as follows:
• Freeway/easy driving, in which oil retains its properties for a long time
• Viscosity
• Slight decrease during first few thousand kilometers after an oil change3 due to
shear of viscosity index improver
• Slight increase after first few thousand kilometers of driving due to evaporation of
light ends of oil or onset of oil oxidation3
• Oil acidity and alkalinity largely stable for many thousand kilometers3
• Antioxidant protection stable3
• High-load, high-temperature driving, in which the engine oil stays hot for extended peri-
ods of time
• Viscosity increase5
• Evaporation of lighter ends of engine oil
• Oxidation of engine oil
• Magnitude of the effect influenced by the composition of the oil
• Oil acidity and alkalinity5
• Acidity increase, alkalinity decrease
• Magnitude of the effect influenced by
• Composition of the engine oil
• Temperature to which the oil rises
• Accumulation of insoluble contaminants in engine oil5
• Oil oxidation products
• Metals
• Wear5
• Increase in oil additive concentration due to evaporation of lighter oil ends
• City driving, with extended idle, rich operation, engine oil completely warm
• Increase in oil acidity, viscosity, and insoluble contaminants compared to freeway
service4
• Decrease in oil alkalinity and oxidative stability compared to freeway service4
• Short-trip, cold-start driving
• Significant amount of contamination in engine oil
• Fuel (up to 29% observed under extreme conditions)7
• Water (up to 9% observed with gasoline-fueled vehicles) and emulsion formation3
• Acid from partially combusted fuel7
• Effect partially reversed when oil warms6
• Additive drop out to bottom of pan and additive depletion in bulk of oil
• Water and emulsion formation a primary cause6
• Effect reversible if water driven off by higher oil temperatures6
• Viscosity
• Up to 70% viscosity reduction due to fuel in oil7
• Oil thickening due to gel formation with polar oil contaminants

Automotive Engine Oil Life Factors 925
• Increased rate of entry of iron into engine oil

• Oxidation (rust formation) due to the presence of water7
• Corrosion from acidic oil7
Some of the changes that occur in the engine oil as a consequence of various engine conditions
are:
• Green (new) engine causes high concentration of metals and silicon in engine oil7
• Bearing problems may cause high concentration of lead, copper, or aluminum in engine oil5,8
• Coolant leaks cause an elevated concentration of coolant components in engine oil9
• Silicon, sodium, glycol often identifiable
• Glycol sometimes not detected when present
• Positive test for glycol seen with some unused oils
• High-load, stop-and-go driving with a Diesel engine creates soot, which enters the engine oil5
By comparing oil analysis results for a given type engine, but different type of service, it is even
possible to obtain a quantitative assessment of the severity of one type of service relative to anoth-
er, as seen in the following examples:
• Reaching a 95% reduction in remaining antioxidant protection required

• 12,000 km in freeway service
• 9,000 km when pulling a 1000-kg trailer in the same service2
• Reaching a 30% increase in viscosity (gasoline-fueled vehicle) required
• 8,000 km in city service4
• Reaching 40 parts per million iron in engine oil quired
• 1,000 km in extreme short-trip, cold-start driving3
These examples indicate that there are significant differences in the rate of engine oil degrada-
tion as a function of type of service.
STANDARD TESTS THAT SIMULATE SELECTED SERVICE CON-

DITIONS
American Society for Testing and Materials (ASTM) standard test methods have been developed to
qualify an engine oil for use in an operating vehicle. Each test stresses the engine oil in a specific
way. For example, the following tests represent severe examples of three of the types of service
listed in the introduction:
• Sequence IIIE simulates high-temperature, high-load conditions and assesses an oil’s ability
to resist oxidation and thickening.10
• Sequence VE simulates city type driving and determines an oil’s ability to resist the changes
that occur when an oil is exposed to the chemicals that form during city service.”
• Sequence IID simulates short-trip, cold-start driving and provides a measure of an oil’s abil-
ity to inhibit rust and corrosion.12
In such tests, engine measurements and oil analyses indicate whether an engine oil provides accept-
able protection to an engine.
Information on additional test procedures for such thins as bearing corrosion, oil thickening,
foaming tendency, or corrosion inhibition is also available through such organizations as the

International Lubricant Standardization and Approval Committee (ILSAC), the Society of

Auto-motive Engineers (SAE), Japan Automobile Standards Organization (JASO), and the Co-
ordinating European Council (CEC).
SIGNIFICANCE OF OIL ANALYSIS DATA

One can often determine what kind of service an engine has experienced by analyzing the
engine oil.9 For example, if the oil viscosity is low and fuel and water are present (the oil may
look milky), the vehicle was probably driven in short-trip service. If the oil is thick and tarry,
the driver almost certainly drove too long before an oil change, or perhaps there was a coolant
leak. If the concentration of engine metals and silicon in the oil seems too high, the oil sam-
ple may have been taken during or at the end of the first oil drain. If the oil seems thick and
the concentration of oil additive elements seems too high, the vehicle was probably driven
under high-load, high-temperature conditions, and the lighter ends of the oil have evaporated
off. If lead and copper concentrations seem high, but the concentration of other metals seems
normal, there may be a bearing problem.
CONCLUSION
The properties of engine oil are modified in specific ways for any given type of service.
Analysis of the engine oil provides considerable insight into the severity of service, the pres-
ence of any problems, and the durability of the engine. The nature of the change in engine oil
properties also may provide clues regarding engine malfunction.
REFERENCES
1. Schwartz, S. E., A model for the loss of oxidative stability of engine oil during long-trip service,
I. Vehicle measurements, STLE Tribol. Trans., 35(2), 307–315, 1992.
2. Schwartz, S. E., A model for the loss of oxidative stability of engine oil during long-trip service, II.
Theoretical considerations, STLE Tribol. Trans., 35(2), 235–244, 1992.
3. Younggren, P. J. and Schwartz, S. E., The effects of trip length and oil type (synthetic versus min-
eral oil) on engine-oil degradation in a driving test of a vehicle with a 5.7L V-8 engine, SAE Pap.,
No. 932838, Society of Automotive Engineers, Warrendale, PA, 1993.
4. Schwartz, S. E. and Mettrick, C. J., Mechanisms of engine wear and engine oil degradation in vehi-
cles using M85 or gasoline, SAE Pap., No. 942027, 1994.
5. Schilling, A., Automobile Engine Lubrication, Scientific Publications (G. B.), Broseley, Shropshire,
England, 1972.
6. Schwartz, S. E., Observations through a transparent oil pan during cold-start, short-trip service,
SAE Pap., No. 912387, 1991.
7. Schwartz, S. E., A comparison of engine oil viscosity, emulsion formation, and chemical changes
for M85 and gasoline-fueled vehicles in short-trip service, SAE Pap., No. 922297, 1992.
8. Zuidema, H. H., Bearing lubrication, in The Performance of Lubricating Oils, Reinhold Publishing, New
York, 1959, 89–113.
9. Smolenski, D. J. and Schwartz, S. E., Automotive engine-oil condition monitoring, in CRC Handbook
of Lubrication and Tribology, Vol. 3, Booser, E. R., Ed., CRC Press, Boca Raton, FL, 1994, 17–32.
10. Standard Test method for Evaluation of Automotive Engine Oils in the Sequence IIIE Spark-
Ignition Engine, ASTM D 5533, Vol. 05.03, American Society for Testing and Materials, Philadel-
phia, 1996, 659–765.
11. Standard Test Method for Evaluation of Automotive Engine Oils for Inhibition of Deposit
Formation and Wear in a Spark-Ignition Internal Combustion Engine Fueled with Gasoline and
Operated Under Low-Temperature, Light-Duty Conditions, ASTM D 5302, Vol. 05.03, 1996,
429–540.
12. Test Method for Evaluation of Automotive Engine Oils for Inhibition of Rusting (Sequence IID),
ASTM D 5844, Vol. 05.03, ASTM, West Conshohocken, PA, 1995.

80 Automotive Engine Oil Condition

Monitoring
Donald J. Smolenski and Shirley E. Schwartz
Analysis of used engine oils can often provide valuable information about:
• Extent of engine oil degradation

• Type of service the engine has experienced
• Condition of the engine
• Nature and extent of possible engine problems
• Probable cause of engine failure.
In the tables, the following information is presented:
• Test method
• ASTM (American Society for Testing and Materials) designation (if an ASTM method
is available)
• Warning limits (with references)
• Significance of test results
• Effect of driving conditions on the interpretation of test results
• Related analyses which may support or refute the conclusions drawn from a given test
result.
The test methods listed are not a complete compilation of all pertinent methods avail-
able, but include methods which have been found useful to investigators. Often related meth-
ods are listed in the ASTM procedure.
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Automotive Engine Oil Condition Monitoring 929
REFERENCES
1. Younggren, P. J. and Schwartz, S. E., The effects of trip length and oil type (synthetic versus min-
eral oil) on engine damage and engine-oil degradation in a driving test of a vehicle with a 5.7L
engine, SAE (Society of Automotive Engineers) Pap., No. 932838, 1993.
2. Schilling, A., Automobile Engine Lubrication, Scientific Publications (G.B.), Broseley, Shropshire,
England, 1972.
3. Rodgers, J. J. and Kabel, R. H., A Revised Sequence IIIC Engine Oil Test, General Motors Research
Laboratories Publ. 2611, Warren, MI, 1978.
4. Engine Oil Licensing and Certification System, Appendix K–2, API Publ. No. 1509, 12th ed., American
Petroleum Institute, Washington, D.C., January 1993, 51.
5. Testing Used Engine Oils, Chevron Research Bulletin, Richmond, CA, 1983.
6. Engine Oil Viscosity Classification, SAE J300, Society of Automotive Engineers, Warrendale, PA,
March 31, 1993.
7. Firey, J. C., Newcomb, J. C., Niemann, J. F., and Sugges, P. R., Studies of the effects of water on
gasoline engine wear at low temperature, Wear, 10, 33, 1967.
8. Dyson, A., Richards, L. J., and Williams, K. R., Diesel engine lubricants: their selection and utiliza-
tion with particular reference to oil alkalinity, Proc. Inst. Mech. Eng., 171, 717, 1957.
9. Schwartz, S. E. and Smolenski, D. J., Development of an automatic engine oil-change indicator sys-
tem, SAE Pap., No. 870403, 1987.
10. Schwartz, S. E., A comparison of engine oil viscosity, emulsion formation, and chemical changes
for M85 and gasoline-fueled vehicles in short-trip service, SAE Pap., No. 922297, 1992.
11. Smolenski, D. J. and Kabel, R. H., Effect of engine oil zinc dithiophosphate (ZDP) additive type
on cam and lifter wear in taxi service, SAE Pap., No. 831760, 1983.
12. Schwartz, S. E. and Mettrick, C. J., Mechanisms of engine wear and engine oil degradation in vehi-
cles using M85 or gasoline, SAE Pap., No. 942027, 1994.
13. Mettrick, C. J. and Schwartz, S. E., A study of the effects of extended oil-drain periods on engine
oil degradation and engine durability in a fuel-flexible vehicle, in Proc.: Vol. 1, Tenth International
Symposium on Alcohol Fuels, November 7 to 10, 1993, 83–91. Also available in General Motors
Research and Development Publ. R&D-8035, Warren, MI, 1994.

81 Diesel Engine Used Oil Analysis

Jack Poley
CONTENTS
Introduction....................................................................................................................................935
Sampling Guidelines......................................................................................................................935
Tests for Used Diesel Lubricants.................................................................................................936
Wear Particles..................................................................................................................................936
Tables...............................................................................................................................................936
INTRODUCTION
Used lubricant analysis as a maintenance aid is now a mature field, particularly for diesel
engine oils. In about 1948, railroad companies began to utilize their own laboratories to ana-
lyze oils for wear debris in addition to commonly requested physical and chemical tests. Since
that time, lubricant analysis has expanded to trucking, agriculture, construction, industry,
marine applications, oil and gas operations, and aviation.
Today’s testing is faster, less expensive, and better than was previously the case. In addi-
tion to improvements in instrumentation, the advent of the computer permeates every aspect
of the analytical process: logging in samples, analyzing and storing data, predicting trends,
and even designing the final report.
In the future, it is probable that routine evaluation of lubricants may be conducted in situ
by using on-board sensor technology. On the other hand, it is also anticipated that lubricant
sampling and analysis technology will continue to improve, since there will always be a need
for more sophisticated testing whenever on-board sensors have detected an anomaly.
SAMPLING GUIDELINES
It is relatively easy to obtain engine oil samples from most diesel engines. However, a few fun-
damentals should be observed to maximize the quality of the samples:
• Samples are taken

• From an engine that is thoroughly warm. This ensures a well-mixed, representative
sample.
• From the same location every time.
• Samples are not taken
0-8493-3904-9/97/$0.00+$.50
• From gauge lines or other static locations. Samples taken in this fashion may repre-
sent very old lubricant from drain cycles many times previous.
• Immediately after the filter. The filter removes a lot of representative debris or “evi-
dence.”
TESTS FOR USED DIESEL LUBRICANTS
A thorough lubricant analysis procedure includes several tests. No single test provides suffi-
cient information. In the enclosed tables, recommended tests for diesel engine applications are
listed, along with typical results and limits.
WEAR PARTICLES
Wear particles are a special classification of debris. Those that are very small (less than two or
three micrometers, µm) are routinely detected via spectrometric analysis, which is the most
common type of lubricant analysis. Many techniques for analysis or particle counting depend
on light passing through the oil sample. However, if soot from the fuel is present in the oil,
the soot may block the light required for analysis. Alternatives to light transmission techniques
are becoming available.
Particles appreciably larger than a few micrometers are more readily analyzed by alternative
methods. For diesel engine oils, ferrography represents an excellent approach for counting par-
ticles, since one can determine the size, shape, and metallurgical composition of the particles.
This combination of shape and metal identification makes ferrography a powerful deci-
sion–making tool whenever engine inspection or routine oil analysis indicate that the engine
might have a serious problem. Simple particle counts which do not identify the composition
or structure of the particles are not nearly as useful.
TABLES
The following tables describe the analytical measurements that are typically done on diesel
engine oil samples. Interpretation of analytical results may depend on the particular applica-
tion, type of service, type of oil used, type of engine, and the nature of any damage that may
have occurred during the sampling period. Thus, the interpretations presented in the tables are
general guidelines that will be correct for most applications, but may not be appropriate for
some specialized situations.

Diesel Engine Used Oil Analysis 937



82 Rotating Machinery Vibration and

Condition Monitoring
William D. Marscher
CONTENTS
The Role of Vibration Analysis in Condition Monitoring..................................................................944
Avoidance of Fluid-Induced Vibration Problems................................................................................946
Balance Criteria............................................................................................................................................946
Alignment Criteria.......................................................................................................................................947
Machinery and Piping Support.................................................................................................................947
Resonance.....................................................................................................................................................948
Rotordynamic Instability............................................................................................................................948
Vibration Specifications.............................................................................................................................948
Troubleshooting...........................................................................................................................................950
Recognizing Vibration Problems.............................................................................................................950
References.....................................................................................................................................................955
THE ROLE OF VIBRATION ANALYSIS IN CONDITION MONI-

TORING
Rotating machinery can experience reliability problems that are evidenced by increased vibration
at certain frequencies. These reliability problems are usually associated with either fatigue (devel-
opment of cracks in components) or tribological degradation (increased friction and/or wear).
Figure 1 illustrates typical mechanical durability issues in fluid dynamic rotating machinery.
Vibration probes and associated process and lubricant transducers are typically installed at sev-
eral or all of the locations shown in Figure 2. Vibration test data taken from the vibration probes,
to help determine the current and projected mechanical health of rotating machinery, are gener-
ally plotted in three different forms:
1. “Signature” or spectrum plots of vibration amplitude vs. frequency. When combined with a frequen-
cy plot of the phase lag angle between application of the exciting force and the resulting vibrational
motion, this is called a “Bode plot.”
2. Plots of vibration amplitude vs. time, similar to a typical oscilloscope trace.
3. “Orbit” plots of the shaft’s centerline radial motion over one period of vibration, or one shaft revo-
lution.
The amplitude scales are usually linear, but are sometimes given in decibels (dB). dB is a base
10 logarithmic representation used to enhance the resolution of low-level responses in the “noise
floor” of a spectrum, such as fluid excitation forces or natural frequency peaks. Whether linear or
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Rotating Machinery Vibration and Condition Monitoring 945
FIGURE 1 Typical internal failure types in turbomachinery.
FIGURE 2 Turbomachine well instrumented according to current practice.
dB, the amplitude in most spectrum analyzers usually indicates root mean square (RMS) val-
ues, which are a factor of 0.707 times peak values.

AVOIDANCE OF FLUID-INDUCED VIBRATION PROBLEMS

Whenever possible, a fluid machine should be operated in the vicinity of its design point. For all
types of turbomachinery, vibration, bearing load, and associated eccentricity typically increase
rather than (as intuition would suggest) decrease when running at low flows. For example, if tur-
bomachines are operated far enough below their design point, stalling of either the rotor blades
or diffuser vanes may occur, accompanied by large excitation forces at frequencies of about 20%
and 80% of running speed, usually associated with a phenomenon called “rotating stall.” At still
lower flows in fans and compressors, violent flow pulsing in the compressor and its system may
occur, which is commonly known as “surge.”
Both surge and stall are generally associated with poor angle of attack between incoming flow
and the blade or vane angles built into the various turbomachine components. This often causes
fluid “dead” zones, with eddies developing in the resulting wake, possibly resulting in “recircula-
tion” heading upstream of the component. This in turn causes severe shaking of the rotor and of
stator assemblies, particularly if the frequency at which the eddies propagate coincide with a com-
ponent natural frequency. For example, in pumps, recirculation can cause severe vibration levels if
the below-running-speed excitations coincide in frequency with a rotor critical speed, and some-
times causes cavitation damage on the pressure side of impeller vanes. In compressors, the stalling
from this recirculating flow is often a precursor to surge, which is a violent and potentially destruc-
tive transient shaking of the entire machine due to temporary mismatch of the flow capacity with-
in a stage’s aerodynamic passages or between stages.
For centrifugal turbomachinery, it is possible to trade somewhat diminished efficiency for
lower blade or vane pass forces by increasing the clearance between the rotor blades and the volute
tongue or diffuser vanes. In centrifugal pumps, this is the so-called “B-Gap.” Excessive vane pass-
ing vibration becomes more likely if the ratio of diametral blade/vane gap vs. impeller diameter
is less than about 5%. However, excessive gap can encourage part load discharge recirculation. A
sound approach is to follow manufacturer guidance on the setting of rotor/stator gaps.
For all types of pumps, in order to minimize hydraulic forces in general, it is important to
operate the pump with sufficient net positive suction head (NPSH), the effective absolute static
minus vapor pressure at the pump suction. If inlet static pressure drops below the pumped fluid
vapor pressure, which it is prone to do at the low pressure or “suction” side of impeller vanes near
the leading edge, then local boiling or “cavitation” will occur. Microscopic bubbles form and then
collapse abruptly as they enter zones of significantly higher pressure. These imploding bubbles
shock nearby metal, and often cause serious erosion damage to the impeller. They result in an
accompanying low frequency as well as very high frequency shaking of the pump. This shaking
may lead to unusually high vibration of various natural frequencies. Maintenance of sufficiently
high suction pressure or “NPSHA” (NPSH available) is required to avoid cavitation, at least equal
to the “NPSHR” (NPSH required) and preferably at least twice this value. This implies that the
designer should strive for low inlet velocities, and therefore large diameter suction pipes. Any
valves, elbows, or pipe reducers to match this pipe to the pump suction flange should preferably
be well upstream of the pump flange (at least five diameters).
BALANCE CRITERIA
Adequately balance all rotating components that have a diameter greater than 1/3 of the disk
or impeller diameter. Two-plane balance all components that have a length of greater than 2/3
their diameter for machines operating at 3600 rpm and below and greater than 1/4 their diameter
for faster machinery. The entire rotor system should be check-balanced once assembled. The most
typical form of balance standard, which is based on induced imbalance loads in a stiff shaft, is

where: z is a constant equal (in SI units) to 0.1 to 0.4 depending upon machinery type (gen-
erally higher speed machinery should have a proportionately lower value, with 0.4
being ideal for a speed of 1800 rpm)
e is the imbalance, kg-mm
W is the mass of the balanced component, kg
N is the peak operational speed, Hz.
Note that in English units z is between 4 and 16, e is in oz-in., W is weight in lb, and N is speed in
rpm. Different balance grades exist for different types of equipment, and z values significantly less
than the range specified above may be used for very high speed or high power density equipment.
In lower speed or lower performance machinery, on the other hand, looseness in rotating compo-
nent fits should be limited such that the mass of the component times the radial clearance does not
violate the above criterion.
ALIGNMENT CRITERIA
The purpose of alignment is to make the shaft centerlines of the equipment and its driver nearly
concentric and parallel. To specify adequate coupled shaft alignment for a rigid or single engagement
flexible coupling, a good rule-of-thumb is to maintain 50 µm (2 mils) or less concentricity between
the opposing stub shaft centerlines. This criterion may be loosened by an additional 1 mm/m (about
1 mil/in.) of length between coupling hubs for flexible couplings of the double engagement or
“spacer” type. Maximum permissible angle between shafts at the point of coupling engagement is
about 5 minutes (this is automatically maintained if the offset spec is maintained). Coupling manu-
facturers often quote larger amounts of offset and parallel misalignment than the above values, but
these quotes do not account for the additional equipment vibration that misalignment might cause,
and hence focuses only on coupling survivability, not equipment survivability.
Alignment is best determined by the reverse dial indicator method or its modern optical equiv-
alent, as detailed by Karassik et al.1 Steps must be taken to ensure that the alignment criteria also apply
to the “hot” alignment, i.e., with the rotating machine running after warm-up. Also, be sure to com-
pensate for the run-out of any indicating surface vs. the stub shaft centerline, and for gauge support
cantilever sag.
MACHINERY AND PIPING SUPPORT

The mass of machinery foundations should be about 10 times that of the machine itself.
Machinery baseplates should overlap foundation pads by at least half of the floor plus pad thickness.
The foundation should have a low center of gravity vs. the spread of its foundation bolts, to pro-
vide sufficient base moment support or “footing.”
The floor stiffness can influence the machine’s structural natural frequencies, which the manu-
facturer calculates based upon an infinitely stiff floor. The component masses and stiffnesses are
available from the manufacturers upon request, so that structural natural frequencies can be calcu-
lated. These calculations are best done with the finite element method.
Both the inlet and discharge piping flanges and the opposing fluid machinery nozzles should be
properly supported. The use of unrestrained pressure-bearing “expansion” or “flexible” joints at
machine nozzles can be tolerated for piping less than 6 inches in diameter, or for piping in which the
contained pressure times the nozzle cross-sectional area is within the manufacturer’s nozzle load lim-
its. Such joints relieve any piping thermal expansion from loading up the equipment nozzles.
However, because they do not allow the piping to absorb the cross-sectional nozzle fluid pressure
thrust (i.e., the pressure times the open area), larger nozzles and nozzles which do not meet machin-
ery manufacturer stated limits must be restrained by axial tie-rods or flange bulkheads firmly
anchored in the foundation. Otherwise, pressure forces perpendicular to the nozzle opening can

put severe loads on the machine’s casing, leading to severe misalignment, possible rubs, and even pos-
sible cracking of the nozzle at its neck.
RESONANCE
Even if mechanical and fluid dynamic forces are properly controlled, it is still possible that natural fre-
quency resonance may cause vibration to be excessive. To avoid this problem, no natural frequencies
of the rotor or structure should be close to excitation frequencies, such as lx, 2x, rotor blade number,
or stator vane number times running speed. This is accomplished in the design stage using appropri-
ate computer models, such as finite element analysis for static structures, and specialized rotordynamic
computer programs for rotor systems. In such models, the rotating machine component drawings
must be obtained from the machinery manufacturers (including dimensions, clearances, and weights
of components), and must be available from the system designer for the machine base (including ribs),
floor (including subfloor details and supports), and piping. Simple manual calculations are not likely
to be sufficiently accurate to avoid resonances, because of the complexity of most rotating machin-
ery and their installations. Also, individual component natural frequencies are not necessarily relevant
to the final assembled system natural frequencies, because of the leverage and altered effective stiff-
ness and effective mass of the interlinked components.
ROTORDYNAMIC INSTABILITY
The possibility of “rotordynamic instability” due to lateral motion needs to be checked for in cen-
trifugal and axial machinery, particularly in large compressors, fans, and certain motors in which cross-
coupling (in which the forces induced by rotor motion are perpendicular to the motion) is often large
enough to possibly overwhelm the damping. Rotordynamic instability refers to phenomena whereby
the rotor and its system of reactive support forces, particularly the cross-coupling force acting per-
pendicular to displacement, are able to get out of phase with each other and become self-excited, lead-
ing to potentially catastrophic vibration levels, even if the original excitation forces are quite low.
Rotors are particularly prone to this phenomenon if the logarithmic decrement (“log dec,” approxi-
mately equal to the critical damping ratio times 2 pi) is less than 0.2 for rotor bending natural fre-
quencies less than half running speed.
The characteristic of rotordynamic instability, sometimes called “shaft whip,” is a whirling at about
half running speed, beginning when running speed exceeds twice the first bending natural frequency
of the shaft. This causes a double loop orbit, such as shown in Figure 3. If an unstable machine is
encountered, typical design modifications which reduce the tendency to rotor dynamic instability
involve bearing changes. The type of bearing most likely to participate in instability problems is the
plain journal bearing, which has very high cross-coupling, although it also has high beneficial damp-
ing. Bearings which discourage whirling lubricant flow, such as lemon bore bearings, tend to decrease
cross-coupling. The most effective bearings in this regard are axially grooved and tilting pad bearings.
VIBRATION SPECIFICATIONS
Injury to machines due to excessive rotor vibration takes the form of wear or fatigue damage to the
internal components, such as bearings, annular seals, mechanical seals, and the shaft. The majority of
these damage mechanisms depend upon the maximum displacement caused by the vibration.
However, because rotor stress is limited by material strength, and the stress-to-strength ratio increas-
es with the square of the rotor outer diameter “tip speed,” then as machines are made faster, they must
on the average become proportionately smaller. Therefore, as machines increase in speed, on average
the amount of vibration displacement they can tolerate decreases proportional to the speed increase.

FIGURE 3 “Half-speed” vibration orbits.
For this reason, the allowable running speed vibration velocity (which equals a constant times
displacement times running speed) is roughly constant regardless of the running speed of the
machine. Machine survival vs. failure data published by insurance companies and machinery “users”
support the use of constant vibration velocity vs. speed as an acceptance criterion in assessing vibra-
tion severity. This was first presented 60 years ago by Rathbone,2 and 30 years later was confirmed
by Blake,3 Baxter and Bernhardt4 and Hancock.5 Since that time, little additional research has been
performed or published concerning this issue. However, the raw information in the quoted refer-
ences was based on measurement equipment that could not distinguish between various frequency
components. Therefore, vibration severity could be plotted only as unfiltered (i.e., total vibration,
including all frequencies) displacement readings vs. machine running speed, not filtered (i.e., indi-
vidual values at specific frequencies) velocity values vs. frequency.
Unfortunately, many specifications (with the notable exceptions of API 610,6 and the
ANSI/Hydraulic Institute Standards 15th edition7) have assumed that the original data could be
interpreted as velocity vs. frequency (since frequency has the same units as speed), and have pre-
sented their specifications on this basis. Be very cautious in using such specifications, since they will
tend to overlook instability and hydraulic problems causing rubbing at low frequencies, and may
require unnecessarily small vibration displacements at high frequencies, causing rejection of good
equipment at the expense of all involved, as discussed by Marscher.8
Typical specifications used to establish vibration test types, measurement locations, and accept-
ance criteria, are the ANSI/Hydraulic Institute Standards,7 API 610,6 and various ISO machinery
vibration specifications such as ISO 2372.9 These specifications require the monitoring of bearing
housing vibration, using an accelerometer or velocity probe in three perpendicular directions at the

location of each of the bearings in the drive train. The acceleration readings are typically inte-
grated to obtain vibration displacement and/or velocity values, which are the terms in which
the vibration acceptability criteria are typically given. Occasionally, the specifications give pro-
cedures for installation and evaluation of shaft proximity probes, mounted in some bearing
housings to measure shaft vs. housing displacement, particularly in higher speed or high power
density machinery.
Acceptability criteria vary. A generally conservative approach consistent with all of the
quoted specifications is to require that vibration does not exceed any of the following three
criteria, at any frequency: 2.0 mils displacement peak-to-peak, 0.25 in./s zero-to-peak (or just
“peak”) velocity, and 1.0 g peak acceleration. However, keep in mind that the best specification
levels are dependent upon the specific machine, its service, and the closeness of the operating
point to the design point. Other issues important to consider in setting quantitative specifica-
tion acceptance levels are listed in Table 1.
TROUBLESHOOTING
Sometimes, troubleshooting using detailed vibration testing is required. The most common type,
“signature analysis,” generally uses accelerometer output sent to a fast Fourier transform (FFT) ana-
lyzer to document the amount of vibration at each frequency within a tested range. Typically this
range is from several Hz to beyond the machine’s blade or vane pass frequency. The frequencies at
which most of the vibration is occurring, and the locations where the vibration is the greatest, are
used as clues to determine the cause of the vibration. A list of the most typical vibration excitation
frequencies and associated possible causes is given in Table 2.
Often vibration testing ends here. However, it is recommended that vibration testing include
experimental modal analysis (EMA). EMA involves artificially exciting a machine or structure such
as with an impact hammer, preferably while the machinery is running, so that all bearing stiffnesses
are representative, as discussed by Marscher.10 The purpose of EMA is to determine the natural fre-
quencies of a rotating machine, its rotor system, and attached system components. These can be
compared to excitation frequencies to determine whether resonance is occurring, and whether all
equipment and the associated system and supporting structures have adequate separation margins
between the excitation frequencies and natural frequencies.
RECOGNIZING VIBRATION PROBLEMS

The great majority of machinery vibration problems can be solved by re-balancing of the rotor
assembly, alignment of the coupling (especially when the system is warmed up and operating) e.g.,
per Dodd,11 and/or running all fluid machines within the bounds of their specified pressure vs. flow

curves. Remaining vibration problems are generally due to a resonance of a natural frequency.
During resonance, vibrations can exceed internal clearances, or excessive bearing loads can
occur, even if forces such as imbalance or misalignment are within normally acceptable limits.
In performing vibration troubleshooting, a generalized chart such as Table 3 matching
symptoms to possible causes can be useful for many typical or simple problems. This chart is
not all inclusive and is in the order of the frequency value observed, not in order of likelihood
or importance to reliability. A pictorial illustration of some of the symptoms described above,
matched to the original problem and its ramifications, is given in Figure 4.12


FIGURE 4 Important vibration problems in turbomachinery. (From CRC Handbook of

Lubrication and Tribology, Vol. 3, Booser, E.R., Ed., CRC Press, Boca Raton, FL, 1994, 65-66.
With permission.)

FIGURE 4 (Continued)

REFERENCES
1. Karassik, I.J., Krutzsch, W., Fraser, W., and Messina, J., Eds., Pump Handbook, McGraw-Hill,
1984, 288–301.
2. Rathbone, T., Vibration tolerance. Power Plant Eng., Vol. 43, November 1939.
3. Blake, M., New vibration standards for maintenance, Hydrocarbon Processing and Petroleum Refining,
January 1964.
4. Baxter, R.L. and Bernhardt, D.L., Vibration Tolerances for Industry. ASME 67–PET–14, American
Society of Mechanical Engineering, New York, 1967.
5. Hancock, W.P., How to control pump vibration, Hydrocarbon Processing, March 1974.
6. API 610, 8th ed., American Petroleum Institute, Washington D.C., 1995.
7. ANSI Standards, 15th ed., Hydraulic Institute, Parsippany NJ, 1995.
8. Marscher, W., The relationship between rotor system tribology and appropriate vibration specifica-
tions for centrifugal pumps, Proc. Int. Mech. Eng. 3rd Eur. Congr. Fluid Machinery for the Oil
and Petrochemical Industries, The Hague, Netherlands, May 1987.
9. ISO 2372, Mechanical Vibration of Machines, International Organization for Standardization,
Geneva, 1974.
10. Marscher, W.D., Determination of rotor critical speeds during operation through use of modal
analysis, Proc. ASME 1986 WAM Symp. on Troubleshooting Methods and Technology, Anaheim,
CA, December 1986.
11. Dodd, V.R., Total Alignment, Petroleum Publishing, Tulsa, OK, 1974.
12. Marscher, W.D., Rotating machinery vibration testing, condition monitoring, and predictive main-
tenance, in CRC Handbook of Lubrication and Tribology, Vol. 3, Booser, E.R., Ed., CRC Press,
Boca Raton, FL, 1994, 43–70.

83 Ball and Roller Bearing

Troubleshooting*
Thomas Jendzurski
TYPICAL SYMPTOMS FOR IMPENDING BEARING FAILURE

Bearings which are operating improperly usually exhibit identifiable symptoms. This section
organizes these symptoms and provides useful hints to help prevent reoccurrence.
The following are the seven most common symptoms of bearing trouble (Table 1):
A. Overheated bearing
B. Noisy bearing
C. Replacements are too frequent
D. Vibration
E. Unsatisfactory equipment performance
F. Bearing fit loose on the shaft
G. Shaft is difficult to turn
Under each symptom in the following lists are given a number of possible reasons for the
condition, practical solutions which may be possible, and a visual illustration of the nature of
the problem.
Depending on the degree of bearing damage, many misleading symptoms may be pres-
ent. In most cases these misleading factors are the result of secondary damage. To effective-
ly troubleshoot for the underlying problem, it is necessary to analyze those symptoms which
are first observed in the application.
As a further aid in troubleshooting, a photographic “Bearing Failure Guide” (Table 2) fol-
lows the tabulation of symptoms. While many bearing failures can be examined satisfactori-
ly with a magnifying glass, a zoom lens binocular microscope is preferable. Starting with
about 5× magnification to minimize distortion created by the curvature of bearing surfaces,
details in a damaged area can then be examined more closely at higher magnifications.
* Text and figures for this chapter are published with permission of SKF Bearing Services Co., King of Prussia, PA.
0-8493-3904-9/97/$0.00+$.50
Ball and Roller Bearing Troubleshooting 957





























84 Gear Distress and Failure Modes

Courtesy of the Falk Corporation
CONTENTS
Surface Fatigue................................................................................................................................986
Wear..................................................................................................................................................993
Plastic Flow...................................................................................................................................1002
Breakage........................................................................................................................................1004
Failures Associated with Processing.........................................................................................1006
Distress or failure of gears may be classified into four categories:
1. Surface fatigue (pitting),

2. Wear,
3. Plastic flow,
4. Breakage.
The appearance of the various distress and failure modes can differ between gears that
have through-hardened teeth and those that have surface-hardened teeth. These differences
result from the different physical characteristics and properties and from the residual stress
characteristics associated with the surface-hardened gearing. Where appropriate, examples of
distress of both through- and surface-hardened gears are shown and discussed.
SURFACE FATIGUE
Surface fatigue is the failure of a material as a result of repeated surface or subsurface stress-
es beyond the endurance limit of the material. Figure 1 indicates the theoretical mutual
Hertzian stresses occurring when a gear and pinion mesh. There are compressive stresses at
the surface and unidirectional and bidirectional subsurface shear stresses. Figure 2 indicates
the magnitude of these stresses.
PITTING
Pitting is a form of surface fatigue which may occur soon after operation begins and may be
of three types:
1. Initial (corrective)
2. Destructive
3. Normal
0-8493-3904-9/97/$0.00+$.50
Gear Distress and Failure Modes 987
FIGURE 1 Hertzian stresses.
FIGURE 2 Variation of stress below surface.
Initial pitting is caused by local areas of high stress due to uneven surfaces on the gear
tooth. This type pitting can develop within a relatively short time, reach a maximum and with
continued service polish to a lesser severity. Initial pitting shown in Figure 3 usually occurs in
a narrow band at the pitchline or just slightly below the pitchline. It is most prominent with
through-hardened gears.
Shape of a classical pit is shown in Figure 4. It appears as an arrowhead pointing in the direction
of oncoming contact. Starting at the surface of the tip of the arrowhead, the fracture proceeded inward
at a shallow angle to the surface. Simultaneously, the crack broadened, forming the arrowhead. The

FIGURE 3 Initial (corrective) pitting.
FIGURE 4 Initial (corrective) pitting (enlarged photograph).
back side of the pit has a steep side. Although there were several large pits on the tooth surface,
this pitting was corrective, since it progressed no further with continued operation.
For most through-hardened industrial-type gears, initial pitting is considered normal and no
remedial action is required. Where necessary, initial pitting can be reduced by special tooth-fin-
ishing means and sometimes by a careful break-in at reduced loads and speeds. In some special
critical applications, teeth are copper or silver plated to prevent or reduce initial pitting.
Destructive or progressive pitting, on the other hand, usually starts below the pitch line,
in the dedendum portion of the tooth and progressively increases in both the size and number
of pits until the surface is destroyed. While destructive pitting can appear to be as severe as cor-
rective pitting at the beginning of operation, as time goes on the severity of destructive pitting
sharply increases and far surpasses the severity of corrective pitting as shown in Figure 5. Figure
6 illustrates this type of pitting on a through-hardened gear. Figure 7 shows destructive pitting of
a surface-hardened gear.
Destructive pitting usually results from surface overload conditions that are not alleviated by
initial pitting. If tooth surface hardness is within specified values, system overloads are usually the

FIGURE 5 Pitting severity.
FIGURE 6 Destructive (progressive) pitting, through-hardened gears.

FIGURE 7 Destructive (progressive) pitting, surface-hardened gears.
cause of such pitting. To see a finely pitted gear with several large pits is no cause for alarm
since it can be of a corrective nature.
Normal dedendum pitting wear of fully loaded through-hardened gears manifests itself
as small or modest size pits, covering the entire dedendum portion of the tooth flanks.
Continued operation results in pit rims being worn away with virtually no further pitting occur-
ring. Figure 8 shows the tooth appearance in the pitting phase, prior to pit rim wear. Figure 9
illustrates a dedendum pitted gear tooth after pit rims have been worn away.
FIGURE 8 Normal dedendum wear.

FIGURE 9 Normal dedendum wear.
FIGURE 10 Tooth surface microcracks.
Dedendum pitting results when loads are at or close to maximum allowable surface-load-
ing values. The dedendums are most vulnerable to this phenomenon because of the preferen-
tial orientation of the surface microcracks along the tooth profile. Figure 10 illustrates this. The
orientation of the cracks in the dedendum of both pinion and gear are such that oil is readily
trapped in them as the contact rolls over the surface openings. These then propagate rapidly
into pits by hydraulic pressure. In the addendum, the oil is forced out of the microcracks
before the contact progresses far enough to seal the surface openings off; hence, hydraulic
propagations of the crack are almost nil and few pits are formed in this region.
At loadings currently used for industrial surface hardened gears, pitting is much less preva-
lent than with through-hardened gears. When it does occur, the appearance may be similar to
that of through-hardened gears.
Micro-pitting (frosting). Figure 11 shows a micro-pitted carburized tooth. Figure 12
shows the surface and micro-pitting enlarged 430 times. This type of pitting is considered to
be normal.
SPALLING
Spalling is a term used to describe a large or massive area where surface material has broken
away from the tooth. In through-hardened and softer material, it appears to be a massing of
many overlapping or interconnected large pits in one locality. See Figure 13. In surface-hard-
ened material it manifests itself as the loss of a single or several large areas of material. The
visual pit-like attributes are not observed (see Figure 14). Frequently the bottom of the spall
appears to run along the case-core interface.

FIGURE 11 Micro-pitting (frosting).
FIGURE 12 Micro-pitting (enlarged photograph).
Spalling is caused by high contact stresses, possibly associated with proud areas of the tooth
surface. With surface-hardened gear teeth, surface or subsurface defects or excessive internal
stresses from improper heat treatment also can cause spalling.
Case crushing is another form of spalling associated with heavily loaded case-hardened
gears. It appears as long longitudinal cracks on the tooth surface which may subsequently break
away. It often occurs suddenly, without warning signs, on only one or two teeth of the pinion
or gear. The cracks differ from those of pits in that they not only extend below the hard case,
but most of its depth is in the softer core material. The cracks in the case generally are perpen-
dicular to the surface. Figure 15 shows an example of this failure mode. Failure may be due to
insufficient case depth, insufficient core hardness, high residual stresses, or too high loading.

FIGURE 13 Spalling, through-hardened gear.
FIGURE 14 Spalling, surface-hardened gear.
Worm gear endurance tests have been run to approximately 20,000 hours. While varying
degrees of surface destruction may be severe when compared with that of a helical gear the
worm gears nevertheless survived the test. From this experience we can conclude that worm
wheels incurring this amount of destruction can still perform satisfactorily. Figure 16 illustrates
this surface deterioration.
WEAR
“Wear” is a general term describing loss of material from the contacting surface of a gear
There are varying degrees of wear, which can be measured in terms of thousandths of an inch,
per million or 10 million contact cycles, ranging from light to moderate to excessive wear.

FIGURE 15 Case crushing.
FIGURE 16 Worm gear pitting.

DEGREES OF WEAR
Polishing or light wear: Figure 17 shows the slow loss of metal at a rate that will little affect
satisfactory performance within the life of the gears. It is a normal, very slow wear-in process
in which asperities of the contacting surfaces are gradually worn until very fine, smooth, con-
forming surfaces develop. Polishing or light wear can occur by either abrasive or adhesive
mechanisms when thin oil films or boundary lubrication conditions prevail, usually on slow
speed applications.
Moderate wear, sometimes called normal wear, progresses at a rate slow enough that it
will little affect satisfactory performance of the gears within their expected life. Tooth contact
patterns indicate that metal has been removed from the entire tooth surface, but generally
more from the dedendum areas. The operating pitch line begins to show as an unbroken line.
Surface-hardened gears, because of their high surface hardness, manifest less wear than do
through-hardened gears.
The judgment of moderate wear is somewhat subjective because performance require-
ments and expectations vary over the broad spectrum of industrial gear drive applications.
Figure 18 illustrates wear observed on gears early in their operational history. Subsequently,
these gears continued to give years of additional satisfactory service.

FIGURE 17 Initial pitting and light wear.
FIGURE 18A (1 YEAR) Typical tooth surface appearance.
Moderate or normal wear depends on the lubrication regime, nature of the load, surface
hardness and roughness, and on contaminants present in the lubricating oil which might pro-
mote abrasive or corrosive wear. The limitations of usable oil viscosities and the speed require-
ments of the application often dictate that the gears must operate in the boundary lubrication
regime where metal-to-metal contact occurs and wear takes place.

FIGURE 18B (1½ YEARS) (Continued).
FIGURE 18C (4 YEARS) (Continued).
Moderate wear is normal and usually no remedial action is required other than normal main-
tenance of the lube system. If contaminants are present, filtering or more frequent lube changes
are appropriate.
Excessive or destructive wear (see Figure 19) is surface destruction that has changed the
tooth shape to such an extent that smoothness of meshing action is impaired and life is appre-
ciably shortened. Continued operation results in still greater wear and may eventually lead to
tooth breakage.
The occurrence of such wear early in the operational history can be caused by excessive
loads, contaminated oil, or too light an oil viscosity. Excessive wear incurred over a long period
of operational history would be considered an advancement of normal wear from the moder-
ate to the excessive degree and may not be detrimental to the operation of the gear drive.

FIGURE 19 Excessive wear.
FIGURE 20 Abrasive wear, through-hardened gear.

TYPES OF WEAR
Abrasive wear, sometimes called cutting wear, occurs when hard part icles slide and roll under
pressure across the tooth surface. Hard particle sources are: dirt in the housing, sand or scale from

castings, metal wear particles from gear teeth or bearings, particles introduced into housing
when filling with lube oil, and particles infiltrating into unit in service. Figure 20 shows abra-
sive wear of a through-hardened gear caused by massive loss of hard surface material from
tapered bearing surfaces. Gear teeth surfaces hardened after cutting sometimes have a rough
surface that may wear softer mating teeth. Figure 21 shows through-hardened teeth that were
worn away in just a few hours from the flame-hardened teeth which had rough surfaces due to
a sand-blast cleaning operation.
FIGURE 21 Abrasive wear, through-hardened pinion. Through-hardened pinions (350–390

BHN) run against flame-hardened gears.
FIGURE 22 Scratching.
Scratching is a form of abrasive wear, characterized by short scratch-like lines in the direc-
tion of sliding. This type of damage is usually light and can be stopped by removing the con-
taminants that caused it. See Figure 22.

Adhesive wear results from high attractive forces of the atoms composing each of two
contacting, sliding surfaces. Teeth contact at random asperities, and a strong bond is formed.
The junction area grows until a particle is transferred across the contact interface. In subse-
quent encounters, the transferred fragment fractures or fatigues away, forming a wear particle.
Adhesive wear depends upon the bond strength, which relates to the physical chemistry of
the contact material and lubricant, on the load, and on the material hardness. Figure 23 shows
typical surfaces of a surface-hardened gear that has undergone adhesive wear.
FIGURE 23 Adhesive wear, surface-hardened gear.
FIGURE 24 Scoring.
Scuffing wear is adhesive-type wear occurring at normal temperatures, where smooth bur-
nished appearing radial striations are observed in the direction of siding on the tooth surfaces.
The texture of lower hardness through-hardened teeth is more coarse than that of higher
hardness throughhardened or surface-hardened teeth of Figure 23. It can appear where tooth
pressures are high and oil films are in the boundary regime and where speeds are slow enough
that high-contact temperatures do not occur. This type wear can be reduced by increased oil
viscosities where applicable or by reduced load.
Scoring, Figure 24, is the smearing and rapid removal of material from the tooth surface
resulting from the tearing out of small particles that become welded together as a result of oil
film failure and high temperature metal-to-metal contact in the tooth mesh zone. After weld-
ing occurs, sliding forces tear the metal from the surface, producing a minute cavity in one sur-
face and a projection on the other. The wear initiates microscopically; however, it progresses
rapidly. Scoring is sometimes referred to as galling, seizing, or scuffing.

Scoring most frequently occurs in localized areas on the tooth where high contact pressure exists
or at the tip or root where sliding velocities, and hence contact temperatures, are high. This mode of
wear is usually associated with high pitch line velocities and is not common in the lower hardness
through-hardened gears running at normal commercial speeds.
The direct causes of scoring are high contact temperature and pressure and marginal lubrication.
Scoring can sometimes be prevented by use of more viscous oil or by an EP type oil. Localized high
contact pressure can be relieved by improved finishing of tooth surfaces. Sometimes profile or face
modifications are required on highly loaded teeth to minimize high localized pressures.
Welding is a hybrid form of scoring and pitting, where pit cracks are formed on the gear mem-
ber with pit bodies subsequently adhering or welding to the pinion member. The two then run
together with the profile formed by the original involute and the resultant pits bodies and pit cavi-
ties (see Figure 25).
This phenomenon is thought to occur at high-load, low-speed and at marginal lubrication con-
ditions where high contact temperatures prevail, but classical scoring does not occur. Increased oil
viscosities or EP lubricants may help. Reduced loads will aid. Care must be exercised that axial dis-
placement of the mating pinion and gear does not occur, as high localized pressure can result from
the mismatching of high and low profile spots which could cause fracture. If gearing is disassem-
bled and reassembled, the tooth surfaces should be dressed to remove proud bumps.
Wavy tooth wear is occasionally observed on gears. Teeth can be observed to have wavy or
undulating surfaces either by light reflection or by profile and lead checks. The crests and valleys of
the waves usually lie parallel to the inclined lines of helical contact. See Figure 26. This wear pattern
is thought to be caused by vibratory loads occurring in the system in which the gears are operating.
FIGURE 25 Welding, metal transfer gear to pinion.

FIGURE 26 Wavy tooth wear.
FIGURE 27 Surface bumps.

Surface bumps are occasionally experienced as shown in Figure 27. The cause of such
phenomena has not yet been defined. As with welding, axial movement could cause localized
high tooth pressures which could fracture teeth. The tooth surfaces should be dressed to
remove proud bumps.
Wear pads. Pinion elements of a gear set are frequently made slightly wider than the gear
element. As wear occurs, unworn pads are left at the tooth ends of the pinion. These cause no
problem as long as axial positioning of gears is properly maintained. If unit is disassembled
for some reason and subsequently reassembled, these pads on the ends of the pinion should
be ground flush to the worn surface to assure that heavy contact and possible tooth fracture
do not occur from this source.
Furrowing has been observed on the working tooth surfaces of coarse-textured, low DP,
“as hobbed” mill pinion teeth shortly after being put into service. To the unaided eye, it
appears as a lattice of fine hair lines oriented generally in the root-to-tip direction. They are
aligned in rows across the face of the tooth in an order consistent with the hobbing texture
pattern (see Figure 28).
The cause of furrowing has not been definitely established. Under the microscope, furrows
appear as round bottom channels looking as if they were formed by hydraulic erosion. At pres-
ent there are no recognized problems emanating from furrowing. It is thought to be prevent-
ed by minimizing localized contact pressure and by maintaining adequate lube films.

FIGURE 28 Furrowing.
PLASTIC FLOW
Plastic flow is cold working of tooth surfaces caused by high contact stresses and the rolling and
sliding action of the mesh. It is a surface deformation resulting from the yielding of the surface and
subsurface material. Usually associated with the softer gear materials, it can occur in heavily loaded
case-hardened gears as well.
Cold flow occurs when surface and subsurface material show evidence of metal flow. Often
surface material has been worked over the tips and ends of the gear teeth, giving a finned appear-
ance. See Figure 29. This is sometimes called rolling or wire edging. Sometimes the tooth tips are
heavily rounded-over and a depression appears on the contact tooth surface. Peening, another
form of plastic flow as shown in Figure 30, is caused by excessive loading due to impact loading.
FIGURE 29 Plastic flow, rolling.

Under heavy load, the rolling and peening action of the mesh cold works the surface and
subsurface material. The sliding action tends to push or pull the material in the direction of
sliding if the contact stresses are high enough. The dents and battered appearance of the sur-
face are a result of dynamic loading due to operation while the profile is in the process of dete-
riorating from a combination of cold-working and wear. Failures of this type can be eliminat-
ed by reducing the contact stress and by increasing the hardness of the contacting surface and
subsurface material. Increasing the accuracy of tooth-to-tooth spacing and reducing profile
deviations will give better tooth action and reduce dynamic loads. If the high-contact stress is
caused by mounting deflections or helix-angle error, these conditions should be corrected.
Rippling is a periodic wave-like formation at right angles to the direction of sliding or
motion (Figure 31). It has a fish-scale appearance and is usually observed on surface-hardened
gear surfaces, although it can occur on softer tooth surfaces under certain conditions. Rippling
is not always considered a surface failure, unless it has progressed to an advanced stage.

FIGURE 30 Plastic flow, peening.
FIGURE 31 Rippling.
High contact stresses under cyclic operation tend to roll and knead the surface, causing the
immediate surface material to-ripple. This type of failure is usually associated with slow speed oper-
ation and an inadequate oil film thickness. The combination of high contact stress, repeated cycles
and an inadequate lubricating film will produce a rippled surface. Although rippling can be produced
as a wear phenomenon, it most often is associated with a considerable amount of plastic flow.
If the gear material is soft, rippling can be prevented by case-hardening the tooth surface. Also,
reduction in contact stress will reduce the tendency of the surface to ripple. Since the lubricating film
is marginal, an extreme-pressure additive in the oil and an increase in oil viscosity may be beneficial.
An increase in rubbing speed is sometimes helpful.
Ridging is the formation of deep ridges by either wear or plastic flow of surface and subsur-
face material (Figure 32). It shows definite peaks and valleys or ridges across the tooth surface in the
direction of sliding. Ridging is caused by wear or plastic flow of surface and subsurface material due
to high contact compressive stresses and low sliding velocities. It is often present on heavily loaded
worm and wormgear drives and on hypoid pinion and gear drives. Ridging may occur on low-hard-
ness materials and may also occur in high-hardness materials if the contact stresses are high, such as
in case-hardened hypoid gear sets.

FIGURE 32 Ridging.
Ridging can be prevented by reducing the contact stress, increasing the hardness of the mate-
rial, and using a more viscous lubrication oil with extreme-pressure additives. In drives that do
not have circulating systems, it is also helpful to change the oil often and to ensure that no for-
eign particles remain in the lubricant.
BREAKAGE
Breakage is the ultimate gear failure. Bending loads on gear teeth usually cause the highest stress-
es at the root fillets and at the tooth profile/root fillet junctions. A gear tooth is a cantilever plate
with tensile stresses on the contact side of the tooth and compressive stresses on the opposite
side. If the tensile stresses at the critical location are allowed to exceed the endurance strength of
the tooth material, fatigue cracks will eventually develop and with continued operation will ulti-
mately progress to the point where the tooth will break away from the rim material.
Classical tooth root fillet fatigue fracture is the most common fatigue breakage mode
(Figure 33). The crack originates at the root fillet on the tensile side of the tooth and slowly pro-
gresses to complete fracture, either along or across the tooth. The faces of these fractures are
usually characterized by a series of contour lines or “beach marks” caused by the progressing
crack “front.” They indicate the position of the advancing crack front at a given time. As the sec-
tion gradually weakens, the crack progresses further with each load cycle, and the beach marks
become more coarse. The focal point of these marks often locates the origin of the fracture.
FIGURE 33 Tooth fracture (root fillet fatigue).

FIGURE 34 Tooth fracture (low cycle fatigue).

Fatigue fractures result from repeated bending stress above the endurance limit of the material. If
the tooth contact pattern appears even across the entire face, system overloads would be suspect. If
the contact pattern is confined or “heavy” in the region of the fracture and at one end of the tooth,
an alignment problem of the bearing would be suspect. When contact is good, system load must be
reduced, or increased strength rating of the gearing is needed. If contacts indicate localized loading,
gear alignment or face modifications should be examined.
Low cycle fatigue or impact fractures are due to a low number of high load fatigue cycles or
to a single very high load. Figure 34 illustrates such fractures. With lower hardness, more ductile mate-
rials, the fracture face is coarse, fibrous, and torn in appearance. With harder, less ductile material, the
appearance may be smooth or silky.
In some cases, a single overload may break out a tooth or several teeth. A more common occur-
rence is the plastic yielding of a group of teeth in one load zone from a high impact load. The plas-
tic yielding displaces the pitch on this group of teeth with respect to the other teeth on the gears, thus
subjecting them to abnormally high dynamic loads in subsequent operation. These teeth then devel-
op very rapidly progressing fatigue cracks which soon lead to tooth breakage.
This type failure is prevented by protecting the gearing from high impact or transient loadings.
This may involve the use of controlled torque or resilient couplings in the connected drive train or it
may require better control by the customer at the process being performed by the driven equipment.
Pit-associated fractures occasionally originate in severely pitted areas, since pits can act as stress
raisers and can be crack origins (Figure 35).
Tooth tip chipping is a fracture mode where the top of a tooth will break away from the lower
portion (see Figure 36). Failures of this kind may be caused by deficiencies in the gear tooth, which
results in a high-stress concentration at a particular area. Sometimes flaws or minute grinding cracks
will propagate under repeated stress cycling and a fracture will eventually develop. Foreign material
passing through the gear mesh will also produce short-cycle failure of a small portion of a tooth. High
residual stresses due to improper heat treatment can cause local fractures that do not originate in the
tooth root section.
It is difficult to prevent failures of this type except by good design and manufacturing practices.
If trouble is encountered, the gear surfaces should be checked for possible previous damage that may
have contributed to local stress risers. The history of heat treatment and manufacturing techniques
should be reviewed to ensure that proper processing was carried out during all steps of the manufac-
turing cycle. Cleanliness of the gear material should also be examined.
Worm wheel fractures are occasionally encountered. Figure 37 shows a tooth root-rim fracture
on a bolt-on type worm wheel. Such failures are rare and are indicative of overloading.

FIGURE 35 Fatigue fracture emanating from pit.
FIGURE 36 Tip chipping, through-hardened gear.
Fracture due to failure of associated parts. Sometimes a severe load maldistribution of

load on gear teeth can occur from damage to associated parts. Figure 38 illustrates a pinion run
for a time after a severe bearing failure. Load shifted to one end of the teeth and they subse-
quently broke away. The process repeated itself two more times before the element was finally
removed from service. Similar fractures could occur from a shaft that is severely bent or broken.
FAILURES ASSOCIATED WITH PROCESSING

Quenching cracks can develop with some materials during heat treatment and after quenching
of the gear blank in a quenching medium. Often these cracks are visible to the naked eye (Figure
39). They may run across the top land of the tooth or be radial in direction at the ends of the
teeth. When these are found, the material and heat treat specifications should be reviewed and
the processing procedures reexamined.

FIGURE 37 Worm wheel tooth fracture.
FIGURE 38 Tooth fracture from bearing failure.
FIGURE 39 Quench cracks, through-hardened material.

FIGURE 40 Grinding cracks, enlarged.
Grinding cracks may form on the gear tooth surfaces due to process grinding, Figure 40.
These surface cracks are usually in a definite pattern or network and often have the appearance
of a series of short cracks laying parallel to each other. Grinding cracks may also have the
appearance of a chicken-wire mesh. The cause may be excessive grinding pressures or may be
a metallurgical structure which is prone to cracking.
Sometimes grinding cracks are latent and do not show up until after several hours of shelf
life or after operation under load. When found, an examination of the processing procedures
is in order.

85 Filtration and Particle Count

Classifications
Charles A. Moyer
CONTENTS
Particle Size Distribution.........................................................................................................................1009
Filter Selection............................................................................................................................................1011
References...................................................................................................................................................1016
To provide longer life and increased performance, it is imperative to start equipment with as clean a
fluid system as possible and to maintain the fluid cleanliness at a level commensurate with the costs
of operating the equipment or the overall process. Whether the fluid is air, various fuels, or lubri-
cants, filters are the paramount tool to maintain a clean system. Filters may also remove contami-
nants that are left on machine elements, are formed within various contacts, or enter the system from
the environment.
PARTICLE SIZE DISTRIBUTION

Contaminants are any matter that reduces system performance. They can be acids, water, oxidized
lubricants, waxes, asphaltenes, bacteria, manufacturing residue, and various debris. Debris can be
sand, metal turnings, grinding residue, wear particles, i.e., hard contaminants that can cause wear,
fatigue, or failure to the working surfaces within operating equipment. The particles found in many
systems range in size from over 200 µm (0.008 inch) to less than 5 µm (200 microinch [µin.]). The
number of particles from small to large size tend toward an exponential distribution for many typ-
ical debris samples taken from operating fluid systems.1
Figure 1 is a simple illustration of five different debris distributions plotted on special paper
based on ISO Standard 4406. Distribution No. 5 represents a milliliter sample of lubricant from a
bearing life test machine lubricant sump, before test, but with AC fine test dust (debris) added and
mixed in the lubricant. Nos. 1 and 3 are average debris particle distributions after a 40- and 3-µm fil-
ter, respectively, based on oil samples taken during the running with the contaminated oil. For com-
parison, distributions nos. 2 and 4 are from oil samples after a 40- and 3-µm filter during test runs
with standard lubricant, that is, with no debris added to the lubricant sump.
It is clear from these curves that filters can remove significant contaminant from a system.
Distribution #2 (40-µm filter, but “clean” oil) and distributions #3 and #4 (3-µm filters) had much
less contaminant present. Even distribution #1 (40-µm filter) had fewer larger particles than the
dirty oil in distribution #5.
The center numbers in Figure 1 refer to the ISO 4406 hydraulic cleanliness rating system based
on both the number of particles in a distribution larger than 5 µm and larger than 15 µm in a 1-mm
fluid sample. Table 1 shows the ISO 4406 particles range from 0.01 to 160,000 in 24 steps, and each
step is a range or rating number. In Figure 1, distribution #1 has 5 µm = 25 and 15 µm = 18,
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FIGURE 1 Five examples of debris distributions.1
or a cleanliness rating of 25/18 while distribution #2 has a rating of 13/10. From the distri-
butions and cleanliness ratings alone, it is clear that #3 is better than #1. For these particular
tests, debris did not influence the bearing failures, so 40 µm was adequate for the “system,” but
for smaller bearings the 3-µm filter may have been required. Table 2 gives a similar listing of
particulate contamination levels per SAE 749D, which has also been used in the past by vari-
ous machinery builders and operators.

Filtration and Particle Count Classifications 1011
FILTER SELECTION
Primary attributes of the right filter for an application should be its removal efficiency, its contami-
nant-holding capacity, pressure drop across the filter, and its structural integrity.3 Reputable filter
manufacturers can provide the above characteristics of their various filters to help in the selection of
the appropriate one for your system. Laboratory tests are made with one pass or multiple-pass (recir-
culation) modes. Since data from these tests do not directly match actual field performance, a rela-
tionship between laboratory and field results must be gained through experience, somewhat as
shown on Figure 1. Details of testing are given in Reference 3.
Figure 23 shows the size distributions of four standard contaminants used in air filter evaluations
by the three countries listed. AC fine test dust (ACFTD) and coarse dust have been used in various
other tests to evaluate filters. As to airborne debris or dust concentrations, Figure 3 gives typical
ranges for service or working environments.3,4 In the same vein for hydraulic systems, contaminants
coming from wear, ingested from outside the system, or generated in the equipment manufacture
can cause severe loss of performance, restrict fluid flow, and lead to component failure.3

Figure 43,5 shows both the ISO 4406 contaminant code numbers based on either 5 or 15
µm particle size or larger and particle distributions based on cumulative number of particles
greater than a particular size. The curve marked 1.0 means a sample distribution having 1.0
mg/1 ACFTD and the curve marked 100 means a distribution having 100 mg/1 ACFTD. In
actual applications, the contaminant shapes and densities may differ and deviations from the
ACFTD curves can be expected. The parallel curves in this figure were developed by
Oklahoma State University Fluid Power Research Center (FPRC).6
The Fluid Power Research Center has run a series of tests to determine acceptable clean-
liness levels for hydraulic pumps,7 and these results are the dashed lines on Figure 4. Filters
need to be selected with high efficiency to keep within the cleanliness limits to avoid wear with
different pumps. Like Figure 4, Figure 5 has the curves developed by FPRC6 for various work-
ing environments.
Efficiency and performance of various filters can be compared with Figure 6.3,5 Efficiency
is determined from the Beta rating system based on a ratio of the number of particles (Nu)
larger than x(u) micrometers upstream of a filter to the number of particles (Nu) larger than
x(d) micrometers downstream of the filter. That is,
For example, for 500 particles upstream larger than 10 µm (before the filter) and for 25
particles downstream (after the filter) larger than 10 µm, the Beta ratio is:
The efficiency is [(Beta - 1)/Beta] times 100%:

FIGURE 2 Particle size distributions of standard contaminants. (From Jaroszczyk, T.,

Verdegan, B., and McBroom, K., in Filtration, Principles and Practices, 2nd ed., Matteson, M. J. and
Orr, C., Eds., Marcel Dekker, New York, 1987, chap. 10. With permission.)
FIGURE 3 Environmental classification of air in various environments. (From Jaroszczyk, T,

Verdegan, B., and McBroom, K., in Filtration, Principles and Practices, 2nd ed., Matteson, M. J. and
Orr, C., Eds., Marcel Dekker, New York, 1987, chap. 10. With permission.)
If a filter is required to remove 95% of the particles larger than 10 µm, then from Figure 6
the media (typical materials in hydraulic filters5) that will meet the need are 1, 3, and 5. Since field

FIGURE 4 Methods of characterizing hydraulic oil contaminant levels. (From Jaroszczyk, T.,
Verdegan, B., and McBroom, K., in Filtration, Principles and Practices, 2nd ed., Matteson, M. J.
and Orr, C., Eds., Marcel Dekker, New York, 1987, chap. 10. With permission.)
performance is usually lower than in laboratory tests, filters should be selected with some safe-
ty factor.3
For detailed information covering types and designs of filtration units, the handbook
Filtration, Principles and Practices8 would be a good starting point. Additional references are also
listed that cover filtration (References 9 through 14). Reference 14 proposes an addition to ISO
4406 rating system. Besides particle sizes larger than 5 and 15 µm, they would include 2 µm
(ISO 4406 number range 16). According to Pall Industrial Hydraulics Corporation, this third
particle size will help separate fluids with and without high silt content in the particle range 0
to 3 µm.2,14
References 15 through 19 cover debris, particles, and particle size distributions, and how
they impact bearings and other mechanical systems.

FIGURE 5 Contaminant levels in hydraulic oil. (From Jaroszczyk, T., Verdegan, B., and
McBroom, K., in Filtration, Principles and Practices, 2nd ed., Matteson, M. J. and Orr, C., Eds.,
Marcel Dekker, New York, 1987, chap. 10. With permission.)

FIGURE 6 Performance curves for hydraulic filters. (From Jaroszczyk, T., Verdegan, B., and
McBroom, K., in Filtration, Principles and Practices, 2nd ed., Matteson, M. J. and Orr, C., Eds.,
Marcel Dekker, New York, 1987, chap. 10. With permission.)
REFERENCES
1. Moyer, C. A., The influence of debris on rolling bearing performance: identifying the relevant fac-
tors, SAE Trans., 96(3), 870–879, 1987–1988.
2. Arndt, B., Too many rating systems confuse filtration needs, Mach. Des., March 12, 1992.
3. Jaroszczyk, T., Verdegan, B., and McBroom, K., Cartridge filtration, in Filtration, Principles and
Practices, 2nd ed., Matteson, M. J. and Orr, C., Eds., Marcel Dekker, New York, 1987, chap. 10.
4. Cockle, G. R., Houser, W. N., and Koch, E. M., Eds., Car and Locomotive Cyclopedia of American
Practices, 3rd ed., Simmons-Boardman, New York, 1974.
5. McBroom, K., Upgrading hydraulic system filtration, Plant Eng., June 28, 1984.
6. Fitch, E. C, Encyclopedia of Fluid Contamination Control, Technical Communications Stillwater OK,
1978.
7. Fitch, E. C. and Hong, I. T., Pump Contaminant Sensitivity — an FPRC Position Report, Fluid
Power Research Center, Stillwater, OK, 1984.
8. Matteson, M. J. and Orr, C., Eds., Filtration, Principles and Practices, 2nd ed., Marcel Dekker New York,
1987.
9. Kolp, R., Comparing the effectiveness of safety screens, Mach. Des., September 10, 1992.
10. Staley, D., Correlating Lube Oil Filtration Efficiencies with Engine Wear, SAE 881825, Truck and
Bus Mtg. and Exposition, Indianapolis, IN, November, 1988.
11. Needelman, W. and Zaretsky, E., New equations show oil filtration effect on bearing life, Power
Trans. Des., August, 1991.

12. Pohl, M., Selecting a particle size analyzer: factors to consider, Powder Bulk Eng., February, 1990.
13. Verdegan, B. M., Jaroszczyk, T., and Stinson, J. A., Interpretation of filter ratings for lubrication
systems, STLE Lubr. Eng., 44(5), 424–430, 1988.
14. Needleman, W. N., Filtration, CRC Handbook of Lubrication and Tribology, Vol. 3, Booser, E. R., Ed.,
CRC Press, Boca Raton, FL, 1994, 71–87.
15. Sayles, R. S., Debris and roughness in machine element contacts: some current and future engi-
neering implications, Proc. Inst. Mech. Eng. J. Eng. Tribol., 209(J3), 149–172, 1995.
16. Dawson, D., Taylor, C. M., Childs, T. H. C, Godet, M., and Dalmaz, G., Wear particles: from the
cradle of the grave, in Proc. 18th Leeds-Lyon Symp. Tribol, Elsevier, London, 1992.
17. Dwyer-Joyce, R. S., Hamer, J. C, Sayles, R. S., and Ioannides, E., Surface damage effects caused by
debris in rolling bearing lubricants, with an emphasis on friable materials, Inst. Mech. Eng. Conf. Proc.
Rolling Element Bearings — Toward 21st Century, p. 1–8, Mechanical Engineering Publications,
London, 1990.
18. Beerbower, A., Wear rate prognosis through particle size distribution, ASLE Trans., 24(3), 288–
292, 1981.
19. Fitzsimmons, B. and Clevenger, H. D., Contaminated lubricants and tapered roller bearing wear,
ASLE Trans., 20(2), 97–107, 1977.

86 Life of Oils and Greases

E. Richard Booser
CONTENTS
Industrial Oil Life....................................................................................................................................1018
Grease Life................................................................................................................................................1022
References.................................................................................................................................................1027
Service life becomes a significant factor in selecting and applying oils and greases. This life factor
not only sets relubrication schedules, but also influences cooling considerations, the feed system,
and lubrication quantity in design and operation of equipment.
Lubricant life predictions involve large uncertainties because of the many variables in lubri-
cant composition, contamination, and machine operating details. While appreciating these uncer-
tainties, some guidelines follow for estimating lubricant life: first for industrial oils, then for greas-
es in ball and roller bearings. Automotive and related reciprocating engine applications involve
special considerations and are covered in Chapters 79-81.
INDUSTRIAL OIL LIFE

Lubricating oils circulating in industrial units such as turbines, compressors, electric motors, and
hydraulic systems deteriorate primarily by oxidation. This aging process, in which oil chemically
breaks down by reaction with atmospheric oxygen, undesirably brings increased oil acidity and
viscosity, darkening color, and surface deposits.1.2
Peroxide formation is the first step in oxidation of either petroleum or most synthetic oils
involving primarily hydrocarbon structures. This initiates a free radical chain mechanism which
leads to oxygen-containing molecules such as hydroperoxides, aldehydes, ketones, alcohols, esters,
and acids. Oxidation-inhibiting additives are employed to control this oxidation, either by attack-
ing hydroperoxides formed in the initial oxidation step or by breaking the chain reaction mecha-
nism. Aromatic amines, hindered phenols, and alkyl sulfides are oxidation inhibitors that function
by one of these mechanisms. Metal deactivators provide a third type of oxidation control: they
keep metal surfaces and soluble metal salts both from catalyzing oil oxidation and also from poly-
merizing oil oxidation products to produce sludge and varnish. Combination of phenolic and
aromatic amine inhibitors with a metal deactivator gives superior life for demanding industrial
applications.
As a simplified view, useful life of most industrial oils continues through an induction period
during which the oxidation inhibitor is slowly consumed by oxidation, evaporation, or other phys-
ical and chemical effects. While subsequent additions of new oil or oxidation inhibitor will delay
the process, the end of useful life is reached when the oxidation inhibitor is finally exhausted and
oxidation reactions accelerate. Even without an added oxidation inhibitor, an induction period is
commonly provided with industrial mineral oils from the inhibiting effect of naturally occurring
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Life of Oils and Greases 1019
sulfur and polynuclear aromatic hydrocarbon components. This induction period is shortened
by higher temperature, more oxygen availability, catalytic metals, and water.
Standardized laboratory tests used in the U.S. for evaluating oil oxidation life include ASTM
D943, D2272, D2893, and D4742; and Federal Test Method Standard 791, Method 5308.6.
Other test procedures using various combinations of temperature, oxygen, and catalysts
include the ALCOR deposition test, International Harvester BT10, IP280, IP331B, and the
U.S. Army Mobility Equipment R and D Method.3
OXIDATION LIFE OF MINERAL OILS

Based on test results, oxidation life L (h) drops by a factor of 2 for a 10°C temperature rise in
the 100 to 150°C range. Using this factor gives k2 = 4750 in the following Arrhenius equation
for chemical reaction rates:
Table 1 gives typical values of k1, for industrial lubricants subjected to agitation by air under
laboratory conditions without the presence of catalysts or contaminants. Lubricant types
included in Table 1 are (1) uninhibited oils such as used in a once-through system; (2) EP gear
oils; (3) conventional hydraulic oils used in many industrial systems; (4) premium rust and oxi-
dation-inhibited turbine oils employed for long life in turbines, compressors, and electric
motors; and (5) the longest service life oils available following refining by severe solvent extrac-
tion or hydrocrack-ing. Temperatures calculated from Equation 1 for several oxidation life peri-
ods are also given in Table 1.
Variations between similar types of products from different suppliers vary so widely that
Table 1 gives only a general indication of oxidation life to be expected. Individual suppliers
should be contacted for detailed performance experience with their products.
LIFE REDUCTION FACTORS

Unfortunately, general correlation of laboratory oxidation test results with field experience has
yet to be realized. Lubrication service usually involves factors which reduce the life values of
Table 1. The combined effect of water plus copper and iron catalytic surfaces, for instance,
drops life by a factor of about 6 as reflected in the ASTM D943 Turbine Oil Stability Test.
Experience suggests a similar reduction factor of about 2 to 5 for steam turbine service, and
about 3 for electric motors. For land-based heavy-duty gas turbines a factor of 10 is more
appropriate to cover added degradation from hot spots, oxidation inhibitor evaporation, and
other deterioration effects.

With service life sometimes only being one tenth that for uncatalyzed oxidation, oil life in
Table 1 should be dropped by a factor of 10 to reflect field service conditions (or the limiting
temperatures in Table 1 should be dropped about 33°C using a life factor of 2 per 10°C).
Usually the temperature of the reservoir, where about 75% of the system oil charge C is com-
monly located during operation, can be used to characterize oil oxidation life L to be expected in
a system. For considering the influence of each machine element n, its individual temperature can
be considered to generate deterioration rate 1/Ln for average volume of oil Cn being held at n.
Consider, for instance, an individual bearing assembly with 20 gallons of turbine oil held at
138°C (280°F). With k1 = -8.45 from Table 1 giving oxidation life L of 1222 h. from Equation
1, its deterioration factor C/L = 20/1280 = 0.016; while 2000 gal in the main reservoir at 71°C
(160°F) with L = 228,000 h gives a C/L deterioration factor of only 0.009. Thus, nearly twice as
much oil deterioration by loss of oxidation inhibition (0.016/0.009) would be expected in the 20
gal in the hot bearing assembly as in the 2000 gal held at a lower temperature in the reservoir.
Evaporation of a low molecular weight phenolic oxidation inhibitor such as ditertiarybutyl
paracresol (DBPC) at the hot bearing would make its deterioration effect even greater.
MONITORING REMAINING USEFUL OIL LIFE

As antioxidant additives are depleted with equipment operating time, they eventually become
ineffective and allow major increases in oil acidity (TAN), oil viscosity, color, and varnish
deposits. Length of time from lubricant sampling until large property changes occur, the remain-
ing useful lubricant life, can be evaluated by various techniques.5-7
Fourier transform infrared spectroscopy (FTIR) is the most widely used instrumental tech-
nique for measuring remaining oxidation inhibitor concentration. The amount of light absorbed
in the 2-to 50-micron (µm) wavelength range is used to identify the type and concentration of
each type of inhibitor.8 With two different types of oxidation inhibitors in antiwear hydraulic
fluid undergoing different depletion rates in Figure 1, the drain period can be extended more effi-
ciently by selective replacement of the inhibitor type undergoing accelerated depletion.5
The ASTM D2272 rotating bomb oxidation test (RBOT) is used extensively to monitor the
remaining antioxidant life of turbine oils using phenolic and amine type inhibitors. While a
RBOT induction period of 200 min has been used to qualify candidate oils for steam turbine
service, induction times range up to 2800 min for some fresh gas turbine oils.3 Generally, a drop
below 50 min in the RBOT test or a drop of half or more in oxidation inhibitor concentration
would call for replenishment of the inhibitor to its concentration which existed in the fresh oil
charge.
For routine evaluation of remaining oil life, more rapid electrochemical methods, microscale
oxidation tests, differential thermal analysis, and high-pressure differential scanning calorimetry
have been used.5 Monitoring is largely ineffective when based on measurement of viscosity, acid-
ity, color, dielectric strength, and particulates. These values commonly change significantly only
after protection by the oxidation inhibitor has been lost and bulk oil degradation has begun.
SYNTHETIC OIL LIFE

Figure 2 compares oxidation life for inhibited synthetic oils of various types in comparison with
inhibited mineral oil in an air environment in contact with steel.9 While this comparison indicates
longer life for all synthetics, their potential superiority over mineral oils is lost under some serv-
ice conditions. Degradation by hydrolysis, for instance, will lead to shorter life for some phos-
phates, silicates, and esters, even when exposed simply to atmospheric humidity. Where their
unique temperature range or fire resistance is required, special precautions may be necessary

FIGURE 1 Percent remaining additive, viscosity (40°C), and total acid number (TAN) vs.
stressing time at 150°C for a typical antiwear hydraulic fluid. (From Kauffman, R. E., in CRC
Handbook of Lubrication and Tnbology, Vol. 3, Booser, E. R., Ed., CRC Press, Boca Raton, FL,
1994, 98. With permission)
FIGURE 2 Life expectancy of inhibited lubricants in air. (From Beerbower, A., in STLE
Spec. Publ., No SP-15, 1982, 58–69. With permission.)
with appropriate additives, desiccants for the air, and absorptive filtration of hydrolysis prod-
ucts to minimize hydrolytic reactions.

GREASE LIFE
Life of greases in rolling element bearings has been approximated both from observations in
field service and from laboratory ball bearing tests such as ASTM D3336, the ROF of SKF,
and the German FE9 covered by DIN 51821.10-18 Since life scatter ranges up to 10-fold even
under seemingly identical operating conditions, calculation of expected grease life and setting
of regreasing schedules must be approached on a statistical basis similar to that used for vari-
ability in ball and roller bearing fatigue life.
MEASURES OF GREASE DETERIORATION

The primary function of grease in a rolling bearing is to serve as a reservoir for lubricant to
coat bearing surfaces with an EHD film thick enough to cover their surface roughness.
Observations from widely different laboratory tests and from industrial, appliance, railroad,
and aerospace applications have indicated that a grease commonly fails to fill this lubrication
demand when half of its initial oil content is lost.10,15,16 Loss of half of the initial oil content
corresponds to the following percentage soap (thickener) Sf in the grease at failure:
where So is the per cent thickener in the fresh grease. For a fresh grease containing 10% soap,
failure would then be expected at Sf = 18%; for 25% initial soap content, Sf = 40%. A similar
soap content at failure results from the 40% oil bleeding deterioration limit of Table 2, which
gives Sf= 100 So/0.6. This drying and hardening of the grease, which leads to excessive noise,
high friction, and increasing temperature rise, appears to involve oil loss through a combina-
tion of creepage, oxidation, and evaporation.10
Accelerated oil loss and deterioration in other physical properties follow the depletion of
antioxidant, much as has been observed with lubricating oils themselves.15 Both acidity and molec-
ular weight were seen to increase rapidly after antioxidant depletion. Bearing wear gave a rise in iron
content in the drying grease with the approach of grease failure. Table 2 summarizes a number of
methods for evaluating grease deterioration and limits where failure of bearings is to be expected.
Quantity of grease applied in a bearing has a quiet variable effect on grease life. Komatsuzaki16
found that life increased 10-fold and was proportional to increasing grease fill in a 100-mm bore
cylindrical roller bearing running at 3000 rpm and 100°C. While somewhat shorter life is available

with the limited grease volume in double-sealed and double-shielded ball bearings, only minor vari-
ation in life is experienced with changing the amount of the channeling-type greases commonly
used. Kleinlein17 reported longest life with polyurea grease when extra grease was applied in space
outside a bearing seal.
GREASE LIFE-TEMPERATURE-SPEED RELATIONS

Grease life in service can be related to temperature in the same general pattern given by Equation
1 for oil life. Under ideal operating conditions with light load and low surface speed, the log of 10%
grease life L (h) is generally a function of the grease stability term A and the reciprocal of absolute
temperature (273 + °C) in the first two terms on the right side of the following equation:10,11
With life rising typically by a factor of 1.5 per 10°C lower temperature in the 100°C range, B =
2450. There is some indication that this temperature factor rises to about 2/10°C for the range
above about 150°C, with oxidation becoming the life-controlling factor. From test lives with
premium greases formulated with mineral and a number of synthetic oils and various thicken-
ers such as lithium hydroxystearate, complex metal soaps, and polyureas, A becomes -2.30.11
These A and B values are used in the life curves of Figure 3.
Reduction in grease life with increasing surface speeds is reflected in the kfDN term (D mm
bore times N rpm) on the right side of Equation 4. Velocity coefficients kf in Table 3 reflect rel-
ative lubricant needs of various bearing types with increasing speed.13 The higher values for a
given bearing type apply to the larger cross-section series (higher load capacity) and the smaller
values to lighter series bearings of lower load capacity. While this velocity term reflects typical
experience for premium greases in open ball and roller bearings in electric motors and related
equipment, the pattern for decreasing life with increasing DN values is quite variable with dif-
ferent greases. Results more sensitive to DN reported by bearing suppliers13,14 likely reflect
behavior with greases at least partially selected both to accommodate close confinement with
the ball complement in double-sealed bearings and also for adaptability to high temperatures.
An informative analysis of dependence of grease life on bearing temperature in over 2000
fractional horsepower motors (bearings of 3.2- to 19-mm bore at speeds to 25,000 rpm) by
Smith and Wilson18 gave the four distinctive regimes in Figure 4. For the “warm” temperature
range from 50 to 200°C which covered most of the cases, the simplest correlation of mean life
in hours was given by the following equation with a form similar to Equation 3:
Adding a speed factor of -4.32(10-6)DN on the right side of the equation, while reducing the A
value by 15%, gave only a modest improvement in correlating the life results. Segregating results by
the grease used, primarily two diesters and one silicone grease, also had relatively minor influence
on the correlations.
The four bearing temperature ranges in Figure 4 were characterized as follows:
Hot: Above 200°C. Rapid oxidation led to shorter life with a log life slope with temperature
twice as steep as in the warm range.
Warm: Between 50 and 200cC. Most common operation.
Cool: Between 50 and -10°C. Life dropped rapidly as temperature went down.
Cold: Below -10°C. Life not influenced by temperature.
The surprising decrease in life as temperature dropped below 50°C suggests that the lubrication
effectiveness of the grease dropped as grease mobility diminished. This raises a question as to the

FIGURE 3 Ball bearing grease life vs. bearing temperature and kfDN speed factor.
extent to which high-temperature laboratory grease life data can properly be extrapolated (as
in Figure 3) to estimate much higher life at the lower bearing temperatures in industrial, trans-
portation, and other nonmilitary equipment.
With development of greases having increasing upper temperature limits, grease life is now
often evaluated in laboratory tests at 125 to 170°C and higher to obtain reasonable test time.
In recent tests,19 a thermally stable ester oil-polyurea grease gave 1000 hours life at 200°C, a 10-
fold life increase above that given by Equation 3. With ultimate oxidation stability afforded by
perfluoroalkylpolyether greases, 3232 h life was provided at 176°C (350°F) and over 750 h at
260°C (500°F) in ASTM D3336 tests.20

FIGURE 4 Grease-lubricated bearing life as a function of bearing operating temperature for

fractional horsepower motors. (From Smith, R. L. and Wilson, D. S., Lubr. Eng., 36, 411–416.
With permission.)

Unfortunately, the elevated test temperatures currently used in most grease life evaluations
are above the temperature limit for many lithium and other soap-thickened greases which are
commonly superior to high-temperature greases for long life and other performance characteris-
tics in electric motors and related industrial applications with bearing temperatures below 100°C.
LIFE VARIABILITY AND REGREASING

Life L in Equation 3 represents a 10% likelihood of grease failure. With the usual log normal or
Weibull grease life distributions experienced in tests, 1% failure requirement drops L in half, and
50% failures are encountered at twice L.10,17 Regreasing at half of 10% life L will normally pro-
vide insurance against grease drying or hardening to a degree where surface damage is encoun-
tered in a rolling bearing. The grease quantity G (g) suggested for use in relubrication is:14
where D = bearing outside diameter, mm; B = total bearing width, mm.

For increasing demands from poor environmental conditions, vibration, shock, and high
loads, grease life reduction factors in Table 4 give an adjusted 10% life La from the following:13
where the unadjusted 10% life L is obtained from Equation 3 or Figure 3.
LIMITATIONS AND GENERALIZATIONS

Considering the frequently poor reproducibility of grease tests, the variability in rheology of greas-
es and their batch-to-batch properties, and intangible differences in application environments, rela-
tions such as those outlined here for grease life calculations should be used only as guidelines.

Their most reliable use is likely in extrapolations from established operating conditions. If
bearing temperature drops from 80 to 60°C, for instance, the temperature term in Equation 3
indicates that 60% increase in life is to be expected. Regreasing schedules might be adjusted
from Equations 3 and 6 for changes in bearing speed, size, and load. Considering use of a new
grease might involve comparing its test life with that of a presently used grease based on data
from bearing or grease manufacturers. Laboratory data should be used with caution, however,
since they are obtained in relatively small ball bearings at speeds and temperatures above those
of interest in most industrial applications.
A grease showing promise from an initial check should then be subjected to a plant trial
under the most severe conditions to be expected while observing factors such as noise, leak-
age, rate of drying and hardening, water and humidity effects, and initial temperature rise with
overgreasing.
Grease life estimates should be used only within the useable range of the grease and the
bearing. Some lithium soaps, for instance, undergo a phase change at about 112°C and provide
much shorter life at higher temperatures. Conventional radial deep-groove ball bearings and
cylindrical roller bearings commonly have a DN speed limit (mm bore-rpm) with grease in the
250,000 to 300,000 range, above which very short life can be expected. At higher speeds, cen-
trifugal action appears to throw the grease from the inner ring and cage surfaces so as to leave
a thinner grease film than needed for EHD lubrication. This DN limit can be raised by use of
precision bearings with their finer surface finish, fabric-filled plastic cages with their retained
oil supply, or some channeling type greases.
REFERENCES
1. Klaus, E. E. and Tewksbury, E. J., Liquid lubricants, in CRC Handbook of Lubrication, Vol. 2, Booser,
E. R., Ed., CRC Press, Boca Raton, FL, 1984, 229–254.
2. Hsu, S. M., Ku, C. S., and Pei, P. T., Oxidative Degradation Mechanisms of Lubricants, ASTM STP
916, American Society for Testing and Materials, Philadelphia, 1986, 27–48.
3. Smith, A. N., Turbine Lubricant Oxidation: Testing, Experience, and Prediction, ASTM STP 916,
1986, 1–26.
4. Lansdown, A. R., Selection of lubricants, in Industrial Tribology, Jones, M. H. and Scott, D., Eds.,
Elsevier, New York, 1983, 223–241.
5. Kauffman, R. E., Rapid determination of remaining useful lubricant life, in CRC Handbook of
Lubrication and Tribology, Vol. 3, Booser, E. R., Ed., CRC Press, Boca Raton, FL, 1994, 89–100.
6. Fitch, J. C, Elements of an oil analysis program, CRC Tribology Data Handbook, Booser, E. R., Ed.,
CRC Press, Boca Raton, FL, 1997, chap. 78.
7. Saba, C. S., Gas turbine engine lubricant monitoring and analysis, CRC Tribology Data Handbook,
Booser, E. R., Ed., CRC Press, Boca Raton, FL, 1997, chap. 78.
8. Coates, J. P. and Setti, L. C, Infrared Spectroscopy as a Tool for Monitoring Oil Degradation, ASTM
STP 916, 1986, 57–78.
9. Beerbower, A., Environmental Capabilities of Liquid Lubricants, STLE Spec. Publ., No. SP-15,
Society of Tribologists and Lubricating Engineers, Park Rodge, IL, 1982, 58–69.
10. Booser, E. R., Grease life forecast for ball bearings, Lubr. Eng., 30, 530–540, 1974.
11. Booser, E. R., When to grease ball bearings, Mach. Des., August 21, 1975, 70–73.
12. Grease life estimation in rolling bearings, Engineering Sciences Data Unit, London, ESDU 78032,
1978.
13. The Lubrication of Rolling Bearings, Pub. No. WL81 115/2 EC/ED, FAG Bearings Corp.,
Stratford, ON.
14. SKF Bearing Maintenance Handbook, Publ. 4100E, SKF Group, King of Prussia, PA, 1991.
15. Tomaru, M., Suzuki, T., Ito, H., and Suzuki, T., Grease Life Estimation and Grease Deterioration
in Sealed Ball Bearings, NSK Tech. Paper 602204, Proc. JSLE Int. Tribology Conf., Tokyo, July 8
to 10, 1985.
16. Komatsuzaki, S. and Uematsu, T., Estimation of service life of grease in large size roller bearings,
Lubr. Eng., 50, 25–29, 1994.

17. Kleinlein, E., Grease test system for improved life of ball and roller bearings, Lubr. Eng., 48,
916–922, 1992.
18. Smith, R. L. and Wilson, D. S., Reliability of grease-packed ball bearings for fractional horsepow-
er motors, Lubr. Eng., 36, 411–416, 1980.
19. Loderer, K., Lifetime Lubrication of Rolling Bearings under Extreme Conditions, National
Lubricating Grease Institute, File No. 9524, Kansas City, 1995.
20. KrytoxR Oils and Greases, DuPont Bull. H-58505, 1996, Wilmington, DE.

XI
Toxicology, Environment,
Safety and Health


87 Toxicology,
Health
Environment, Safety and
Joseph M. Perez and Donald I. Hoke

CONTENTS
Introduction.....................................................................................................................................................1031
Trends in Toxicity of Lubricant Components.........................................................................................1032
Lubricants and Fluids in the Workplace....................................................................................................1033
Material Safety Data Sheet............................................................................................................................1034
Toxicology Testing..........................................................................................................................................1035
Environmental Exposure.............................................................................................................................1036
Waste Disposal................................................................................................................................................1037
Transportation.................................................................................................................................................1038
Other Applicable Laws and Regulations...................................................................................................1038
Biodegradability, Disposability, Recyclability, and Life Cycle Analysis...............................................1040
Conclusions......................................................................................................................................................1041
Appendix 1: Applicable Laws.......................................................................................................................1042
Appendix 2: Acronyms..................................................................................................................................1043
References.........................................................................................................................................................1043
Information Sources......................................................................................................................................1044
INTRODUCTION
It is now recognized that a small percentage of chemicals can cause health and environmental
effects. The law provided the initial push, but industry has now taken the initiative in controlling
releases, developing hazard data, and communicating that information to users of chemicals. The
Responsible Care® program of the Chemical Manufacturers’ Association and Responsible Care
associate programs of other trade organizations, including API, have provided impetus not only to
comply with the pertinent laws but to go beyond that. In addition, the need for the practical engi-
neer or scientist to work with the professional experts and to integrate health, safety, and environ-
mental issues into their daily work is now the norm. It is important that these professionals have
access to the proper information and knowledge about materials with which they work and the
plethora of laws which may impact their work.
Conservation, health, safety, and environmental pollution concerns have led to the creation of
wide reaching legislation including, for example, the U.S. Congress Energy Policy and Conservation
Act, Toxic Substances Control Act of 1976, Resource Conservation and Recovery Act of 1976, the
Oil Recycling Act of 1980, and the subsequent implementation of many rules and regulations such
as the OSHA Hazard Communication Rule. A list of the primary legislation covering this field is
given in Appendix 1.
This chapter is intended to provide a brief overview of health, safety, and environmental issues
which may affect the users of all the various types of lubricants, hydraulic fluids, and metalworking
0-8493-3904-9/97/$0.00+$.50
fluids. These laws have potential impact in the workplace due to worker exposure and potential release
of material into the surrounding air, during transportation to the workplace, when a material is spilled
or released in any manner, and also when disposal of used material is being considered.
Definitions for hazardous and toxic materials are critical and confusing since they vary from law
to law. While some of the definitions are included here, a much more complete comparison of crite-
ria may be found in Reference 1.
TRENDS IN TOXICITY OF LUBRICANT COMPONENTS

In the past, concerns were expressed over the health effects of certain components in lubricants.
Polynuclear aromatic hydrocarbons cause tumors in laboratory animals under some test conditions.
Based on these findings, the International Agency for Research on Cancer (Volume 33) classified as
carcinogenic any oil that was not severely solvent refined. The Occupational Safety and Health
Administration (OSHA) in its Hazard Communication Rule mandated that oils which were not so
refined must be classified and labeled as carcinogenic and later set guidelines for the classification of
severely hydrotreated oils. Today, almost all companies use oils for manufacture of lubricants that are
either severely solvent treated or severely hydrotreated.
For a number of years, lubricants for automatic transmission fluids used an oil that contained a
very high content of polynuclear aromatic hydrocarbons. The aromatic content kept the seal around
the drive shaft pliable and induced sufficient swelling to prevent leakage. The use of this type of fluid
was replaced in the 1970s by synthetic fluids.
Other chemicals that raised concerns in the past included naphthylamine, tri-ortho-cresyl phos-
phate, and chlorinated naphthalenes. The major producers of lubricants discontinued most uses of
these substances years ago.
In the early 1980s, evidence of tumors and other effects were reported in laboratory animals
exposed to nitrosamines and certain lower molecular weight chlorinated paraffins. Nitrosoamines can
form by the reaction of sodium nitrite, a rust inhibitor used in metalworking fluids and coolants, and
secondary amines which were used in many of these aqueous based systems. As a result, alternatives
to sodium nitrite as rust inhibitors were developed and are now widely used.
While the lower molecular weight chlorinated paraffins showed health effects, the higher molec-
ular weight homologs did not. Despite this, the use of even the higher molecular weight homologs of
this class of substances is declining.
In the area of metalworking products where there is a high level of skin contact, precautions are
still required for handling and use. Despite the move to safer lubricating oils and additives, prolonged
contact with oils and other organic materials can lead to drying and cracking of the skin and the devel-
opment of various types of dermatitis without proper handling and care. Where such contact is
unavoidable, suitable protective skin creams or gloves can be used, if appropriate. Inhalation of the
mists produced in some metalworking operations should be avoided. Inhaled mineral oils vapors can
lead to an inflammation of the lungs or more severe problems after continued exposure. It should be
noted that OSHA has established an exposure limit of 5 mg/1 of air for mineral oils and is consid-
ering a reduction to 0.5 mg/1 for metalworking fluids.
Polychlorinated biphenyls (PCBs), because of their stability, were widely used in industrial heat
exchangers, transformers, capacitors, and other electrical components. While PCBs were generally
referred to as “transformer oils,” there was some use in special lubricant applications as fire resistant
oils and also in some pipe-line turbines. To the authors’ knowledge, PCBs were not used as lubricant
additive components because they did not offer any performance benefits. Concerns focused on the
possibility that used oils and PCBs were not separated in some reclamation systems with the poten-
tial for ppm levels of contamination in lubricant base stocks. Disposal by low temperature burning of
PCBs can result in formation of chlorinated dibenzodioxins (dioxin). Such an event was reported to
have occurred in Germany in the mid-1980s. Both PCBs and dioxin are believed to cause
adverse health effects. High temperature incineration of PCBs avoids this problem. The ban-
ning of PCBs in the U.S. was intended to address this problem.

Toxicology, Environment, Safety and Health 1033
Essentially all lubricants today are mixtures of a base oil, usually petroleum based or a synthetic
fluid derived from petroleum chemicals, and a combination of chemicals referred to as an additive
or additive package used to meet specific performance requirements. The components of the addi-
tives normally have a very low order of toxicity either in mammalian species or aquatic species.
Individual additive companies in their own testing programs have developed data that show the LD50
of most of these components to be greater than 1000 mg/kg. Even the most toxic additive com-
ponents, in general, have LD50 values orders of magnitude above any level of concern.
A paper presented in 1994 summarizes the known toxic effects of a number of important types
of lubricant additive components.2 Data on the toxicity to selected fresh water organisms was pre-
sented at the November 1995 SETAC (Society for Environmental Toxicology and Chemistry) meet-
ing in Vancouver, Canada and at the Esslingen Tribology Colloquium in January of 1996.
Eye or skin irritation are of primary concern, but even these effects disappear at concentrations
used in finished lubricant formulations. Skin sensitization is a concern with some additive compo-
nents such as calcium sulfonates. It has been shown through human patch testing in a yet to be pub-
lished work by one of the authors and his co-workers that it is low-base calcium sulfonates and not
the high-base calcium sulfonates that are skin sensitizers. Similar to the irritation effect, this sensitiz-
ing effect generally disappears at the concentration used in finished lubricants.
Although additive components are chosen on the basis of performance, increasing emphasis is
being placed on their health effects, which has resulted in a significant increase in the amount of tox-
icity testing being conducted today. This will certainly lead to still safer lubricants and functional flu-
ids.
LUBRICANTS AND FLUIDS IN THE WORKPLACE

Since exposure to lubricants and other functional fluids is almost inevitable, it is important to under-
stand potential health effects and proper protective measures to avoid excessive exposure. In gener-
al, lubricants and metalworking fluids have little toxic effect. The primary effects of concern are given
in the previous section. The employer and workers and others should now look for information
which is specific for the product being used.
Despite the low order of health effects from these materials, there are laws and regulations which
may apply. The foremost regulation for the workplace is the OSHA Hazard Communication Rule
(29 CFR 1910). This rule has been judged to override state laws directed towards the workplace and
requires that hazards be communicated by use of labels, material safety data sheets (MSDS), and
worker training. Labels provide a worker with a first warning of potential hazards of any product
being used in the workplace and must show the main hazards and toxic effects. More extensive infor-
mation, especially with regard to toxic effects and precautionary and first aid measures are to be
found on the MSDS. OSHA has ruled that the National Fire Protection Association diamond sym-
bols may be used within a plant site, providing that workers have been trained to understand them.
Although this Rule requires that an MSDS be provided for only those products which must be
classified as hazardous, essentially all manufacturers provide an MSDS for each product or group of
similar products even though they may not be classified as hazardous. The MSDS can be confusing
and difficult to understand, so a brief description will be provided here as an initial guide. Anyone
wishing to create an MSDS should refer to the guidelines developed by the Chemical Manufacturers
Association and subsequently adopted as the ANSI standard for MSDSs. Copies of the standard
may be obtained from the American National Standards Institute. This standard meets all the
requirements of the OSHA Rule and provides for more information than does the OSHA Rule.
In addition to the OSHA Hazard Communication Rule, care should be taken to observe other
workplace requirements. In particular, exposures to chemicals require attention. OSHA has pub-
lished a list of exposure limits for a variety of chemicals which are referred to as PELs or permissi-
ble exposure limits. It is also prudent to monitor the limits established by the ACGIH (American
Conference of Government and Industrial Hygienists’ “Threshold Limit Values for Chemical

Substances and Physical Agents and Biological Exposure Indices”). These limits are referred
to as TLV™s or threshold limit values. In general, both PELs and TLVs are established by
applying safety factors of 10 to 1000, depending on whether the limits are based upon data
from humans, laboratory animals, or in vitro tests.
MATERIAL SAFETY DATA SHEET
Sale and shipment of commercial additive packages, lubricants, and functional fluids is often
accompanied by the MSDS. The ANSI standard prescribes 16 sections and specific text for the
headings, a format which has gained global acceptance through global chemical industry
efforts and is the standard promoted by the International Labor Organization. The section
headings and recommended order are:
1. Chemical Product and Company Identification

2. Composition and Information on Ingredients (normally just the ingredients contributing to the
hazard of the product are reported)
3. Hazards Identification
4. First Aid Measures
5. Fire Fighting Measures
6. Accidental Release Measures
7. Handling and Storage
8. Exposure Controls/Personal Protection
9. Physical and Chemical Properties
10. Stability and Reactivity
11. Toxicological Information
12. Ecological Information
13. Disposal Considerations
14. Transport Information
15. Regulatory Information
16. Other Information
Following is a general description of the information contained in each section.
1. Identification. The trade name, product name, chemical formula and molecular weight where
applicable, Chemical Abstracts Services (CAS) Registry Number, and chemical name many be
found in this section. The chemical name is usually included only in the case of products being a
single chemical. An emergency phone number is also given here for the purpose of obtaining fur-
ther information if that is deemed necessary.
2. Ingredients information. Any ingredient contributing a hazard to the product must be given in
this section along with its percentage or range of percentage and its CAS number. If the haz-
ardous ingredient is a trade secret, a generic chemical name and a range of percentage may be
used. In this case, the CAS number would be omitted since that is the same as giving the exact
chemical me. Purity information is frequently given in this section for single chemical products.
3. Hazards identification. The primary hazards of the product, if any, are given here usually in the
form of short terse warning and caution statements such as toxic, irritant, flammable.
4. First aid measures. First aid measures for various routes of exposure or contact are given here
along with a caution to see a physician where appropriate.
5. Fire fighting measures. This section contains any special precautions to observe in the case of
a fire. Flash point, formation of toxic gases, protective equipment, and information on appropri-
ate extinguishing agents are given.

6. Accidental release measures. This gives advice on how to handle a spill, such as special precautions
for a material with low flash points, containment methods, and protective equipment.
7. Handling and storage. Some material should not be stored near incompatible materials. Highly flam-
mable materials should be stored in well-ventilated areas such as outside. Some products may have
flammable or toxic vapors in the head space. Information on these and similar concerns may be found
here.
8. Exposure controls/personal protection. This section will advise on the need for special ventilation
procedures, respirators, and other special equipment such as chemical splash goggles or special gloves
or boots.
9. Physical and chemical properties. Those properties which aid in visual and other means of identi-
fication of the product and density in case the material gets into waterways are found here.
10. Stability and reactivity. Information pertaining to explosivity, thermal instability, and reactivity with
other materials is placed in this section.
11. Toxicological information. This contains a summary of known toxicity information which may have
been gleaned from the literature, resulted from laboratory testing on animals or tissue cultures, or
observed with human exposure.
12. Ecological information. This section summarizes known effects on plant and animal life in the air,
land, and water media.
13. Disposal considerations. This will advise what product characteristics should be considered before
disposing of the product. In general, for liability reasons, highly specific guidance is not given.
14. Transport information. In general, facts such as the specific shipping classification, proper shipping
name, and whether applicable to bulk or smaller shipments are listed. For the U.S., the road and rail des-
ignations and sometimes those for air shipments are given. Some companies include information for
shipment by sea.
15. Regulatory information. There is wide variation regarding what is included here. One may expect to
find the regulatory status under the U.S. Toxic Substances Control Act, and sometimes similar infor-
mation for other countries. Components that may be affected by the U.S. Clean Air Act, Clean Water
Act, Resource Conservation and Recovery Act, Superfund Amendments, and Reauthorization Act may
also be noted here.
16. Other information. Other information which a supplier believes to be pertinent to health and safety
but does not fit in the other sections may be given here.
TOXICOLOGY TESTING
Most hazard warnings for lubricants and functional fluids are derived from in vitro tissue culture test-
ing and testing in laboratory animals. Some, but very few, are derived from human experience.
Tissue culture and animal testing are imperfect in that the correlations with human experience are
not very good, but they are the best that we have to use.
The testing of these fluids and the additive components that are used in these fluids present
some unique problems. The neat materials (oil and solvent free) are too viscous in most cases for
accurate dosing, so the bulk of the testing is conducted with material as manufactured, meaning
usually with 30 to 60% oil present. Most of the substances have relatively high molecular weights,
meaning that they may be too large to pass through animal or plant membranes. This would
account for the low order of toxicity.
Environmental hazard testing presents some unique problems, again based upon viscosity and
molecular size. The materials having been designed to be soluble in oil have very low solubility in
water and frequently do not mix well with water. For these reasons, much of the testing must be
conducted with a water-accommodated fraction, that is, the portion of a nominal fraction that

dissolves in water. Nominal concentrations are given in such cases due to difficulties in the analysis
of these aqueous fractions.
ENVIRONMENTAL EXPOSURE
Environmental exposures can occur by releases into the air; accidental spills onto soil or into sewers,
streams, or bodies of water; or intentional dumping onto soil or into waterways. All of these are gov-
erned by one or more specific laws. Penalties for violation of specific provisions of these laws can
be severe, particularly if the violation is willful. Willful violations can lead to prison terms.
AIR RELEASES
Release of lubricants or functional fluids or their individual components into the air is an uncom-
mon occurrence since the components generally have low volatility, or they would not survive long
enough to serve the intended functions. In some cases, low levels of volatile materials may be pres-
ent and need attention due to the need to control workplace exposure as noted earlier. Releases that
occur into the air surrounding a plant site are addressed, in the Clean Air Act. This Act established
a list of hazardous air pollutants, substances which when released are anticipated to cause either mor-
tality or serious illness. National Emission Standards for Hazardous Air Pollutants (NESHAPs) were
established in Section 112(a) of the Act. The eight hazardous air pollutants listed in 40 CFR 61.01(a)
are: arsenic, benzene, beryllium, coke oven emissions, inorganic arsenic, mercury, radio-nuclides, and
vinyl chloride. The Environmental Protection Agency (EPA) is considering the addition of chromi-
um, cadmium, and other hazardous organics and organic solvent cleaners to the list.
It is worth noting that, in general, these listed materials are not used in the formulation of lubri-
cants and functional fluids, but some may be present as trace impurities.
WATER RELEASES
Section 311(b)(2)(A) of the Clean Water Act (CWA) specifies reporting and response requirements
for hazardous substances which, when released in an uncontrolled or unpermitted fashion, are
deemed capable of causing environmental harm. Each substance listed has been assigned a report-
able quantity (RQ) and requires immediate reporting when the release of a listed substance exceeds
the RQ. This list may be found in 40 CFR 117.3.
Another law, the Comprehensive Environmental Response, Compensation and Liability Act
(CERCLA), expands the universe of hazardous substances and has its own reporting and response
requirements. The list with RQ values may be found in 40 CFR 302.4. All substances from the CWA
Section 311 list are found on the CERCLA list, but the reverse is not the case.
SOIL RELEASES
There is no law that specifically addresses releases which get into the soil, but provisions exist in other
laws such as CERCLA discussed above. Significant releases which are not cleaned could result in the
site being named a Superfund site.
SARA
The Superfund Amendment and Reauthorization Act (SARA) significantly increased reporting
requirements for all sites where chemicals or mixtures of chemicals may be used. This is essentially
a right-to-know type of law with provisions for notification of local and state authorities of chemi-
cals used at each site. Section 313 of this Act contains a list of more than 300 extremely hazardous
substances by specific chemical name and CAS number. There is also a provision in Sections 311

and 312 for notification of materials which have any of five hazardous properties, but which are
not on the list of specific hazardous substances. These properties are: acute health hazards,
chronic health hazards, sudden release of pressure, fire, and reactivity, which are condensed from
the 23 OSHA categories of hazard.
Under Sections 311, 312 owners or operators of certain facilities are required to provide local
fire departments and local emergency planning commissions with quarterly updates and MSDSs
or a list of MSDSs for all materials located at the site which meet the hazard requirements. Under
Section 313, toxic chemical release forms must be used to file annual reports with U.S. EPA for
the manufacture, processing, or use of any toxic material on the 313 list.4
In general, lubricants and functional fluids do not contain materials on the 313 list. Since the
class of zinc compounds is listed, however, most automotive crankcase lubricants, some auto-
matic transmissions fluids, and some hydraulic fluids may require attention due to their content
of zinc alkyldithiophosphates. Certain lubricants may contain heavy metals which are listed. Any
materials with irritation or skin sensitization properties or which may have low flash points, for
example, may be subject to Sections 311 or 312.
WASTE DISPOSAL
In general, fresh lubricants and functional fluids are not subject to disposal because of their cost.
Buyers, for this reason, use them unless they become contaminated or have been spilled and are
not recoverable. It is relatively easy to characterize the properties for waste disposal at this stage.
After use, the task of characterization for waste disposal becomes more difficult due to changes
and contamination that may have occurred during usage. In any event, disposal is governed by
the Resource Conservation and Recovery Act (RCRA). Waste classified as hazardous must be
treated, stored, transported, and disposed of in accordance with the applicable requirements of
this Act. Many types of waste are addressed in this Act, but the intent here is only to address pro-
visions which may apply to new and used lubricants and functional fluids.
The primary goal of this Act is to ensure that all hazardous wastes are properly disposed of,
either by incineration or placing in a secure land fill. The implementing regulations of the Act as
given in 40 CFR 261 Subpart (C) assign four characteristics of hazardous waste: ignitable, cor-
rosive, reactive, or toxic. Subpart (D) lists some wastes from nonspecific sources (Section 261.31)
and specific sources (Section 261,32), as well as some discarded commercial chemical products,
off-specification species, container residues, and spill residues (Section 261.33).
Certain specific substances or constituents in a waste make it a hazardous waste and subject
to all applicable provisions of RCRA. Although a fresh lubricant or functional fluid may not be
classified as hazardous waste, changes which result from usage or contamination may make the
used material a hazardous waste.
It should be noted that used oil which contains in excess of 1000 ppm chlorine, 5 ppm
arsenic, 2 ppm cadmium, 10 ppm chromium, 100 ppm lead or having a flash point of less than
100°F is considered to be hazardous waste and may not be burned for energy recovery or used
in any way to produce fuel. Waste oil containing more than 1000 ppm chlorine is considered to
be contaminated with chlorinated solvents or PCB and is designated as hazardous waste. This is
subject to rebuttable presumption, meaning if it can be demonstrated that contamination with
chlorinated solvents or PCB has not occurred, then the used oil is not hazardous waste (40 CFR
Chapter I part 279). The rebuttable presumption provision does not apply to metalworking flu-
ids containing chlorinated paraffins if they are processed through a tolling agreement to reclaim
metalworking fluids. Classification as hazardous waste, of course, requires record keeping and
special provisions for transportation, and severely limits possibilities for burning for fuel value.
Aside from this provision, there are no constraints on burning used oil in any manner.
Attention must also be given to specific state laws which are too numerous to discuss here.
Some of these laws may contain additional constraints.

TRANSPORTATION
The primary purpose of classifying chemicals and mixtures of chemicals for transportation is to pro-
vide information to all responsible parties about acute effects of the chemicals. The underlying
assumption appears to be that truck drivers and railroad workers will have little or no contact with
the material being transported, so the less severe acute health effects such as irritation and chronic
health effects are not addressed in the classification scheme. The classifications focus on hazardous
materials which are those having properties which can cause immediate and irreversible harm: poi-
sons, flammables, corrosives, oxidizing materials, explosives, gases, radioactive substances, and agents
capable of causing disease. These are the effects that are a concern in the event of a spill or an acci-
dent. The applicable law is the Hazardous Materials Transportation Act (HMTA). A list of 16,000
hazardous materials is found in 49 CFR 172.101. An appendix lists RQ values, relating to spills dur-
ing transport, for substances which are also CERCLA hazardous substances.
It should be noted that labeling according to the OSHA Hazard Communication Rule must be
on containers when they leave work sites for transportation even though many of the hazards cited
in the rule are not included in the HMTA.
In shipping these regulated materials, care must be given for the proper preparation of shipping
papers, labels, packaging, and vehicle (road or rail) placarding to give appropriate warning. In some
cases different provisions apply to drum shipments and bulk shipments. The requirements for dif-
ferent modes of transportation may also differ and may be found for rail at 49 CFR 179, for aircraft
(49 CFR 175), for vessels on waterways (49 CFR 176), and for road (49 CFR 177). Specifications for
shipping containers may be found in 49 CFR 178 and for tank cars at 49 CFR 179. Storage of these
regulated materials when received is addressed in the OSHA regulations at 29 CFR 1910 Subpart H.
OTHER APPLICABLE LAWS AND REGULATIONS

FEDERAL LAWS
The Toxic Substances Control Act (TSCA) governs directly or indirectly essentially all industrial
chemicals manufactured, imported, or used in the U.S. While there are exemptions for a variety of
materials covered by other laws, all components of lubricants and functional fluids are covered by
this Act. The Act specifies that no chemical may be manufactured or used unless the chemical is on
the TSCA Inventory of existing chemicals. Note that this is not a list of toxic chemicals but a list of
existing chemicals, not subject to notification. A premanufacturing notification (PMN) (40 CFR 720)
must be filed with EPA for any chemical not on this list at least 90 days before commencement of
manufacture or importation. When manufacture or import of a chemical which is the subject of a
PMN commences, the manufacturer or importer must notify EPA within 30 days. Special provisions
apply to substances which will be manufactured in a quantity of less than 1 ton per year, certain poly-
mers, and substances manufactured for export only (40 CFR 723).
TSCA contains a number of provisions which can be a trap if not watched carefully. Use of a
chemical which is not on the TSCA Inventory may be considered a violation, so it is prudent to check
with a supplier to determine the compliance status. Section 4 of the Act (40 CFR 790) allows EPA
to require testing on any chemical for which volume and presumed exposure is large and there are
inadequate data to assess the risk potential of the substance. In general, these chemicals are made by
more than one manufacturer, all of whom join together to conduct a joint testing program on the
designated substance. In some cases, the testing provisions apply to processors. The Chemical
Manufacturers Association under its CHEMSTAR programs provides a forum for such joint testing
activities.
Section 5 of TSCA (40 CFR 720) allows EPA to require testing on any new chemical for which
a risk cannot be assessed. This testing delays the clearance of the PMN well beyond the usual 90

days, sometimes to a year or two, and requires a considerable expenditure of money. Manufacture
or import may not commence until such testing is complete and a report is in EPA’s hands.
Section 6 (40 CFR 750) allows EPA to regulate manufacture, distribution, and use of any sub-
stance which in its judgment “presents an imminent and unreasonable risk of serious or wide-
spread injury to health or the environment.” Such regulation may specify controls to limit expo-
sure, limit the uses, or even ban the manufacture, import, and use of a substance. EPA currently
regulates polychlorinated biphenyls (PCB), fully halogenated chlorofluoroalkanes, asbestos, and
hexavalent chromium.
Section 7 provides to EPA the authority to regulate chemicals which may pose an imminent
hazard. It allows EPA to immediately stop sale or seize chemicals if deemed necessary. Chlorinated
dibenzodioxins (Dioxin) and chlorinated dibenzofurans are regulated, but it is not clear if the
action was taken under Section 6 or 7. These two classes of materials in general are of no con-
cern in lubricants and functional fluids, but a concern could arise if these fluids contain chlorine
and are burned.
Section 8 contains several reporting provisions. Subsections (a) (40 CFR 704.1) and (d) require
reporting certain data as specified by EPA in Federal Register notices. It is useful to review the
Federal Register on a regular basis to ensure that such reporting requirements are not overlooked
since the penalties for not reporting can be costly. Section 8(c) (40 CFR 717.1) requires record
keeping for all allegations of potential health and environmental effects that are reported to a com-
pany which is using a chemical, providing the allegation can be attributed a specific chemical or
product. Section 8(e) (43 Federal Register, page 11110, 1978) requires reporting within 15 work-
ing days information received which suggests that a chemical poses a substantial risk to human
health or the environment. Information that is known to EPA, for example, published literature,
need not be reported. A spill into a waterway which results in a large fish kill may, for example, be
reportable under this provision in addition to any other reporting provision, as noted earlier. Ill
feelings, irritation, skin sensitization may be reportable if not previously known. If in doubt, it is
safer to report, since there is a penalty for not reporting and none for over-reporting.
Section 12 (40 CFR 707.60) requires that the export of certain chemicals must be reported to
EPA so that EPA may give the receiving country an option to deny the import of the chemical.
Chemicals which are subject to Section 4 test rules, Section 5 consent orders or significant new
use rules, chemicals listed in Section 6, and any chemicals that may be named under Section 7 are
subject to this export notification. Export of certain chemicals deemed to be banned or severely
restricted could become more onerous in the future, with growing international pressure for a
legally binding instrument for prior informed consent and the potential for enlarging the list of
chemicals to be covered.
Section 13 (40 CFR 707.20) requires certification to the U.S. Customs authority that substances
being imported comply with all applicable provisions of TSCA.
STATE LAWS
Because of the plethora of state laws and some local laws, no attempt will be made to be all-inclu-
sive. This section will address some of the key issues.
Many states have right-to-know laws which may require certain disclosures or the providing of
MSDSs. It has been established that the OSHA Hazard Communication Rule preempts the state
laws with regard to workplaces. Provisions that apply to community right-to-know still stand.
California, in its Proposition 65, requires warnings on any product which contains an ingredi-
ent considered to be capable of causing cancer or birth defects. There is no concentration limit
for this, making compliance difficult in many cases. The law has a bounty hunter provision. There
is also a volatile organic compound reporting requirement under its SCAQMD Rule 443.1.
Massachusetts requires the identification of any substance which is on its list of Hazardous
Substances and Special Hazardous Substances which may be present in a product.

New Jersey has a requirement for disclosing the five most prevalent components of a prod-
uct in addition to any ingredients which contribute to the hazard of the product under the OSHA
Rule. Trade secret protection for these ingredients is allowed. This applies only to companies con-
ducting business in the state.
Pennsylvania has a law very similar to that of Massachusetts.
BIODEGRADABILITY, DISPOSABILITY, RECYCLABILITY, AND

LIFE CYCLE ANALYSIS
These topics are related to the previous discussions on releases to the environment. Each of these
topics fills volumes in the literature and the only purpose of addressing them here is to encourage
awareness of the complicated nature of the ecosystem, better use of natural resources, and safe
and responsible handling of all chemicals.
BIODEGRADABILITY
In order to reduce health and environmental concerns, more research is being focused on prod-
ucts which biodegrade in the environment. Products which may leak from machinery or marine
vessels while being used are targeted for development of more biodegradable products. Fuels,
hydraulic fluids, and two-cycle and four cycle engine oils that are biodegradable are now available.
Biodegradability is often achieved by the use of naturally occurring seed oils. Although this results
in an increase in the cost of the products, most petroleum-based oils do not meet current tests for
biodegradability.
The amount of research devoted to use of renewable resources in lubrication and other mate-
rial areas has increased and may present significant challenges in the next decade. Some immedi-
ate issues involving lubrication include: new testing methods, standardization of current methods,
development of more biodegradable lubricants, and new additive systems that are biodegradable.
Perhaps the most urgent need today is in the area of test methodology and a clear definition of
biodegradability with respect to lubricants.
Biodegradability is generally judged on the basis of a ready biodegradability test (OECD Test
Protocols 301A-F and 40 CFR 796.3100–796.3400) in water. Ready biodegradability means basi-
cally that the material decomposes to carbon dioxide and water to the extent of 60 to 70% with-
in 28 days. The end points of these OECD methods vary, but 301-B measures carbon dioxide for-
mation, which is what most regulatory authorities will accept today. It is recognized, however, that
many substances degrade in the environment despite the fact that they are not degradable in water
in this type of short-term testing. Decomposition in soil may differ from that in water. Also, bac-
teria which degrade materials sometimes need to acclimate to certain chemicals for a period of
time before degrading them.
Some lubricant users have begun to use the more recently developed CEC (Co-ordinating
European Council) biodegradation test (“Biodegradability of Two-Stroke Cycle Outboard Engine
Oils in Water,” CEC L-33-A-94, 1994). More lubricants decompose in this test than in the ready
biodegradation tests. The test does not measure the formation of carbon dioxide, however, but
measures the disappearance of a particular carbon-hydrogen bond in the infrared spectrum.
More work needs to be done to gain a better understanding of what is important in the envi-
ronment, so that appropriate tests can be used or developed to provide the best guidance.
DISPOSABILITY
The ability to properly dispose of waste materials, including used oil, whether they be hazardous
chemicals, toxic, radioactive, or just plain garbage or solid wastes is one of the most critical prob-
lems related to the exploding growth and economic development of the world’s population.
Municipal waste presents a problem because of diminishing areas suitable for landfilling. Industrial

wastes from chemicals and chemical products present a problem because of concern over toxicity
to the environment and a possible contamination of water supplies. Efforts aimed at finding alter-
natives, such as reduction in usage, recycling, burning, and improving biodegradability are expand-
ing. A significant portion of used oil is burned for fuel value, some is recycled, and, unfortunately,
some is released to the environment (soil, sewers). New ideas are critically needed to solve this prob-
lem.
RECYCLABILITY
Although major strides have been taken in a number of industries, recycling processes are some-
times difficult to develop, due to the complexity of the products. In addition, the cost of recycled
materials may be higher, which limits the market. Some major users of metalworking fluids are
believed to have efficient processes for breaking the emulsions of soluble oils to recover and recy-
cle the oil.
An option in addition to recycle is to reduce the amount of material for recycling or disposal
by designing smaller units. This approach may increase the severity of the performance requirement
and result in increased costs and longer product development times. Use of recycled products and
biodegradable products is an area needing innovative thinking.
A major deterrent to recycling of used oil in the U.S. is the absence of a comprehensive and
convenient collection system. Some petroleum companies that operate gasoline stations and per-
form oil changing services and the fast-change lubricant stations collect oil and convert it for vari-
ous uses. Some is known to go to oil-recycling plants and some is burned for its fuel value. A large
portion of the used oil volume, however, is still in the do-it-yourself market. A major portion of
this used oil may escape the recycling/reuse loop.
Several years ago there was a proposal in a Senate committee for a law which would require the
use of a certain percentage of recycled oil. That effort died and has not yet resurfaced. It is per-
haps something that will surface again in the next few years. This undoubtedly would create a need
for an efficient used-oil collection system and probably a need for additional re-refining capacity.
LIFE CYCLE ANALYSIS

The goal of life cycle analysis is to evaluate various options for production and use in terms of
effects on health and the environment, raw material availability, waste generation, and disposal and
cost. This will not lead to many early analyses, since it requires detailed knowledge and evaluation
of raw materials, manufacturing processes, and how materials may be used and disposed of by the
manufacturer and customer. Collecting and sorting through the many options is a long, tedious, and
expensive process which could require many months or even years for completion of the analysis
for a single chemical.
Another major problem in life cycle analysis is lack of consensus on how to assess the relative
value of various options. For example, is it better to reduce waste which goes to a landfill, to burn
waste, or to use more energy or different raw materials in the manufacturing process? These are all
options for the manufacture of the same material. Burning of waste or use of more energy in the
manufacturing process may be considered by some as contributors to global warming, whereas the
first option and last options could potentially lead to ground water contamination, human contact
in future generations, or other environmental effects. There are no easy solutions to these difficult
problems.
CONCLUSIONS
The increased awareness of health, safety, and environmental issues surrounding lubricants and
functional fluids has led to products having significantly lower health and environmental risks for
the users. Hopefully, awareness of these issues by the end users has also increased. This progress

will continue, while at the same time producing products with improved properties for the
intended uses.
Because of these concerns the manufacturers and users of these products must act respon-
sibly and must pay close attention to the laws and regulations which have been developed over
the years to address these concerns.

REFERENCES
1. Ignatowski, A.J., Hamilton, J.D., and Weiler, E.D., Regulatory Toxicology and Pharmacology, 22,
231–242, 1995, Review of international criteria and mixture rules for health hazard classification,
published by Academic Press.
2. Cisson, CM., Raussina, G.A., and Stonebraker, P.M., Human health and environmental hazard char-
acterization of lubricating oil additives, Tribology Coloquium, Esslingen, Germany 1994.

3. Rausina, G., Barth, M., Blackmon, J., Hoke, D., Isola, D., Linnett, S., Ribero, P., Stack, C, and Ward,
T., Aquatic toxicity of petroleum additives, SETAC Conf., November 1995 and Tribology
Conference, Esslinger, Germany, January 1996, submitted.
4. Toxic Chemicals Subject to Section 313 of the Emergency Planning and Community Right-to-
Know Act of 1986, Committee Print No. 99–169, Senate Committee on Environment and Public
Works.
INFORMATION SOURCES
INTERNET
Federal Register (1995 and later only)

http://www.access.gov.gov/su_docs/aces/aces140.html
International Agency for Research on Cancer
Homepage: http://www.iarc.fr
U.S. Environmental Protection Agency (full text of regulations not yet available)
Homepage: http://www.epa.gov
40CFR contents: http://www.epa.gov/epacfr/40
Occupational Safety and Health Administration
Homepage: http://www.osha.gov
29CFR 1910.1200: http://oshstd_data/1910.1200.html (full text available)
AGENCIES AND PUBLICATIONS
American Conference of Governmental Industrial Hygienists
Technical Affairs Office
1330 Kemper Meadow Drive
Cincinnati, OH 45240
American National Standards Institute

11 W. 42nd. St.
New York, NY 10036
Code of Federal Regulations — individual sections available from the Superintendent of

Documents.
Department of Transportation
Research and Special Programs
400 Seventh St., S.W.
Washington, D.C. 20590 (phone: 202-366-4000)
Environmental Protection Agency

Office of Toxic Substances
401 M St. S.W.
Washington, D.C.
Federal Register
Superintendent of Documents
Government Printing Office
(May also be available in some public libraries, see also Internet above.)

International Agency for Research on Cancer (publications)

World Health Organization WHO Publications Center
Distribution and Sales Service 49 Sheridan Ave.
1211 Geneva 27 Albany, NY 12210
Switzerland
Occupational Health and Safety Agency

200 Constitution Avenue
OECD Publications and Information Center

2001 L St., N.W., Suite 700
Washington, D.C. 20036-4910
Registry of Toxic Effects of Chemical Substances (several volume set), S/N 17-33-00431-5.
Available from the Superintendent of Documents.
State Environmental Protection Agencies

State capital cities
Trade Associations
American Petroleum Institute
1220 L St. Northwest
Washington, D.C. 20005-4070
Chemical Manufacturers Association

1300 Wilson Blvd.
Arlington, VA 22209
Independent Lubricant Manufacturers Association

651 So. Washington St.
Alexandria, VA 22314
National Association of Oil Recovery Coordinators

325 North Adams
Springfield, IL 62706
U.S. Code: available from Superintendent of Documents.

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Appendixes

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Appendix 1:
Material Hardness Tables, Tests
and Data
Charles A. Moyer
Hardness is a property of a material based, in general, on its resistance to plastic flow.

Hardness is determined using tests that try to measure indentation, abrasion (or scratching),
ploughing, cutting, rebound (bounce height), dampening (pendulum amplitude), or erosion
(grain or droplet impingement). Which test is used depends on the material and application
needs.1
The tables presented in this section are based primarily on indentation tests that account
for most hardness testing methods. However, rebound devices are used for measuring hard-
ness on surfaces that cannot tolerate surface marking or are limited by size. The theory
behind indentation hardness testing is covered in Reference 1 and additional background is
included in References 2 and 3.
The tables list Vickers,4 Brinell,5 Rockwell,6 Knoop,7 Shore,8 and approximate tensile
strength to match the various hardness numbers. Although tensile strength is given in psi, the
values given in the columns can be converted to MPa by multiplying by 6.895 (i.e., Table 2,
355 × 6.895 = 2450 MPa). Assuming a relation between load applied and indentation, then
hardness is measured by indent surface area or depth. Table 1 (from Reference 1) is a sum-
mary of indenters, indent size, loads measurement form, surface preparation, and applica-
tions. Tables 2, 3, and 4 are from Reference 2. These provide comparison values for various
indentation hardness tests that can be made. Table 5 is summarized from Reference 9, so the
range of hardness for the Moh scale can be included. This table also has approximate values
for various elements and other materials, and some specific values from the Knoop scale to
provide some relationships to the other tables.
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Material Hardness Tables, Tests and Data 1051

REFERENCES
1. Hardness testing, in ASM Metals Handbook, 9th ed., vol. 8, Mechanical Testing, ASM International,
Metals Park, OH, 1985, 69–113.
2. Hardness testing, in ASM Metals Handbook, 8th ed., vol. 11, Nondestructive Inspection and Quality
Control, ASM International, Metals Park, OH, 1976, 1–20.
3. Shaw, M. C. and DeSalvo, G. J., On the plastic flow beneath a blunt axisymmetric indenter, Trans.
ASME, J. Eng. Industry, May, 1970, 480–494.
4. Standard Test Method for Vickers Hardness of Metallic Materials, E 92, Annual Book of ASTM
Standards, American Society of Testing and Materials, Philadelphia, 1984, 253–263.
5. Standard Test Method for Brinell Hardness of Metallic Materials, E 10, Annual Book of ASTM
Standards, American Society of Testing and Materials, Philadelphia, 1984, 164–169.
6. Standard Test Methods for Rockwell Hardness and Rockwell Superficial Hardness of Metallic Mate
rials, E 18, Annual Book of ASTM Standards, ASTM, Philadelphia, 1984.
7. Standard Test Methods for Microhardness of Materials, E 384, Annual Book of ASTM Standards,
ASTM, Philadelphia, 1984, 497–518.
8. Miscellaneous hardness testing, ASM Metals Handbook, 9th ed., vol. 8, Mechanical Testing, ASM
International, Metals Park, OH, 1985, 104–106.
9. Lide, D. R., Ed., Handbook of Chemistry and Physics, 75th ed., CRC Press, Boca Raton, FL, 1994, p.
12–186.

Appendix 2
Viscosity Conversion Factors
Compiled by Douglas Godfrey
Note: “E” (exponent) implies 10 raised to a power, for example:

2.000E + 03 = 2.000 × 10+3 = 2000
2.000E - 03 = 2.000 × 10-3 = 0.002
(f) = force.
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Viscosity Conversion Factors 1065
BIBLIOGRAPHY
ON STYLE
Standard Practice for Use of the SI International System of Units, The Modern Metric
System, ASTM E380–93, American Society for Testing and Materials, Philadelphia, 1993,
30–31.
ON VISCOSITY CONVERSIONS
1. Viscosity conversion, in CRC Handbook of Chemistry and Physics, 62nd ed., Weast, R. C. and Astle,
M. J., Eds., 1981–1982, CRC Press, Boca Raton, FL, 1981-1982, F-41 [extensive list].
2. CRC Handbook of Chemistry and Physics, 72nd ed., CRC Press, Boca Raton, FL, 1994.
3. Standard Practice for Conversion of Kinematic Viscosity to Saybolt Universal Viscosity or to
Saybolt Furol Viscosity, ASTM Designation D 2161–93, in ASTM 05.01 Petroleum Products and
Lubricants D56-D2596, ASTM, Philadelphia.
4. Alexander, D. L., Viscosity of lubricants, Lubrication, Vol. 78, No. 3, Texaco Inc., New York, 1992.
5. “Viscosity,” Lubrication, Vol. 52, No. 4, Texaco, Inc., New York, 1966.
6. Lindeburg, M. R., Engineering Unit Conversions, 3rd ed., Professional Publications, Belmont, CA, 1993
[156 entries of viscosity conversions].
OTHER VISCOSITY UNIT CONVERSIONS*

A viscosity determined in a particular viscometer at a specific temperature can be converted to
the equivalent viscosity which would have been obtained had the liquid been tested in some
other viscometer at the same temperature. For the most accurate conversion, the determination
temperature must be considered. Some of the wide variety of equations, tables, charts, and
nomographs which have been developed to facilitate such conversions are described in the fol-
lowing.
KINEMATIC VISCOSITY TO SAYBOLT UNIVERSAL AND FUROL

ASTM has recently issued a method, D 2161–63T, giving tables in a convenient form and equa-
tions for converting kinematic viscosity in centistokes at any temperature to Saybolt Universal
seconds (SUS) at the same temperature. Also, tables are included for converting kinematic vis-
cosity at 122 or 210°F to Saybolt Furol seconds at the same temperatures. A supplement to
method D 2161 was recently issued. This consists of a set of tables giving the viscosity of a
petroleum oil in Saybolt Universal seconds at 0°F obtained by extrapolating measured kine-
matic viscosities at 100 and 210°F down to 0°F. Extrapolated values are based on the assump-
tion that a strictly linear relationship exists between viscosity and temperature on the ASTM
Viscosity–Temperature charts of ASTM Method D 341.
Kinoshita** developed the following equation for converting kinematic viscosity v in centi-
stokes, determined at temperature t (°F) into Saybolt Universal seconds (SUS).
This equation is satisfactory for kinematic viscosities greater than 2 cSt and temperatures
between 70 and 300°F.
* Courtesy of Texaco magazine Lubrication, Vol. 52, No. 3, Texaco, Inc., New York, 1966. With permission.
** Kinoshita, M., J. Inst. Pet., 43, May 1957.

KINEMATIC TO REDWOOD NO. 1 (STANDARD)

The following Kinoshita* equation for this conversion is highly accurate for kinematic viscosi-
ties above 3 centistokes and temperatures between 70 and 210°F.
KINEMATIC VISCOSITY TO ENGLER DEGREES

A table in the German Standard DIN 51 560, “Determination of Viscosity with the Engler
Apparatus,” gives the relationship between kinematic and Engler (degrees) viscosities.
CONVERSION OF “SHORT-TUBE” VISCOSITIES TO KINEMATIC VISCOSITY

The following five groups of equations provide approximate conversions of “short-tube” vis-
cosities to kinematic viscosities at the same temperature. In all cases “T” is the efflux time in
seconds and “v” is the desired kinematic viscosity in centistokes.
SAYBOLT UNIVERSAL SECONDS TO KINEMATIC
SAYBOLT FUROL SECONDS (SFS) TO KINEMATIC
REDWOOD NO. 1 (STANDARD) SECONDS TO KINEMATIC
REDWOOD NO. 2 (ADMIRALTY) SECONDS TO KINEMATIC
ENGLER DEGREES (E°) TO KINEMATIC
* Kinoshita, M., J. Inst. Pet., 43, May 1957.

Viscosity Conversion Factors 1067
FIGURE 1 Viscosity conversion nomograph. Line up straight edge so centistoke value on both
kinematic scales is the same. Viscosities at the same temperature on all scales are then equivalent.
To extend range of only the kinematic, Saybolt Universal, Redwood No. 1 and Engler scales:
multiply by 10 the viscosities on these scales between 100 and 1000 centistokes on the kinemat-
ic scale and the corresponding viscosities on the other 3 scales. For further extension, multiply
these scales as above by 100 or a higher power of 10. (Example: 1500 centistokes = 150 × 10 cSt
≅ 695 × 10 SUS = 6950 SUS.) (Courtesy of Texaco magazine Lubrication, Vol. 52, No. 4, 1966.)

FIGURE 2 Relationship between kinematic viscosity (cSt) and Saybolt Universal Seconds
(SUS). (Courtesy of Texaco magazine Lubrication, Vol. 78, No. 3, 1992.)

crc3904-SecAppendix3.qxd 8/23/2007 2:06 PM Page 1069
Appendix 3
International System of Units (SI)
and Conversion Factors*
The International System of units (SI) was adopted by the 11th General Conference on
Weights and Measures (CGPM) in 1960. It is a coherent system of units built from seven SI
base units, one for each of the seven dimensionally independent base quantities: they are the
meter, kilogram, second, ampere, kelvin, mole, and candela, for the dimensions length, mass,
time, electric current, thermodynamic temperature, amount of substance, and luminous inten-
sity, respectively. The definitions of the SI base units are given below. The SI derived units are
expressed as products of powers of the base units, analogous to the corresponding relations
between physical quantities but with numerical factors equal to unity.
In the International System there is only one SI unit for each physical quantity. This is
either the appropriate SI base unit itself or the appropriate SI derived unit. However, any of
the approved decimal prefixes, called SI prefixes, may be used to construct decimal multiples
or submultiples of SI units.
It is recommended that only SI units be used in science and technology (with SI prefixes
where appropriate). Where there are special reasons for making an exception to this rule, it is
recommended always to define the units used in terms of SI units. This section was reprinted
with the permission of IUPAC.
DEFINITIONS OF SI BASE UNITS
Meter — the meter is the length of path travelled by light in vacuum during a time inter-
val of 1/299 792 458 of a second (17th CGPM, 1983).
Kilogram — The kilogram is the unit of mass; it is equal to the mass of the international
prototype of the kilogram (3rd CGPM, 1901).
Second — The second is the duration of 9 192 631 770 periods of the radiation corre-
sponding to the transition between the two hyperfine levels of the ground state of the
cesium-133 atom (13th CGPM, 1967).
Ampere — The ampere is that constant current which, if maintained in two straight par-
allel conductors of infinite length, of negligible circular cross-section, and placed 1
meter apart in a vacuum, would produce between these conductors a force equal to 2
× 10-7 newton per meter of length (9th CGPM, 1948).
* These descriptions and conversion factors are taken from the CRC Handbook of Chemistry and Physics, Lide, D. R., Ed., 76th ed.,
(1995–1996), pp. 1–20 to 1–39, 1995.
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Kelvin — The kelvin, unit of thermodynamic temperature, is the fraction 1/273.16 of the
thermodynamic temperature of the triple point of water (13th CGPM, 1967).
Mole — The mole is the amount of substance of a system which contains as many ele-
mentary entities as there are atoms in 0.012 kilogram of carbon-12. When the mole is
used, the elementary entities must be specified and may be atoms, molecules, ions, elec-
trons, other particles, or specified groups of such particles (14th CGPM, 1971).
Examples of the use of the mole:

1 mol of H2 contains about 6.022 × 1023 H2 molecules, or 12.044 × 1023 H atoms
1 mol of HgCl has a mass of 236.04 g
1 mol of Hg2Cl2 has a mass of 472.08 g
1 mol of Hg2has a mass of 4.01.18 g and a charge of 192.97 kC
1 mol of Fe091 S has a mass of 82.88 g
1 mol of e- has a mass of 548.60 µg and a charge of -96.49 kC
1 mol of photons whose frequency is 1014 Hz has energy of about 39.90 kJ
Candela — The candela is the luminous intensity, in a given direction, of a source that
emits monochromatic radiation of frequency 540 × 1012 hertz and that has a radiant
intensity in that direction of (1/683) watt per steradian (16th CGPM, 1979).
NAMES AND SYMBOLS FOR THE SI BASE UNITS

International System of Units (SI) and Conversion Factors 1071

SI PREFIXES
To signify decimal multiples and submultiples of SI units the following prefixes may be used.
Prefix symbols should be printed in roman (upright) type with no space between the pre-
fix and the unit symbol.
Examples kilometer, km
When a prefix is used with a unit symbol, the combination is taken as a new symbol that
can be raised to any power without the use of parentheses.
Examples 1 cm3 = (0.01 m)3 = 10-6 m3
1 µs-1 = (10-6 s)-1 = 106 s-1
1 V/cm = 100 V/m
1 mmol/dm3 = mol m-3
A prefix should never be used on its own, and prefixes are not to be combined into com-
pound prefixes.
Example ppm, not mmm
The names and symbols of decimal multiples and sub-multiples of the SI base unit of
mass, the kg, which already contains a prefix, are constructed by adding the appropriate prefix
to the word gram and symbol g.
Examples mg, not mkg; Mg, not kkg
The SI prefixes are not to be used with °C.

UNITS IN USE TOGETHER WITH THE SI

These units are not part of the SI, but it is recognized that they will continue to be used in
appropriate contexts. SI prefixes may be attached to some of these units, such as milliliter, ml;
millibar, mbar; megaelectronvolt, MeV; kilotonne, ktonne.
REFERENCES
Quantities, Units and Symbols in Physical Chemistry, Ian Mills, Editor, Blackwell Scientific
Publications, Oxford, 1987.
Symbols, Units, Nomenclature and Fundamental Constants in Physics, Cohen, E. R. and Giacomo,
P., Eds., International Union of Pure and Applied Physics Document 25, 1987; also
appears in Physica 146A, 1–8, 1987.
ISO Standards Handbook 2, Units of Measurement, International Organization for
Standardization, Geneva, 1982.
OTHER REFERENCES:
Standard Practice for the Use of the International System of Units (SI) — (The
Modernized Metric System), ASTM E 380-93, American Society for Testing and
Materials, Philadelphia, PA. [Includes 8 pages of units classified by physical quantity,
such as pressure.]
Lindeburg, M. R., Engineering Unit Conversions, 3rd ed., Professional Publications, Belmont,
CA, 1993 [148 pages of unit conversions].

CONVERSION FACTORS
The following table gives conversion factors from various units of measure to SI units. It is
reproduced from NIST Special Publication 811, Guide for the Use of the International System of
Units (Superintendent of Documents, U.S. Government Printing Office, 1991), which in turn
was derived from IEEE Std 268 — 1982, IEEE Standard Metric Practice (© 1982 by the Institute
of Electrical and Electronics Engineers, Inc.).
The SI values are expressed in terms of the base, supplementary, and derived units of SI
in order to provide a coherent presentation of the conversion factors and facilitate computa-
tions (see the table “International System of Units” in this Section). Powers of ten can be
avoided by using SI prefixes and shifting the decimal point if necessary. Conversion from a
non-SI unit to a different non-SI unit may be carried out by using this table in two stages, e.g.,
1 cal (thermochemical) = 4.184 J

1 Btu (mean) = 1.05587 E+03 J
Thus, 1 Btu (mean) = (1.05587 E+03/4.184) cal (thermochemical)
= 252.359 cal (thermochemical)
Conversion factors are presented for ready adaptation to computer readout and electronic
data transmission. The factors are written as a number equal to or greater than one and less
than ten with six or less decimal places. This number is followed by the letter E (for exponent),
plus or minus symbol, and two digits which indicate the power of 10 by which the number
must be multiplied to obtain the correct value. Examples:
3.523 907 E-02 is 3.523 907 × 10-2

3.386 389 E+03 is 3.386 389 × 103
An asterisk (*) after the sixth decimal place indicates that the conversion factor is exact and
that all subsequent digits are zero. All other conversion factors have been rounded to the fig-
ures given in accordance with accepted practice. Where less than six decimal places are shown,
more precision is not warranted.










The Handbook of Tribology Data - An Excellent Friction, Lubrication and Wear Resource (PDFDrive)

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qxd 8/6/2007 1:30 PM Page 1 (Black plate)

Copyright © 1997 CRC Press, LLC.

Library of Congress Cataloging-in-Publication Data

Visit the CRC Press Web site at www.crcpress.com

No claim to original U.S. Government works

Copyright © 1997 CRC Press, LLC.

Vol. I. Handbook of Lubrication. Application and Maintenance. 1983.

Copyright © 1997 CRC Press, LLC.

Copyright © 1997 CRC Press, LLC.

Section II. Typical Lubrication Specifications for Equipment

Copyright © 1997 CRC Press, LLC.

21. Automotive Engine Lubricants........................................................................253

Section III. Industrial Application Practices

Section IV. Lubricant Application Systems

Section V. Friction, Wear, and Surface Characterization

42. Friction and Wear Equations.........................................................................................445

Section VI. Material Properties

Section VII. Tribological Surface Modifications

Section VIII. Component Performance and Design Data

63. Squeeze-Film Bearings....................................................................................................691

Section IX. Metalworking

Section X. Monitoring, Maintenance, Failure Patterns

Copyright © 1997 CRC Press, LLC.

85. Filtration and Particle Count Classifications..........................................................1009

Section XI. Toxicology, Environment, Safety and Health

Copyright © 1997 CRC Press, LLC.

Copyright © 1997 CRC Press, LLC.

Copyright © 1997 CRC Press, LLC.

James C. Fitch Thomas Jendzurski

Copyright © 1997 CRC Press, LLC.

Michael P. Marino Stanley C. Reiber

Copyright © 1997 CRC Press, LLC.

John S. Straiton Frederick J. Villforth, III

Copyright © 1997 CRC Press, LLC.

Copyright © 1997 CRC Press, LLC.

TYPICAL PROPERTY VALUES OF LUBRICATING OILS

G API service grade SG

Tribology Data Handbook

RELATIONS FOR EXTENDING PHYSICAL PROPERTY DATA

Copyright © 1997 CRC Press, LLC.

FIGURE 2 Viscosity index from kinematic viscoties at 40°C and 100°C.

The So correlation24,25 can be used to calculate the viscosity-pressure coefficient.

AVERAGE MOLECULAR WEIGHT

THERMAL EXPANSION COEFFICIENT

Copyright © 1997 CRC Press, LLC.

Another equation27 can also be used:

Copyright © 1997 CRC Press, LLC.

sp gr = specific gravity 60/60°F (15.6/15.6°C)

The following equations and table are used in the correlation:

(a) Mineral oil lubricants and pure hydrocarbon

(b) Nonmineral oil based fluid

Copyright © 1997 CRC Press, LLC.

Fluid Class Deviation Factor S [GPa]

Methyl silicone -0.755

FIRE AND FLASH POINT

Copyright © 1997 CRC Press, LLC.

VAPOR PRESSURE OF LUBRICATING OILS

1. Exxon Product Summary, Exxon Company, Houston, TX (1990).

Copyright © 1997 CRC Press, LLC.

GENERAL DESCRIPTION OF THE GROUPING CATEGORIES

Copyright © 1997 CRC Press, LLC.

* Supplied by Prof. Wilfred J. Bartz.