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 FLUID
SCALING
TECHNOLOGY
 MECHANICAL ENGINEERING
A Series of Textbooks and Reference Books

Editor
L . L. F a u lk n er
Columbus Division, Battelle Memorial Institute
and Department o f Mechanical Engineering
The Ohio State University
Columbus, Ohio

1. Spring Designer's Handbook, Harold Carlson

2. Computer-Aided Graphics and Design, Daniel L. Ryan
3. Lubrication Fundamentals, J. George Wills
4. Solar Engineering for Domestic Buildings, William A. Himmelman
5. Applied Engineering Mechanics: Statics and Dynamics, G. Boothroyd and
C. Poli
6. Centrifugal Pump Clinic, Igor J. Karassik
7. Computer-Aided Kinetics for Machine Design, Daniel L. Ryan
8. Plastics Products Design Handbook, Part A: Materials and Components;
Part B: Processes and Design for Processes, edited by Edward Miller
9. Turbomachinery: Basic Theory and Applications, Earl Logan, Jr.
10. Vibrations o f Shells and Plates, Werner Soedel
11. Flat and Corrugated Diaphragm Design Handbook, Mario Di Giovanni
1 2. Practical Stress Analysis in Engineering Design, Alexander Blake
13. An Introduction to the Design and Behavior of Bolted Joints, John H.
Bickford
14. Optimal Engineering Design: Principles and Applications, James N. Siddall
1 5. Spring Manufacturing Handbook, Harold Carlson
1 6. Industrial Noise Control: Fundamentals and Applications, edited by Lewis
H. Bell
17. Gears and Their Vibration: A Basic Approach to Understanding Gear
Noise, J. Derek Smith
18. Chains for Power Transmission and Material Handling: Design and Appli­
cations Handbook, American Chain Association
19. Corrosion and Corrosion Protection Handbook, edited by Philip A.
Schweitzer
20. Gear Drive Systems: Design and Application, Peter Lynwander
21. Controlling In-Plant Airborne Contaminants: Systems Design and Calcula­
tions, John D. Constance
22. CAD/CAM Systems Planning and Implementation, Charles S. Knox
23. Probabilistic Engineering Design: Principles and Applications, James N.
Siddall
24. Traction Drives: Selection and Application, Frederick W. Heilich III and
Eugene E. Shube
25. Finite Element Methods: An Introduction, Ronald L. Huston and Chris E.
Passerello
26. Mechanical Fastening o f Plastics: An Engineering Handbook, Brayton Lin­
coln, Kenneth J. Gomes, and James F. Braden
27. Lubrication in Practice: Second Edition, edited by W. S. Robertson
28. Principles o f Automated Drafting, Daniel L. Ryan
29. Practical Seal Design, edited by Leonard J. Martini
30. Engineering Documentation for CAD/CAM Applications, Charles S. Knox
31. Design Dimensioning with Computer Graphics Applications, Jerome C.
Lange
32. Mechanism Analysis: Simplified Graphical and Analytical Techniques, Lyn­
don 0 . Barton
33. CAD/CAM Systems: Justification, Implementation, Productivity Measure­
ment, Edward J. Preston, George W. Crawford, and Mark E. Coticchia
34. Steam Plant Calculations Manual, V. Ganapathy
35. Design Assurance for Engineers and Managers, John A. Burgess
36. Heat Transfer Fluids and Systems for Process and Energy Applications,
Jasbir Singh
37. Potential Flows: Computer Graphic Solutions, Robert H. Kirchhoff
38. Computer-Aided Graphics and Design: Second Edition, Daniel L. Ryan
39. Electronically Controlled Proportional Valves: Selection and Application,
Michael J. Tonyan, edited by Tobi Goldoftas
40. Pressure Gauge Handbook, AMETEK, U.S. Gauge Division, edited by Phil­
ip W. Harland
41. Fabric Filtration for Combustion Sources: Fundamentals and Basic Tech­
nology, R. P. Donovan
42. Design o f Mechanical Joints, Alexander Blake
43. CAD/CAM Dictionary, Edward J. Preston, George W . Crawford, and
Mark E. Coticchia
44. Machinery Adhesives for Locking, Retaining, and Sealing, Girard S. Havi-
land
45. Couplings and Joints: Design, Selection, and Application, Jon R. Mancuso
46. Shaft Alignment Handbook, John Piotrowski
47. BASIC Programs for Steam Plant Engineers: Boilers, Combustion, Fluid
Flow, and Heat Transfer, V. Ganapathy
48. Solving Mechanical Design Problems with Computer Graphics, Jerome C.
Lange
49. Plastics Gearing: Selection and Application, Clifford E. Adams
50. Clutches and Brakes: Design and Selection, William C. Orthwein
51. Transducers in Mechanical and Electronic Design, Harry L. Trietley
52. Metallurgical Applications o f Shock-Wave and High-Strain-Rate Phenom­
ena, edited by Lawrence E. Murr, Karl P. Staudhammer, and Marc A.
Meyers
53. Magnesium Products Design, Robert S. Busk
54. How to Integrate CAD/CAM Systems: Management and Technology, Wil­
liam D. Engelke
55. Cam Design and Manufacture: Second Edition] with cam design software
for the IBM PC and compatibles, disk included, Preben W. Jensen
56. Solid-State AC Motor Controls: Selection and Application, Sylvester Camp­
bell
57. Fundamentals of Robotics, David D. Ardayfio
58. Belt Selection and Application for Engineers, edited by Wallace D. Erick­
son
59. Developing Three-Dimensional CAD Software with the IBM PC, C. Stan
Wei
60. Organizing Data for CIM Applications, Charles S. Knox, with contri­
butions by Thomas C. Boos, Ross S. Culverhouse, and Paul F. Muchnicki
61. Computer-Aided Simulation in Railway Dynamics, by Rao V. Dukkipati
and Joseph R. Amyot
62. Fiber-Reinforced Composites: Materials, Manufacturing, and Design, P. K.
Mallick
63. Photoelectric Sensors and Controls Selection and Application, Scott M.
Juds
64. Finite Element Analysis with Persona! Computers, Edward R. Champion,
Jr., and J. Michael Ensminger
65. Ultrasonics: Fundamentals, Technology, Applications: Second Edition,
Revised and Expanded, Dale Ensminger
66. Applied Finite Element Modeling: Practical Problem Solving for Engineers,
Jeffrey M. Steele
67. Measurement and Instrumen ta tion in Engineering: Principles and Basic
Laboratory Experiments, Francis S. Tse and Ivan E. Morse
68. Centrifugal Pump Clinic: Second Edition, Revised and Expanded, Igor J.
Karassik
69. Practical Stress Analysis in Engineering Design: Second Edition, Revised
and Expanded, Alexander Blake
70. An Introduction to the Design and Behavior o f Bolted Joints: Second
Edition, Revised and Expanded, John H. Bickford
71. High Vacuum Technology: A Practical Guide, Marsbed H. Hablanian
72. Pressure Sensors: Selection and Application, Duane Tandeske
73. Zinc Handbook: Properties, Processing, and Use in Design, Frank Porter
74. Thermal Fatigue o f Metals, Andrzej Weronski and Tadeusz Hejwowski
75. Classical and Modern Mechanisms for Engineers and Inventors, Preben
W. Jensen
76. Handbook o f Electronic Package Design, edited by Michael Pecht
77. Shock-Wave and High-Strain-Rate Phenomena in Materials, edited by
Marc A. Meyers, Lawrence E. Murr, and Karl P. Staudhammer
78. Industrial Refrigeration: Principles, Design and Applications, P. C. Koelet
79. Applied Combustion, Eugene L. Keating
80. Engine Oils and Automotive Lubrication, edited by Wilfried J. Bartz
81. Mechanism Analysis: Simplified and Graphical Techniques, Second Edition,
Revised and Expanded, Lyndon 0 . Barton
82. Fundamental Fluid Mechanics for the Practicing Engineer, James W.
Murdock
83. Fiber-Reinforced Composites: Materials, Manufacturing, and Design, Sec­
ond Edition, Revised and Expanded, P. K. Mallick
 84. Numerical Methods for Engineering Applications, Edward R. Champion, Jr.
85. Turbomachinery: Basic Theory and Applications, Second Edition, Revised
and Expanded, Earl Logan, Jr.
86. Vibrations o f Shells and Plates: Second Edition, Revised and Expanded,
Werner Soedel
87. Steam Plant Calculations Manual: Second Edition, Revised and Ex
panded, V. Ganapathy
88. Industrial Noise Control: Fundamentals and Applications, Second Edition,
Revised and Expanded, Lewis H. Bell and Douglas H. Bell
89. Finite Elements: Their Design and Performance, Richard H. MacNeal
90. Mechanical Properties o f Polymers and Composites: Second Edition, Re­
vised and Expanded, Lawrence E. Nielsen and Robert F. Landel
91. Mechanical Wear Prediction and Prevention, Raymond G. Bayer
92. Mechanical Power Transmission Components, edited by DavidW.South
and Jon R. Mancuso
93. Handbook o f Turbomachinery, edited by Earl Logan, Jr.
94. Engineering Documentation Control Practices and Procedures,Ray E.
Monahan
95. Refractory Linings Thermomechanical Design and Applications, Charles
A. Schacht
96. Geometric Dimensioning and Tolerancing: Applications and Techniques
for Use in Design, Manufacturing, and Inspection, James D. Meadows
97. An Introduction to the Design and Behavior o f Bolted Joints: Third Edi­
tion, Revised and Expanded, John H. Bickford
98. Shaft Alignment Handbook: Second Edition, Revised and Expanded, John
Piotrowski
99. Computer-Aided Design o f Po/ymer-Matrix Composite Structures, edited
by Suong Van Hoa
100. Friction Science and Technology, Peter J. Blau
101. Introduction to Plastics and Composites: Mechanical Properties and Engi­
neering Applications, Edward Miller
102. Practical Fracture Mechanics in Design, Alexander Blake
103. Pump Characteristics and Applications, Michael W. Volk
104. Optical Principles and Technology for Engineers, James E. Stewart
105. Optimizing the Shape o f Mechanical Elements and Structures, A. A.
Seireg and Jorge Rodriguez
106. Kinematics and Dynamics o f Machinery, Vladimir Stejskal and Michael
Valasek
107. Shaft Seals for Dynamic Applications, Les Horve
108. Reliability-Based Mechanical Design, edited by Thomas A. Cruse
109. Mechanical Fastening, Joining, and Assembly, James A. Speck
110. Turbomachinery Fluid Dynamics and Heat Transfer, edited by Chunill Hah
111. High- Vacuum Technology: A Practical Guide, Second Edition, Revised
and Expanded, Marsbed H. Hablanian
112. Geometric Dimensioning and Tolerancing: Workbook and Answerbook,
James D. Meadows
113. Handbook o f Materials Selection for Engineering Applications, edited by
G. T. Murray
114. Handbook o f Thermoplastic Piping System Design, Thomas Sixsmith and
Reinhard Hanselka
115. Practical Guide to Finite Elements: A Solid Mechanics Approach, Steven
M. Lepi
116. Applied Computational Fluid Dynamics, edited by Vijay K. Garg
117. Fluid Sealing Technology, Heinz K. Muller and Bernard S. Nau

Additional Volumes in Preparation

Friction and Lubrication in Mechanical Design, A. A. Seireg

Machining o f Ceramics and Composites, edited by Said Jahanmir and M.

Ramulu

Heat Exchange Design Handbook, T. Kuppan

Couplings and Joints: Second Edition, Revised and Expanded, Jon R.

Mancuso

Mechanical Engineering Software

Spring Design with an IBM PC, Al Dietrich

Mechanical Design Failure Analysis: With Failure Analysis System Soft­

ware for the IBM PC, David G. Ullman
 FLUID
S6AUNG
T6CHNOLOGV
PAINCIPLCS AND APPLICATIONS

H€INZ K. M Ull€R
Consultant
Waiblingen, Germany

R€RNRRD S. NAU
Consultant
Dunstable, England

M a r c el D ekker N ew Yo rk
Library of Congress Cataloging-in-Publication Data

Muller, Heinz K.
Fluid sealing technology principles and applications / Heinz K. Muller, Bernard S. Nau.
p. cm.—(Mechanical engineering: 117)
Includes bibliographical references and index.
ISBN 0-8247-9969-0
1. Sealing (Technology) I. Nau, B. S. (Bernard Stanley). II. Title. III. Series:
Mechanical engineering (Marcel Dekker, Inc.): 117.
TJ246.M85 1998
621.8'85—dc21 98-4223
CIP

The use o f registered names, trade names, etc. in this book, whether or not they are specifically in­
dicated, does not mean, in view o f trademark legislation and protection, that such names are to be
regarded as free or to be used freely. Some seals and sealing systems described in and/or depicted
in this book are legally protected by patent applications, patents, or trademarks.

This book is printed on acid-free paper.

Headquarters
Marcel Dekker
270 Madison Avenue, New York, NY 10016
tel: 212-696-9000; fax: 212-685-4540
Eastern Hemisphere Distribution
Marcel Dekker AG
Hutgasse 4, Postfach 812, CH-4001 Basel, Switzerland
tel: 44-61-261-8482; fax: 44-61-261-8896
W orld Wide Web
http://www.dekker.com
The publisher offers discounts on this book when ordered in bulk quantities. For more
information, write to Special Sales/Professional Marketing at the headquarters address
above.
Copyright © 1998 by Marcel Dekker All Rights Reserved.
Neither this book nor any part may be reproduced or transmitted in any form or by any
means, electronic or mechanical, including photocopying, microfilming, and recording,
or by any information storage and retrieval system, without permission in writing from
the publisher.
Current printing (last digit):
10 9 8 7 6 5 4
PRINTED IN THE UNITED STATES OF AMERICA
 Preface

In living creatures, sealing is realized in many different ways, for example, by

diaphragms, butterfly valves, or the clotting of blood. Such mechanisms, in the
figurative sense, are to be attributed to static sealing “technology.” However,
in biological evolution there are no rotors or hydraulically actuated rods. A l­
though evolution has developed inconceivably complex systems, a continuously
rotating or sliding organ has not appeared. This could be attributed to the in­
ability of biological evolution to develop dynamic seals with adequate tightness,
which is the prerequisite for nutrition and the transmission of signals to the con­
nected organs. Man invented sliding pistons and then developed a vast com ­
plexity of rotating and reciprocating machinery. During this process inventors
often recognized that a new idea, however excellent in principle, could not be
put into effect because a sealing problem could not be solved, either technically
or economically.
The desire to absolutely avoid leakage proves an unattainable goal not only
because of physical problems but also because of economic demands. Com­
promises are indispensable but the ubiquitous oil puddles in our driveways con­
stitute visible evidence that we need to work further on such compromises. On
the other hand, under certain circumstances even relatively high leakage rates
may be considered harmless and tolerable if it is simply air or water vapor. Less
harmless leakage, however, may require very costly measures for exhausting,
draining, and post-processing the leaking fluid. The requirement to seal moving
iv Preface

shafts, pistons, and rods of various machinery in the course of technical evolu­
tion has resulted in a vast variety of sealing systems that may represent the
highest diversity among all elementary machine components of mechanical en­
gineering. The sealing systems that dominate the seal market with regard to
production volume and turnover— rotary shaft seals, hydraulic seals, and me­
chanical seals— still hold many problems for both the seal manufacturer and the
application. In the course of m odem technical development, with its demands
to cope with constantly rising pressure, temperature, and sliding speed, it is par­
ticularly the dynamic seal that may be a stumbling block for the designer. Fail­
ing seal designs sometimes clearly reveal that the designer was not familiar
with modem, proven solutions of a particular sealing problem.
W hen a seal fails, the resulting costs may become very high. The repair costs
can be several hundred times or even several thousand times higher than the
price of the failed seal. Unfortunately, this fact is sometimes not realized when
seals are selected and installation details are designed. A sudden failure of a seal
can result in a fatal catastrophe. The spectacular disaster of the Challenger
space shuttle revealed the dangers connected with a faulty seal design. The
shaft seals of process pumps and compressors handling toxic or radioactive flu­
ids are particularly critical. In addition to the high cost of repair and temporal
shutdown of a chemical, petrochemical, or nuclear plant, the failure of such
seals, in the case of releasing toxins into the environment, directly threatens
human health and life.
Fluid sealing technology— the design, manufacture, and operation of seals and
sealing systems— is based on many disciplines as diverse as fluid mechanics, lu­
brication, friction, wear, heat transfer, properties of materials, and mechanical de­
sign. The physical processes in the seal interface are governed by molecular
interaction, the geometry of the seal faces, a proper balance of forces; by heat
conduction, heat transfer, and phase changes; and by many material properties.
Sometimes the interrelation of influences is of such complexity that it seems
hopeless to reliably predict the operational behavior of the seal by straightfor­
ward analytical calculation. Engineers are expected, however, to provide a reli­
able solution or else to demonstrate why the requirements defined cannot be met
by the state of the art. In many cases the expert knowledge of seal companies
helps, but, as a rule, profound knowledge is restricted to the particular seals man­
ufactured or distributed by the seal company. Because of the diversity of fluid
sealing technology as a whole, experts in one field of sealing often lack basic
knowledge in other fields. Moreover, in regard to product liability, the informa­
tion seal companies give on the operational behavior of a seal in a particular ap­
plication is normally cautious and tentative, and given with the provision that the
user has the responsibility to proof the seal’s reliability under actual operating
conditions. Furnishing such proof can be expensive, especially when it requires
Preface v

long-term tests. The designer, therefore, should have knowledge as broad as pos­
sible of the essentials of m odem fluid sealing technology.
This book considers the fundamental physical basis of seals and presents ex­
pert knowledge of all major types of seals, seal materials, and sealing applica­
tions. The mathematical background offered here will enable the reader to
discern the axiomatic basis of formulas that allow one to assess the relative sig­
nificance of the parameters involved in leakage or friction, for example. The
book, of course, cannot replace professional discussions between manufacturers
and users of seals but it will enable the user to put determined and purposeful
questions to the seal manufacturer.
The book was carefully designed to meet the needs of design engineers,
plant and maintenance engineers, project engineers, draftsmen, technical sup­
port staff, and technical marketing staff. This book will be of help in design­
ing, selecting, and operating seals and sealing systems to meet the technical and
economic demands of modem industry.

Heinz K. M uller
Bernard S. Nau
 Contents

Preface iii
I. Introduction to Fluid Sealing Technology
1. Terminology and Concepts 1
2. Polymeric Materials 17
3. Sealing M echanism of Elastomer Seals 39
4. Flow in Thin Films: Incompressible 55
5. Flow in Thin Films: Compressible 67
II. Rotary Seals: Rubber and Plastic
6. Rotary Lip Seals 73
7. Rotary Lip Seals for Pressure 101
III. Reciprocating Seals
8. Hydraulic Seals 111
9. Pneumatic Seals 161
10. Piston Rings 175
IV. Flexible Packings: Rotary and Reciprocating
11. Compression Packings 199
V. Mechanical Seals
12. Mechanical Seal Principles 215
13. M echanical Seal Designs 273
14. M echanical Seal Face Materials 293
 Contents

VI. Noncontact Shaft Seals

15. Throttling Seals for Liquids 309
16. Clearance Seals for Gases 321
17. Gas Film Seals 335
18. Centrifugal Seals 349
19. Screw Seals 359
20. Slingers and Collecting Labyrinths for Liquids 369
21. Magnetic Liquid Seals 381
VII. Static Seals, Bellows, and Diaphragms
22. Hermetic Seals 393
23. Gasketed Joints: Structural Aspects 409
24. Gaskets in Flanged Joints 421
25. Static Seal Applications 449
Index 475
 1
Terminology and Concepts

1 THE SEALING PROBLEM

The generalized problem of sealing betw een the m oving components of a
m achine is represented diagram m atically in Fig. 1 and can be stated as the
control o f flu id interchange between two regions sharing a common bound­
ary. In “dynam ic” sealing situations there is significant relative sliding m o­
tion at the boundary, the m otion being predom inantly parallel to the
boundary. In “static” sealing situations such motion is essentially absent. E x­
amples of dynamic seals include rotary m echanical seals, rubber lip seals,
labyrinth seals, and piston rings. Static seals include gaskets, metal O-rings,
and sealants.
The boundary is normally cylindrical, e.g. part of a reciprocating or rotat­
ing machine element such as a shaft, piston, or rod; but it can also be a plane
annular end face. Overriding structural, design, or tolerance considerations
often necessitate a relatively large gap between the stationary and moving sur­
faces, which cannot therefore perform the sealing function unaided. The gap
can be reduced to suitably small dimensions by introducing additional compo­
nents for this purpose, i.e. a “seal.” Fluid flow through the gap may be driven
by a variety of physical processes, for example a pressure gradient, concen­
tration gradient, temperature gradient, velocity gradient (including viscous
shear), m olecular interaction (adhesion and cohesion) or body forces such as
gravitation, inertia, or electromagnetic forces.

1
2 Chapter 1

region 2

fluid 2
--
moving boundary @ ^—

Figure 1 The basic sealing problem.

2 FLOW AND LEAKAGE

Any clearance, however small, permits the passage of fluid molecules in either
direction. Sealing is therefore a matter of degree; it is never absolute. The terms
“leaking” and “sealing” are often used in a loose colloquial way, but in serious
engineering they must be defined in a way appropriate to the context. Leakage
is normally considered to be fluid flowing outwards past the seal to the region
surrounding the machine being sealed. However, under some circumstances
leakage may he ambient fluid passing inwards, past the seal, to mix with the
fluid inside the machine and may be pumped inwards by the moving compo­
nents. Depending on the application, contamination caused by such inward
leakage may or may not be acceptable.
The following modes of leakage will now be distinguished.
Diffusion: The size of a typical gas or vapor molecule is less than one
nanometer (10-9 m); it can therefore diffuse through the smallest engineering
gaps, even pores in a machine casing or seal component. Even a glass sphere
containing a vacuum slowly fills with helium, which diffuses through the wall
from the surrounding air! Very costly sealing systems are therefore required if
leakage of hazardous gas or vapor is to be controlled to a very high standard.
However, if the fluid to be sealed does not create an environmental nuisance—
e.g. compressed air or steam— relatively large leakage rates may be tolerated
and low-cost sealing systems can be used. M ost industrial applications fall
somewhere between these extremes.
The diffusion process is driven by concentration gradient, as random molec­
ular motion tends to level out differences in concentration.
Convection: Air flow induced by the rotating parts of a seal can move fine
liquid droplets outwards through a sealing gap, especially in noncontacting seals.
Equally, rotating parts can induce inward air flow, which transports dust particles
or liquid droplets from the environment into the space being sealed. Convective
leakage is very sensitive to the detailed geometry in and around the sealing gap.
Terminology and Concepts 3

Pressure flow: This is the leakage mode that is usually of most concern in
practice. Liquid-phase leakage due to a pressure difference is frequently appar­
ent as dripping or flowing liquid. For nonhazardous fluids, sealing systems are
defined as technically tight if there is no liquid leakage. Under this definition,
a thin liquid meniscus at the atmospheric side of the seal is not normally con­
sidered to be leakage even though there may be evaporation to atmosphere
(‘vapor em ission’). The leak rate due to pressure flow increases with the pres­
sure gradient and decreases with the viscosity of the fluid, if nothing else
changes.
Pressurized gases, or vapor, also leak in response to pressure difference.
Gas or vapor-phase leakage also results if a volatile liquid changes phase as it
passes through the sealing gap. The phase change may be due to the reducing
pressure or frictional heating, or both. The large increase in volume as the
phase changes has the useful effect of throttling the flow and so reducing the
mass flow rate.
At the low leakrates of concern for toxicity or pollution control, gas or vapor
leakage may escape notice unless sensitive instrumentation is used for its detec­
tion, e.g. a hydrocarbon detector sensitive to concentrations of parts per million
(ppm). Currently such detectors use either flame ionization or thermal conduc­
tivity sensors.
Some recent leakage control regulations (e.g. in the USA) specify concen­
tration limits adjacent to the seal, such as ‘100 ppm ’, ‘1000 ppm ’, etc. The con­
centration is measured using a detector of the type referred to above. Such
concentration measurements are not absolute as: (1) the detector does not col­
lect all the leakage escaping from the seal and (2) the concentration read by the
instrument depends on the sampling flow rate, air + vapor, drawn into the in­
strument. If an enclosure is fitted, surrounding the seal, then it is possible to
trap all leakage and obtain an absolute measurement (g/s) from the rate of
change of concentration.

3 SEAL COMPONENTS AND FUNCTION

In this chapter we discuss seal design and function in a very generalized way,
to illustrate how concepts apply widely to different types of seal. In later chap­
ters we give detailed attention to specific types of seal.
The main components of a simple conceptual seal are illustrated in Fig. 2.
There is a movable seal body SB and a moving surface M S, which moves rel­
ative to the seal body. Between these is the primary sealing interface P, formed
between the mating seal faces. The clearance between the seal faces at P is the
“seal gap” or “film thickness.” This clearance is very small by ordinary engi­
neering standards, so a convenient unit of measurement is the jam (i.e. m i­
crometer or micron: 0.001 mm or 10~6 m).
4 Chapter 1

I to IV: potential m k of symrnetiy

HI || _ _ II
retention seal body SB IV
device R
| closin / housing H
J force secondary
^ sealing
’seals I interfaces
fluid

moving
surface HfH

potential motions
[ primary sealing Interface P IV

Figure 2 Components of a dynamic seal (schematic).

A secondary sealing interface S restricts leakage between the seal body and
the housing H; the closing force F minimizes the clearance at the primary and
secondary sealing interfaces. A retention device R prevents body slipping due
to friction with the moving wall. In more complex sealing systems, S is actu­
ally established by a second sealing body.
The orientation of the sealing interface depends on the seal type and defines
the geometrical form of the primary sealing interface (Fig. 2):

Axis (Fig. 2) Seal type Seal face geometry

I shaft-seal cylindrical
II piston-seal cylindrical
III end-face seal (int. pres.) plane
IV end-face seal (ext. pres.) plane

Since the seal gap is small compared with the diameter of the seal, a two-
dimensional model is sufficient when discussing flow in the primary sealing
interface. Figure 2 shows appropriate rectangular coordinates. The relative mo­
tion at the sealing interface then depends on the seal configuration, as follows:

Motion Seal configuration

x direction rod seals and piston seals

z direction shaft seals
Terminology and Concepts 5

Secondary motion: Incidental secondary motion in the y direction, i.e. nor­

mal to the sealing interface, can cause serious practical difficulties. In particu­
lar it may result in accidental contact between moving parts due to shaft runout
or eccentricity. To minimize such problems the seal body must have a degree
of freedom to respond to the secondary motion, at the same time maintaining
the sealing function at this secondary sealing interface.

4 THE PRIMARY SEAL

The primary seal will now be considered in more detail.
Among the diversity of sealing systems the form and dimensions of the seal
gap varies greatly. The film thickness ranges from about 0.1 pm up to 1 mm.
However, the absolute film thickness is not always a good indicator of the
leakage rate to be anticipated. Depending on seal design, a small clearance
may leak while a large clearance may be technically tight. In considering this
further, it is convenient to consider separately two categories of seal: those
with a preset, fixed, clearance and those where the face separation is dynami­
cally controlled.
Preset sealing gap: W hen the leakage path is bounded by rigid surfaces
positively located, relative to one another, a preset sealing gap is formed. The
form of this gap is defined by the relative position and the shape of the seal­
ing elements, for example by the difference in diameter of concentric cylin­
drical elements. Examples of such seals include throttle bushes— which have
a predictable flow rate— labyrinths, and splash collectors. Fixed-gap seals suf­
fer minimal wear over long periods of service but the flow rate is usually rel­
atively high and is sensitive to the relative eccentricity of the gap-forming
components. Fixed-bush seals typically have a practically achievable minimum
gap of about 10 jam (0.01 mm). In labyrinth seals and splash collectors the
clearance is commonly in excess of 0.3 mm. W hen sealing pressurized fluid,
leakage may be considerably reduced if the seal is designed to reduce the film
thickness automatically as pressure increases. Such dynamically controlled
seals are considered next.
D ynam ically controlled sealing-gap: In contact seals the leakage path is
completely closed by solid contact between the mating surfaces, at least so long
as the sealing faces are stationary. But as they begin to slide, relative to each
other, various factors cause the sealing surfaces to separate slightly as an inter­
facial fluid film forms. Such dynamic fluid films usually have thicknesses in
the range 0.1 to 1 pm, i.e. comparable to the roughness and residual waviness
(out-of-flatness) of the sealing surfaces. The film dimension in the direction of
leakage flow is much greater than its thickness, e.g. about 0.2 mm in elas-
tomeric rotary lip seals and 2 mm in mechanical seals. The aspect ratio of the
film is therefore extreme, 1000:1 to 2000:1. Scaled up to the size of a soccer
6 Chapter 1

pitch, the film would be only 5 to 10 cm thick, which would also be the height
of deviations from perfect flatness of the surface.
Given such a microscopic size scale, one might wonder whether fluid flow
can be calculated using conventional hydrodynamic laws. But since oil and
water molecules, for instance, are no more than about one nanometer (0.001 pm)
across, fluid molecules are still very small compared to the thinnest dynamic
films. Even in a 0.5 pm film, 500 oil molecules could be placed on top of each
other across its thickness. Hence even in such very thin films the laws of fluid
continua still apply. W hen discussing various types of seal in more detail use
will be made of this convenient result.
Only when the mating surfaces approach within a few molecules does
boundary interaction have to be taken into account, this is the “boundary lubri­
cation” regime where surface chemistry effects dominate.
For both fixed-clearance seals and dynamic-clearance seals the theoretical
basis for the calculation of flow and film-pressure distribution is presented in
Chapter 4. But two important concepts will be introduced here:
Hydrostatic pressure: Fluid sealed at pressure p\ penetrates between the
mating seal faces to form a film similar to that between the faces of a hydrostat­
ic bearing. As the fluid flows towards the outer edge of the film the hydrostatic
pressure drops progressively until at the outer edge it reaches ambient pressure
P 2 , Fig. 3. The shape of this hydrostatic pressure distribution depends on the film
profile in the flow direction, which may be parallel, converging or diverging; in
Fig. 3 an arbitrary shape is shown. The importance of the hydrostatic pressure is
that, by supporting some or all of the load tending to bring the sealing faces into
contact, it can reduce or even eliminate solid contact between the seal faces.
Hydrodynamic pressure: Due to the viscosity of the fluid in the film be­
tween the sealing faces, it is drawn along by the moving seal surface, just as in
a hydrodynamic bearing (e.g. a plain journal bearing). The result of this is that

hydrostatic
/ pressure
\ profile

Figure 3 Hydrostatic pressure profile in a nonuniform sealing gap.

Terminology and Concepts 7

the fluid pressure increases in regions where the film converges, lifting the faces
apart, Fig. 4. For example, in mechanical seals and elastomeric seals, the m at­
ing seal faces can be separated by a hydrodynamic fluid film maintained in this
way. Although the seal faces may be in contact when at rest, they can separate
when in motion, due to the hydrodynamic effect.
In a seal having a low modulus face, the elastic deflection of the face by the
fluid film pressure (hydrostatic plus hydrodynamic) also plays an important
role. The deflected shape changes the film pressure, which changes the deflec­
tion, and so on! The film shape and film pressure adjust to find a mutually com ­
patible combination. This will be considered further in a later chapter.
Tracking, inertia and damping: Although there may be sufficient load on
the seal to close the gap between sealing faces at rest, a seal in motion may be
unable to track rapid gap fluctuations, such as those due to structural vibration,
shaft runout, or errors in surface form. In this situation the sealing gap increases
locally at least. This behavior is affected by the inertia of the seal body, and
any film or external damping forces; also, with polymeric materials, viscoelas­
ticity of the material can cause a phase lag in the recovery of the surface after
displacement.
When tracking is not perfect, fluid can be sucked in as the film increases
and squeezed out as it closes. This ingress and egress of fluid may be in dif­
ferent directions, due to asymmetry of the film geometry, causing a net trans­
fer of fluid through the seal. This breathing or pumping effect can actually
cause fluid to flow against the externally applied pressure gradient, an effect
known as inward-pumping. This effect can be particularly troublesome if there
is liquid on both sides of the seal, as in submerged equipment.

P fluid SB

residual roughness, waviness

hydrodynamic pressure profile

Figure 4 Hydrodynamic pressure profile in a sealing gap, due to shear flow between
moving nonparallel surfaces (e.g. due to residual waviness or roughness).
5 Chapter 1

* elasticity
* surface roughness
* pressure * chemical resistance
* temperature / * wear resistance
* density * porosity of
* vapour pressure
* viscosity ^ s e a l body \ and
* ph-value of
| movjngpUrface |
fluid |

geometry of leakage
sealing interface affecting friction
wear

Figure 5 Some factors affecting seal performance.

Factors affecting seal function: Figure 5 summarizes some of the factors

affecting the sealing interface. Note that the chemical and physical properties
of the sealed fluid and those of the seal itself are just as crucial as the details
of the motion of the components. Quantitative aspects of film formation, leak­
age, friction, and wear will be treated in chapters dealing with specific types
of seal.

5 THE SECONDARY SEAL

In many seals there are one or more secondary leakage paths, additional to the
leakage path through the primary sealing gap. To control such leakage, sec­
ondary sealing elements are incorporated, for example various types of auxil­
iary sealing ring, bellows, or membrane (Fig. 6). W hilst controlling leakage
these elements must also accommodate secondary motions, slight movements
of the primary seal as it adjusts to cyclic or transient shaft displacements, ther­

ciearanee membrane
(bellows)
cl
interference
seal

Figure 6 Examples of secondary seal concepts.

Terminology and Concepts 9

mal expansion effects, etc. The sliding surface of a contacting secondary seal
may be termed the slip-face of the secondary seal.

6 CLOSING FORCES
Preload: Seals having a dynamically controlled sealing gap must closely track
the counterface, often working against inertia of the sealing body and friction
at the secondary seal (see above). A preload is therefore necessary to ensure
sealing at the primary sealing interface regardless of fluid pressure. In general,
the total specific load (= closing force -f sealing interface area) should not be
less than the sealed fluid pressure. A separate source of preload may be required
for the secondary seal. In Fig. 2 the closing forces are shown as a combined
closing force F.
To ensure these functions, even if additional loading is supplied by fluid
pressure, a preloading force must be designed into the seal, Fig. 7. For this pur­
pose, mechanical seals are equipped with compression springs (a) or a bellows,
which also acts as a spring. Elastomeric seals can be preloaded by the combined
effect of dimensional interference and elastic deformation of the seal itself (b).
Soft packing rings in a gland (“stuffing box”) is precompressed axially and re­
lies on the Poisson effect to produce lateral expansion and hence a closing force
acting on the sealing interface.
Pressure load: To allow the preload to be kept reasonably low, the seal
is often designed so that fluid pressure supplem ents the preload, whilst m ain­
taining the specific load at a value greater than the sealed pressure. This prin­
ciple of automatic sealing is very effective, particularly at high fluid pressures.
Figure 8 shows how this fluid-based component of specific load can be con­
trolled by changing the geometry of the seal. It becomes smaller as the active
fluid-loaded area A\ is reduced in relation to the sealing interface area A. The
ratio k = A jlA is the area ratio or balance ratio of an automatic seal, such as
a mechanical seal. The specific load can be tailored by adjusting the position

a) separate b) elastic seal c) plastic seal

spring load with interference with axial load

Figure 7 Examples of preloading concepts.

10 Chapter 1

Figure 8 Control of specific load p m, acting on sealing interface, by varying the

pressure area ratio B = A\/A (schematic).

of the secondary seal, radially in a mechanical seal; this determines the value
of the active fluid-loaded area A\.

7 TORQUE TRANSMISSION
Torque is transmitted from a rotating shaft, through rotating and static compo­
nents of the seal, to the stationary seal housing. The stationary part of a seal
must therefore be prevented from rotating. Equally, the rotating assembly must
be designed to allow transmission of the drive torque to the primary sealing
face without interfering with freedom of movement at the secondary seal. For
this purpose a positive device is preferred, such as a pin-and-slot, in both ro­
tating and stationary parts of the seal. In mechanical seals, reliance is some­
times placed on the friction of an elastomeric component or torsional stiffness
of a pre-load spring.

8 IMPLEMENTATION OF BASIC CONCEPTS

In real sealing systems the individual functions of the basic elements described
above, and in Fig. 2, are achieved in many different ways. Fig. 9 shows exam­
ples from sealing systems described in subsequent chapters. All have a seal
body SB, a moving surface M S, a primary sealing interface P, a secondary seal­
ing interface S, and if necessary a retention (torque transmission) device R.
The simple piston ring seal in Fig. 9a quite closely resembles the concep­
tual seal in Fig. 2. The outspringing piston ring creates its own preload force,
and gas pressure in the groove acts on the periphery ( A \ in Fig. 8) automati­
cally supplementing the preload to close the primary sealing gap. A secondary
Terminology and Concepts 11

SB

p r *vio p iviS
a) piston ring b) O-ring c) coaxial seal

H SB1 f S

SI

P MS MS P s' P SB2
d) rotary e) floating f) radial face
lip seal bushing seal (mech, seal)

SB
,S

= 7 T=
p MS
g) stuffing box seal h) labyrinth seal

Figure 9 Equivalent components of several types of seal (schematic). SB = sealing

body; P = primary sealing interface; S = secondary sealing interface; R = retention
device; MS = moving surface (shaft, rod, piston).

sealing interface is located between the piston ring and the side wall of the
groove.
The elastomeric O-ring in Fig. 9b is installed in a housing groove with di­
mensional interference, the O-ring section being thicker than the groove. Thus
the preload force is created by elastic deformation. A secondary seal is formed
by contact with a side wall of the groove, with automatic loading by the fluid
pressure. A dynamic sealing gap may develop if there is sliding motion (axial
or rotary) at the primary sealing interface.
The body of the coaxial seal in Fig. 9c consists of a reinforced PTFE ring
having initial interference on the shaft. The closing force is increased by the
preload applied by an elastomeric clamping ring, which also acts as the sec­
ondary seal. Again, sliding of the coaxial seal against the rod creates a dynamic
sealing interface.
The sealing lip of the elastomeric rotary shaft seal— Fig. 9d— is installed
with initial dimensional interference at the surface of the shaft. The primary
sealing interface is the narrow contact band between lip and shaft. The closing
force is created by elastic flexure of the beam section carrying the lip, plus the
force exerted by a garter spring. The secondary seal, as well as retention in the
12 Chapter 1

housing, are provided by the shrink fit of an L-shaped elastomer-covered stiff­

ening ring.
In the floating bushing seal in Fig. 9e the clearance due to the difference in
diameter of a rigid sealing ring and the shaft, forms a primary sealing interface.
A pin prevents rotation of the sealing ring relative to the housing. Springs pre­
load the bush towards one end of the housing, thereby applying a closing force
to the O-ring secondary seal.
The mechanical seal (radial face seal) in Fig. 9f is a more complex sealing
system. A rotating ring (SB1) is preloaded by springs and driven by pins to
form a dynamic sealing interface in conjunction with the stationary ring (SB2),
again held by antirotation pins. Both rings have, in this example, elastomeric
O-rings as secondary seals. Thus the dynamic sealing interface in a mechanical
seal is formed between two relatively complex assemblies.
The stuffing box seal in Fig. 9g consists of a number of axially compressed
elastoplastic rings (packing rings) that bridge the space between housing and
shaft by lateral expansion (Poisson effect) to form the primary and secondary
sealing interfaces, at shaft and housing respectively.
In labyrinth seals— Fig. 9h— the labyrinth ring is often centered by springs,
to limit contact stresses when the vanes touch the counterface. Together with
the shaft, the labyrinth vanes and grooves form a dynamic sealing interface. The
end-face contact between the labyrinth base and the housing represents the sec­
ondary seal.

9 SEALING MODES
Economics often demand mechanically simple, low-cost sealing systems, which
are allowed to leak within certain acceptable limits, which depend on the ap­
plication. A dynamic seal invariably leaks in some degree. More effective tech­
nical sealing can be achieved at the expense of more complex and costly sealing
systems, such as multiple seals. In principle the following sealing modes can
be distinguished:
Passive sealing: This relies on the flow resistance of a single “passive” seal­
ing element, whether of the preset gap type or dynamically controlled. De­
pending on the application, such an element may have adequate resistance to
leakage flow, e.g. Fig. 10. This is no more than a throttling device, and the leak­
age flow rate , however small, is finite. The leak rate is predictable, being
governed by the pressure difference and the relative motion. Liquid may evap­
orate in the sealing gap because of the pressure drop and/or frictional heating,
in which case there may be no liquid-phase leakage.
Active sealing: With active sealing, relative rotary motion at the sealing in­
terface actively generates inward flow into the chamber to be sealed. This is
represented diagrammatically in Fig. 11. The seal therefore acts as a pump
Terminology and Concepts 13

© zz= + n

Figure 1 0 Passive sealing principle: preset gap between a bush and shaft, leakage
rate

whose flow wr depends on special features incorporated in the sealing faces. A

different situation exists in reciprocating applications, since piston seals and rod
seals have an inherent ability for inward pumping on alternate strokes. For ac­
tive seals in general, pumping mechanisms may depend on centrifugal forces
and/or viscous shear flow, as well as geometry.
Active pumping features PF may be built in to a seal during manufacture or
may develop in service, as the result of deformation and/or wear. Under opti­
mal conditions such inward pumping can prevent leakage. However, a stable
equilibrium condition where = wr is only attainable when sealing between
different fluid phases (liquid to gas), due to the mixing and diffusion that occurs
between fluids of similar phase. If both internal and external fluids are liquid
there is always the possibility that liquid may be pumped inwards, even against
a higher pressure.
Buffered sealing systems: Figure 12 is a diagram of a system with two
dynamic sealing gaps in series, separated by a chamber containing buffer

© PF

Figure 11 Active sealing principle: pumped return flow opposes leakage flow
m^. PF is a surface feature to produce pumping.
14 Chapter 1

buffer chamber

L i _________
P! § j pb 7
f ......... buffer / ^ambient
fluid
m
s2
msM

Figure 12 Principle of a double seal with buffer fluid.

fluid, which may be liquid or gas. The two seals do not have to be of the same
type and usually are not. For instance, the inner seal might be a mechanical
seal and the outer seal a bushing, a labyrinth, a lip seal, or another mechani­
cal seal.
With a buffered system three main options exist to ensure technically leak-
free sealing of fluid at pressure p\\

1. Flooded buffer chamber filled with a buffer liquid under pressure p b

2. Evacuation of the buffer chamber, by continuously exhausting the primary
leakage flow m i, together with inevitable inflow m 2 inwards past the outer
seal.
3. Dry-running outboard seal, which contains any gaseous or vapor emissions
from the inner seal and can take over the primary sealing function if the
inner seal should fail. The buffer fluid may be air or an inert gas, for ex­
ample, and the pressure effectively atmospheric.
The relative magnitude of the buffer pressure is a valuable design variable,
the choice of which depends on the objective but can be any of the following:

i. p b > pi
ii. p \ > p b > p ambient
hi. p b — ambient
IV. Pb < P ambient
The magnitude of the buffer pressure p b and design of the internal seal can be
chosen to generate either inflow ms1 into the sealed fluid or outflow mi, which
is mostly carried away by the circulating buffer fluid, perhaps for subsequent
treatment or disposal. Although the basic function of the buffer fluid is com­
monly to minimize escape of sealed fluid to atmosphere (arrangements i-iii) it
can also be to:
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 CHART V.

Death rates from all causes by weeks in

certain large cities of the United States
during the winter of 1918–19. (Pearl.)
 CHART VI.

Death rates from all causes by weeks in

certain large cities of the United States
during the winter of 1918–19. (Pearl.)
 CHART VII.

Death rates from all causes by weeks in

certain large cities of the United States
during the winter of 1918–19. (Pearl.)

Concerning geographical position, he did find some slight

relationship with linear distance from the city of Boston, where the
epidemic was supposed first to have begun in this country:
“This result means that the greater the linear distance of a city
from Boston the less explosive did the outbreak of epidemic
mortality in that city tend to be. This is in accord with the general
epidemiological rule that the force of an epidemic tends to diminish
as it spreads from its primary or initial focus. It must be noted,
however, that the correlation coefficient in this case is not large. It is
barely past the value where it may safely be regarded as statistically
significant. This fact may probably be taken to mean that influenza
does not follow the epidemiological law referred to with anything like
such precision as do some other epidemic diseases, notably
poliomyelitis.”
These factors having been found to be of little value in his attempt
to explain the varying curves in the 39 different cities, Pearl next
correlated the explosiveness of the epidemic mortality with deaths
from all causes, deaths from pulmonary tuberculosis, from organic
heart disease, from acute nephritis and Bright’s disease, from
influenza, from pneumonia (all forms), from typhoid fever, from
cancer and from measles, in the various cities.
“The outstanding fact which strikes one at once from this table is
the high order of the correlation which exists between the
explosiveness of the outbreak of epidemic mortality in these
communities and the normal death rate from certain causes of death
in the same communities. In the first four lines of the table the
correlation coefficients range from about 6 to more than 10 times the
probable errors. There can be no question as to the statistical
significance of coefficients of such magnitude.
“The highest correlation coefficient of all is that on the first line of
the table, for the correlation of epidemicity index with death rate
from all causes. The existence of this high correlation at once
indicates that an essential factor in determining the degree of
explosiveness of the outbreak of epidemic influenza in a particular
city was the normal mortality conditions prevailing in that city. In
the group of communities here dealt with, those cities which had a
relatively high normal death rate had also a relatively severe and
explosive mortality from the influenza epidemic. Similarly, cities
which normally have a low death rate had a relatively low, and not
sharply explosive, increase in mortality during the epidemic.
“It will also be noted that the correlation in the next three lines of
the table, namely those of pulmonary tuberculosis, so-called, organic
diseases of the heart, and chronic nephritis and Bright’s disease, are
of the same order of magnitude as that between the death rate from
all causes and the explosiveness of the epidemic outbreak of
influenza.”
 Pearl suggests that this correlation might arise because of
differences in the constitution of populations in the different cities,
or, that it was a factor of geographical position, such as the distance
from the Atlantic seaboard; but that even after correction of the
results for age distribution and geographical position, the net
correlations were actually higher than were the gross uncorrected
correlations.
“We may conclude that the most significant factor yet discovered
in causing the observed wide variation amongst these 39 American
cities in respect of the explosiveness of the outbreak of epidemic
influenza mortality in the autumn of 1918 was the relative normal
liability of the inhabitants of the several cities to die of one or
another of the three great causes of death which primarily result
from a functional breakdown of one of the three fundamental organ
systems of the animal body, the lungs, the heart and the kidneys.”
Winslow and Rogers studied the relation of the pneumonia death
rate from 1901 to 1916 to the influenza death rate of 1918 in 40 large
cities of the United States and found a distinct correlation. The cities
which have been characterized by a high pneumonia rate in the past
are precisely the cities which suffered most severally in the 1918
outbreak. This is not due especially to virulent types of pneumonia
organisms in certain sections of the country because they found this
same high correlation between total death rates and influenza death
rates, in the same cities.
They believe that these high correlations may be the result of
weaknesses in the population due to high incidences of organic
diseases and tuberculosis in earlier years, or more probably that the
correlation is an indirect one, due to the relation between each of the
factors studied and one or more underlying conditions affecting
both, such as age distribution of the population, race distribution, or
social and economic conditions in the various cities studied. Or,
finally, it may be that the high rate from tuberculosis and organic
disease in 1916 was due to these latter factors, while the high
incidence of influenza was due chiefly to proximity to the original
focus of infection. None of these explanations are considered entirely
satisfactory.
It is important to call attention to the fact that the American
observers quoted have been studying the death rate from influenza
as it is revealed in the increase of death rate from all causes, whereas
Leichtenstern and Wutzdorff, and Greenwood, in his studies in the
Royal Air Force have concerned themselves with morbidity. The
comparison of morbidity and mortality cannot be easily made as we
will show when discussing these two subjects, so we cannot conclude
that the work of Pearl and of Winslow and Rogers is at variance with
the other work quoted. The mortality curves form another
characteristic of the local spread of influenza in a community.
It is characteristic of influenza that the curve of deaths does not
fall as rapidly as does the curve for influenza cases. Thus in
morbidity curves we may expect to find a symmetrical curve for a
primary epidemic, but the mortality is rarely if ever symmetrical, the
curve rising rapidly and falling very much more slowly.
Morbidity curves in 1920 recurrences.—The curves of influenza
incidence in the recurrence of 1920 have varied in different localities,
but in certain communities where the record has been carefully
reported the epidemic appears to be characterized by a symmetrical
evolution and usually a lower death rate as compared with 1918. The
curve of incidence in the State of Massachusetts in January,
February and March, 1920, is symmetrical, if anything falling away
more rapidly than it ascends, and the duration is at least ten weeks.
The crest of the influenza wave in Massachusetts was reached on
February 4th, 5th and 6th. The peak is recorded as being in the week
of February 7th.
During the 1920 epidemic the author made a house-to-house
canvass in six representative districts in the city of Boston covering a
population of 10,000 individuals. The curve of incidence of influenza
corresponds closely with the curves for the city and the state as a
whole. The peak was reached in the same week, the week ending
February 7th, the curve was symmetrical, and the duration of the
entire epidemic was about the same. The morbidity rate for 1920,
according to our influenza census, was but half of that for 1918 for
the same population. The recurrent epidemic as we will show later
was decidedly milder (see Chart XVIII).
In Detroit the 1920 epidemic reached its peak for morbidity on the
9th day, and that for mortality on the 16th. In 1918 the morbidity
peak was not attained until the 15th day and the death peak on the
22d. The recurrent outbreak had nearly run its course within three
weeks. The following comparison between the influenza incidence in
1918 and 1920 in Detroit is taken from a report by H. F. Vaughan,
Commissioner of Health for that city. In it is shown a comparison of
the total figures on the twenty-seventh day of each of the two
epidemics:
A Comparison of the 1918 and 1920 Epidemics of Influenza in Detroit.
Statistics Made to Include Through the Twenty-seventh Day of Each
Epidemic.
Excess
Normal
Deaths influenza
influenza
from and
Influenza and
influenza pneumonia
cases pneumonia
and deaths
deaths for
pneumonia above
this season
normal
1920 (Jan.–Feb.) 11,202 1,642 197 1,445
1918 (Oct.–Nov.) 16,423 1,286 124 1,162
There had been fewer cases reported on the twenty-seventh day of
the 1920 epidemic, but these had resulted in a greater number of
deaths. On this day the recurrent epidemic had run its course, while
the 1918 one was still in full swing. On the twenty-seventh day of
1918 there were 137 influenza cases reported and 49 deaths. On this
day in 1920 there were but 24 cases and 34 deaths. Thus the second
outbreak was of shorter duration, but was more deadly while it
lasted.
Seven weeks of the 1920 epidemic in Detroit killed 0.20 per cent.
of the population, two out of every one thousand people. A similar
period at the beginning of the epidemic of 1918 witnessed the death
of 0.17 per cent. of the population. This was a smaller number, but
the epidemic at this time had not completed its course, and
continued to be more or less prevalent for twenty-one weeks,
resulting finally in the death of 0.28 per cent. of the population. The
recurrent epidemic was more highly fatal, but, being of shorter
duration, Detroit actually suffered less from it.
 Spread in Countries and Continents.
The spread of influenza is usually not limited to a single
community. Almost invariably it will travel on to another locality,
carried thither by human intercourse, and will there build again a
local epidemiologic picture more or less modified by changes in the
environment and changes in the virulence of the virus itself.
Spread, in primary waves.—Reference to the table of epidemics in
history will show that in many of the epidemics and in most of the
widespread epidemics and pandemics there appears to have been a
definite, clearcut, direction of spread from one locality to others. In
the recent literature there has appeared considerable discussion
concerning the site of origin, the endemic focus of pandemic
influenza. Briefly the question raised is as to whether there are single
or multiple foci. We will for the time ignore this perplexing question.
In either case, after the influenza virus has once attained such
communicability as to produce a pandemic it does follow a direct
course over countries and continents. This may be followed in
resumé in our table.
The disease does not at any time spread more rapidly than the
available speed of human communication between the areas affected.
If influenza does appear simultaneously in two widely separated
communities without having been brought there from a common
source it must be that it arose spontaneously from simultaneous
increase in virulence of the virus in those localities.
Influenza was prevalent in Turkestan, Western Asia, in May of
1889. It spread first to Tomsk in Siberia and did not appear in
Petrograd until the end of October. By the middle of November it had
reached Berlin and Paris, and one month later it was epidemic in
New York and Boston. Four months had been required for the
disease to reach Petrograd from Bokhara in Turkestan, while within
two months thereafter it had traveled from Russia to the United
States. In both cases the rapidity of spread corresponded to the
rapidity of the means of communication of the locality; the caravan
in Turkestan and the transatlantic liner to America. North America
was widely infected in January of 1890. So, also, Honolulu, Mexico,
Hong Kong, Japan. Ceylon first experienced the epidemic early in
February, India at the end of the month, Borneo and Australia on the
first of March, Mandalay towards the first of May, China and Iceland
in July, Central Africa in August and Abyssinia in November of 1890.
It should be noted that influenza was reported to have been
prevalent in Greenland at about the same time that it was in
Bokhara. There appears to have been no relationship between these
two outbreaks.
The spread of the pandemic may be followed also by recording the
period of greatest mortality in the various cities. This period at
Stockholm followed that at Petrograd by three weeks, and that of
Berlin by another week. The period for Paris was a week later than
for Berlin, that for London another week later, and that for Dublin
three weeks later than that for London. The week of highest
mortality in Dublin was later than that for New York or Boston.
The earlier epidemics progressed more slowly. That of 1762
prevailed in Germany in February, in London in April, in France in
July, and in America in October. In 1782 it attacked London in May,
Exeter two weeks later and Edinburgh early in June. In 1830–1832
the spread from Moscow and Petrograd through Germany required
no less than eight months to cover the latter country.
In 1872 the time required for spread from Leipzig to Amsterdam
was eighteen days, the same time that was required for a merchant in
the latter town to reach Leipzig.
There are many instances on record in which influenza has passed
by small towns in its onward course to attack a larger city and only at
some later date has the small town, not on the main line of
communication, been affected. Not only is the speed of
transportation between two communities of importance, but also the
volume of the transportation undoubtedly plays a part in the rapidity
of development in a second locality. When the disease is carried by a
vessel the first places to be attacked are the seaports and the coast
towns, be the land a continent or an island. From there it spreads
inland either rapidly or slowly according to the transportation
facilities. Formerly the question was raised whether influenza spread
in continuous lines or radiated in circles. Naturally it follows the
direct lines of communication, most of which are radially distributed
around large centers.
Leichtenstern calls attention to the fact that in the 1898 epidemic,
as in the previous one, the general direction of spread was from East
to West across Europe. This was also true of the epidemics of 1729,
1732, 1742, 1781, 1788, 1799, 1833, and 1889.
There have been in Europe two general routes followed by
pandemics, a Northern one through Russia and following the lines of
travel into Germany and through the countries of Europe; and a
Southern path coming from Asia, through Constantinople, and
entering Europe from the South, particularly Italy. With the latter,
after reaching Europe, the spread is northerly; with the former it is
southerly, and usually Spain was the country last infected.
In the United States as well, pandemic influenza usually has
spread from East to West, entering the country at or near New York
or Boston, and spreading West and South. This was true in the
autumn epidemic of 1918.
Spread in recurrences.—As a rule the manner of spread of a
secondary epidemic following the primary pandemic wave is quite
different. At a longer or shorter interval following the first spread the
disease breaks out anew in one locality or another, sometimes
simultaneously in widely separated districts. Sometimes we can
distinguish a direction of spread in the relatively small community
affected, it frequently being observed that the disease will start up in
a large city which has experienced the illness during the first
pandemic, and from there will spread to small nearby localities
which may have remained free until that time. Again, any clearcut
direction of spread may be entirely lacking. It is rare indeed that an
epidemic following another by a short interval will follow a definite
line over an entire country or continent. Such an example is,
however, to be found in the epidemic of 1833, which traveled over
Europe from Russia, spreading to the west and the south and
following practically the identical path that it had taken in 1830.
Even so it was not as widespread, for while the epidemic of 1830 had
covered the entire earth, America appears to have escaped the
second epidemic.
These disseminated and independent outbreaks are believed to
arise from endemic foci in which the virus has been deposited during
the progress of its first spread and in which the germ has survived
until it has acquired once again exalted virulence.
Usually these endemic outbreaks show in their local configuration,
a secondary type of wave. That this is not always the case we have
already indicated. The epidemic of 1732–1733 was a recurrence of
that of 1729–1730. The epidemic of 1782 had as its source the
epidemic of the years 1780–1781. The epidemic of 1788 recurred
until 1800, and was quite possibly associated with those of 1802,
1803 and 1805–1806. That of 1830 recurred in 1831–1832. Next we
have in 1833 the true pandemic originating in Russia. Recurrences of
the epidemic of 1836–1837 were found in 1838 and in 1841. Those
spreads which occurred in 1847 and 1848 found successors in the
year 1851. In 1890 the influenza outbreaks were as a rule single or
isolated and occurred in only a few places of Europe, particularly in
Lisbon, Nürnberg, Paris, Copenhagen, Edinburgh, Riga, London, etc.
It is reported that there was an unusually severe local outbreak in
Japan in August, 1890. In 1891 no general direction of spread was
manifested, yet in heavily populated areas, or states rich in lines of
communication, especially those of Europe and North America, one
could frequently trace some definite direction followed by the disease
within these relatively small territories.
A. Netter made the following observation at that time: “La Grippe
a fait des explosions simultanées ou successives, et on n’a pu en
aucune façon subordonner ces différents foyers comme cela avait été
possible en 1889–90. Il parait y avoir eu des reveils de l’épidémie sur
divers points.”
Leichtenstern describes the subsequent spread of the disease: “The
transfer of the disease by ships which played such an important role
in the first epidemic appeared to be insignificant in 1891, in spite of
the fact that influenza was present in many of the English colonies.
The third real epidemic spread of influenza was a true pandemic
which began in the autumn (October) of 1891 and lasted through the
whole winter until the spring of 1892. It involved all of Europe and
North America and spread to all other lands, but here again the
geographic distribution followed no rule. There was no spread of
influenza from a central point, no continuous spread following lines
of communication, and there was no longer an early predominance
in the cities lying on the lines of communication or in the larger cities
and commercial centers, as had been the case in the first epidemic.
In England in 1891 the first outbreaks occurred frequently in country
districts. The epidemic raged nearly four months in the northern part
before it finally reached London in May. The same was true of
Australia.
“One peculiarity of the recurrent epidemic lay in the much more
contagious character of the disease and the remarkably greater
mortality. In Sheffield the mortality in the recurrent epidemic was
greater than in the pandemic, even though the epidemic picture was
that of a primary wave.”
By way of summary of our knowledge of the primary and
secondary spread in general up to the epidemic of 1918, we may
enumerate the more important characteristics:
1. Occurrence of true pandemics at wide intervals, primarily
intervals of several decades.
2. Indefinite knowledge and conflicting evidence regarding site
and manner of origin.
3. Apparent transmission chiefly or entirely through human
intercourse.
4. Rapid spread over all countries, the rapidity roughly paralleling
the speed of human travel.
5. Rapid evolution of the disease in the communities where
outbreaks occur, with nearly equally rapid subsidence after several
weeks’ duration.
6. Apparent lack of dependance on differences of wind or weather,
seasons or climate.
7. Generally low mortality in contrast to enormous morbidity.
Variation in the incidence of disastrous secondary infections.
8. Tendency to successive recurrences at short intervals.
SECTION II.
 Influenza Epidemics Since 1893.
In this section of our report we will describe with as great accuracy
as our sources of information will permit, and in as great detail as
space will allow the events which have led up to the epidemics of
1918–20 and the various phases of the epidemics themselves. Points
of similarity with previous epidemics will be made obvious; the
differences, when of significance, will be described and studied in
detail.
 Occurrence Since 1893.
Attempts even today to determine when and where influenza has
prevailed in the world since the great pandemic of the last century
are met with great difficulties. There are several reasons for this,
chief among which is the absence of definite characteristics by which
the disease may be recognized. The isolated solitary case baffles
positive diagnosis. Nearly every year there are reports in the
literature of small outbreaks in institutions or communities in which
the clinical picture is that of epidemic influenza. As a rule the
conclusion has been in these cases that because the bacteriologic
findings did not show a predominance of Pfeiffer’s bacillus the
epidemic was not true influenza. This is particularly true in the
outbreaks in which the streptococcus predominated. Today our views
concerning the bacteriology have changed distinctly, and I believe it
is safe to say that the predominance of a streptococcus in a local
epidemic in no way rules out influenza, and that the only criteria by
which we may judge are the clinical picture and the evidence of high
infectivity, together with the epidemiologic characteristics of the
local outbreak.
Period 1893–1918.—A review of the medical literature between
1889 and 1918 gives one a certain impression which may be
summarized as follows: Between 1890 and 1900 the disease was in
general more highly prevalent in most localities than at any time
during the preceding thirty years. At no time during this decade did
the annual death rate from influenza in England and Wales fall to
anywhere near the figures that had prevailed consistently between
1860 and 1889. Between 1900 and 1915 there was a gradual
diminution, but still not to the extent that had prevailed previous to
1889. Since 1915 there appears to have been a gradual increase.
During the entire period there has been difficulty in distinguishing
between the disease in question and other respiratory tract
infections, particularly coryza, sore throat, tonsillitis, and bronchitis.
Many of the local epidemics which appear probably to have been true
influenza have had associated with them a high incidence of sore
throats. We describe this as sore throat, rather than tonsillitis,
because the clinician remarks that although the throat is sore there is
little if any demonstrable inflammation of the tonsils.
Chart VIII published by Sir Arthur Newsholme, showing the death
rate per million of population from influenza in England and Wales
gives some idea of the prevalence of the disease in the first part of the
interpandemic period in those countries. It should be remarked that
the record is for deaths from influenza only.
For records in this country it is convenient to refer to the death
rate in the State of Massachusetts; first, because the records in that
State have been carefully kept for a long period; and second, because
influenza has been carefully studied in this State during both
epidemics by two most competent epidemiologists. For the period
preceding 1889 we quote herewith from Abbott:
“For the past 45 years or more, or during the period of registration
which began with the year 1842, no epidemic of influenza has
prevailed within the State to such an extent as to have manifested
itself in any serious manner in the annual lists of deaths. An
examination of the registration reports for each year since 1842
shows that in no year were recorded more than 100 deaths from this
cause; the highest number from influenza in a single year (92)
occurred in 1857, and the least number (8) in 1884. The average
annual number of deaths from this cause reported in the State for the
period 1842 to 1888 was 38. The average number during the first
half of this period was greater than that of the last half, especially
when considered with reference to the increase of population. From
these statistics of nonepidemic influenza between the years 1842 and
1888 it appears that its greatest prevalence, or rather the years in
which the mortality from this cause was greatest, were also years of
unusual mortality from pneumonia, and in some instances from
bronchitis.”
Frost has charted the death rate per 100,000 from influenza and
from all forms of pneumonia in Massachusetts by month, from 1887
to 1916. From it he concludes that the epidemic of 1889–1892
developed in three distinct phases, the first culminating in January,
1890, the second in April and May, 1891, and the third in January,
1892. The mortality was higher in 1891 than in 1890, and still higher
in 1892, while in 1893, although there was no distinct epidemic, the
pneumonia mortality for the year was even higher than that of 1892.
Frost remarks that this corresponds to the experience in England,
and that it apparently represents the general experience in other
countries (see charts IX and X).
 CHART VIII.

Death rates per million from influenza in England and Wales from
1845 to 1917. (Newsholme.)
 CHART IX.

Monthly death rates per 100,000 from

influenza and from pneumonia in
Massachusetts from 1887 to 1916.
(Frost.)
 CHART X.

Monthly death rates per 100,000 from

influenza and pneumonia in three cities
of the United States from 1910 to 1918,
inclusive. (Frost.)

In the absence of comparable statistics for Massachusetts in 1917

and 1918, Frost has studied for those years certain other localities,
particularly Cleveland, San Francisco and New York City. The
mortality in all of these places, as well as in Massachusetts, was fairly
regular from 1910 to 1915, but in December of the latter year and
January of 1916 there occurred in New York and Cleveland a sudden
sharp rise in mortality. This was not shown distinctly in the San
Francisco curve, but it was a rise which was almost universal and
synchronous over the entire registration area. It is of interest as
indicating the operation of some definite and widespread factor, and
suggesting in this group of diseases an epidemic tendency which is
perhaps, as Frost remarks, not sufficiently appreciated. In January of
1916 he found that influenza was reported to be epidemic in twenty-
two states, including all sections of the country. The epidemic was
very mild. In the early spring of 1918 there was another sharp rise,
which we shall discuss in greater detail later.