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Naval Surface Warfare Center - Carderock Division

Bethesda, Maryland 20084-5000

CARDEROCKDIV, NSWC-94/L07

March 1994

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Machinery Systems/Programs & Logistics R&D Directorate

Research and Development Report

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Handbook of Reliability Prediction

Procedures for Mechanical Equipment

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PROPERTY OF:
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Approved for public release; distribution is unlimited.

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CARDEROCKDIV, NSWC-94/L07
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Support Systems Technology Corp.

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Naval Surface Warfare Center

Carderock Division
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P.O. Box 7945

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Handbook of Reliability Prediction Procedures for Mechanical Equipment

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1992

1993

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1994, March, 31

342

N a v a l S u r f a c e Warfare Center, Carderock Division

ATTN: Jim Chesley, Code 171
Bethesda,MD 20084-5000

COSATI CODES
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18. SUBJECT TERMS (Continue on reverse if necessary and identity by block number)
SUB-GROUP

Reliability, Maintainability, Failure Modes, Reliability Models,

Logistics Support

19. ABSTRACT [Continue on reverse if necessary and identify by block number)

This report presents an approach for determining the reliability and maintainability (R&M) characteristics of
mechanical equipment. Recognition of R&M as vital factors in the development, production, operation and
maintenance of today's complex systems has placed greater emphasis on the application of design evaluation
techniques to logistics management. An analysis of a design for R&M can identify critical failure modes and causes
of unreliability and provide an effective tool for predicting equipment behavior and selecting appropriate logistics
measures to assure satisfactory performance when the equipment is placed in its operating environment. The design
evaluation techniques program initiated by the Carderock Division of the Naval Surface Warfare Center includes a
methodology for evaluating a design for R&M that considers the material properties, operating environment and
critical failure modes at the component level. Nineteen basic mechanical components have been identified for which
reliability prediction equations have been developed. All mechanical equipment is composed of some combination
of these nineteen components and a designer can utilize the equations to determine individual component reliability
and then combine results in accordance with the system reliability diagram to determine total system reliability in its
operating environment.
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Jim Chesley
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PREFACE
Recognition of reliability and maintainability (R&M) as vital factors in the development, production,
operation, and maintenance of today's complex systems has placed greater emphasis on the application
of design evaluation techniques to logistics management. An analysis of a design for reliability and
maintainability can identify critical failure modes and causes of unreliability and provide an effective tool
for predicting equipment behavior and selecting appropriate logistics measures to assure satisfactory
performance. Application of design evaluation techniques can provide a sound basis for determining spare
parts requirements, required part improvement programs, needed redesign efforts, reallocation of resources
and other logistics measures to assure that specified reliability and maintainability requirements will be
met.
Many efforts have been applied toward duplicating the data bank approach or developing a new
approach for mechanical equipment. The statistical analysis of equipment aging characteristics, regression
techniques of equipment operating parameters related to failure rates, and analysis of field failure data
have been studied in attempts to develop a methodology that can be used to evaluate a new mechanical
design for R&M characteristics.
Many of the attempts to develop R&M prediction methodology have been at a system or subsystem
level. The large number of variables at these levels and lack of detailed knowledge regarding operating
environment have created a problem in applying the results to the design being evaluated. Attempts to
collect failure rate data or develop an R&M prediction methodology at the system or subsystem level
produce a wide dispersion of failure rates for apparently similar components because of the basic
characteristics of mechanical components.
The Design Evaluation Techniques program was initiated by the Carderock Division of the Naval
Surface Warfare Center (NSWC) and was sponsored by the Office of Naval Technology under the
Logistics Exploratory Development Program, P.E. 62233N. The methodology for predicting R&M
characteristics as part of this development effort does not rely solely on failure rate data. Instead, the
design evaluation procedures consider the material properties, operating environment and critical failure
modes at the component part level to evaluate a design for R&M. The purpose of this Handbook is to
present the proposed methodology for predicting the reliability of mechanical equipment and solicit
comments as to the potential utility of a complete handbook of reliability prediction procedures.
The development of this Handbook by the Operations Research Analysis Department (Code 17) of
CARDEROCKDIV, NSWC was coordinated with the military, industry and academia. Recent sponsors
of this effort included the U. S. Army Armament Research, Development & Engineering Center (SMCARQAH-P), Picatinny Arsenal and the Robins AFB, WR-ALC/LVRS. These sponsors have provided
iii

valuable technical guidance in the development of the methodology and Handbook. In addition, the
Armament R,D & E Center coordinated this effort with the RAMCAD (Reliability and Maintainability
in Computer Aided Design) program. Also, the Robins AFB supplied an MC-2A Air Compressor Unit
for validation testing purposes. The procedures contained in this Handbook were used to predict the
failure modes of the MC-2A and theirfrequencyof occurrence. Reliability tests were then performed with
a close correlation between predicted and actual reliability being achieved.
Past sponsors and participants in the program include the Belvoir Research, Development, &
Engineering Center; Wright-Patterson AFB; Naval Sea Systems Command; Naval Air Test Center and
Louisiana Tech University. The contractor for this effort is Support Systems Technology Corp. in
Gaithersburg, Maryland. At the conclusion of this development effort NAVAIR (AIR-5165), the
Reliability and Maintainability Branch, will assume sponsorship of the Handbook and be its point of
contact.
Previous editions of this Handbook were distributed to interested engineering personnel in industry
and DoD for comments as to the utility of the methodology in evaluating mechanical designs for
reliability. The comments have been extremely useful in improving the prediction methodology and
contents of the Handbook. Every effort has been made to validate the equations presented in this
Handbook. However, limited funding has prevented the extensive testing and application of prediction
procedures to the design/procurement process for full validation of the approach. Therefore, users are
cautioned that this Handbook is the result of a research program and not an official DoD document.
Several companies have chosen to produce software packages containing the material in this
Handbook. The commercial use of preliminary information which is a part of a research project prior to
complete evaluation of the methodology is premature. The Navy has not been and is not now in any way
connected with the commercial ventures to produce software packages of unproven technology and do not
endorse their use. Interested users of the technology presented in this Handbook are urged to contact the
Carderock Division of the Naval Surface Warfare Center to obtain the latest available information on
mechanical reliability.
Comments and recommended changes to the Handbook should be addressed to:
James C. Chesley
Code 171
Carderock Division
Naval Surface Warfare Center
Bethesda, MD 20084

William A. Whitacre
Code 171
Carderock Division
Naval Surface Warfare Center
Bethesda, MD 20084

IV

CONTENTS
1
1.1
1.2
1.3
1.3.1
1.3.2
1.3.3
1.3.4
1.4
1.5

INTRODUCTION
CURRENT METHODS OF PREDICTING RELIABILITY
DEVELOPMENT OF THE HANDBOOK
EXAMPLE DESIGN EVALUATION PROCEDURE
Poppet Assembly
Spring Assembly
Seal Assembly
Combination of Failure Rates
VALIDATION OF RELIABILITY PREDICTION
EQUATIONS
SUMMARY

1-1
1-1
1-3
1-5
1-6
1-7
1-9
1-10

DEFINITIONS

3
3.1
3.2
3.2.1
3.2.2
3.2.3
3.3
3.3.1
3.3.2

SEALS AND GASKETS

INTRODUCTION
GASKETS AND STATIC SEALS
Failure Modes
Failure Rate Model Considerations
Failure Rate Model for Gaskets and Static Seals
DYNAMIC SEALS
Failure Modes
Failure Rate Model

3-1
3-1
3-2
3-2
3-2
3-6
3-12
3-13
3-14

4
4.1
4.2
4.3
4.3.1
4.3.2
4.3.3
4.3.4
4.3.5
4.3.6
4.3.7
4.3.8
4.3.9
4.3.10
4.3.11
4.3.12
4.4
4.4.1
4.4.2
4.4.3
4.4.4

SPRINGS
INTRODUCTION
FAILURE MODES
FAILURE RATE CONSIDERATIONS
Static Springs
Cyclic Springs
Modulus of Rigidity
Modulus of Elasticity
Spring Index
Spring Rate
Shaped Springs
Number of Active Coils
Tensile Strength
Corrosive Environment
Manufacturing Processes
Other Reliability Considerations for Springs
FAILURE RATE MODELS
Compression Springs
Extension Springs
Torsion Springs
Curved Washers

4-1
4-1
4-1
4-2
4-2
4-3
4-3
4-3
4-3
4-3
4-3
4-4
4-4
4-4
4-4
4-5
4-5
4-5
4-8
4-8
4-10

1-11
1-14
2-1

CONTENTS

4.4.5
4.4.6
4.4.7
4.4.8

Wave Washer
Belleville Washer
Cantilever Spring
Beam Spring

4-12
4-13
4-15
4-17

5
5.1
5.2
5.3

SOLENOIDS
INTRODUCTION
FAILURE RATE OF ARMATURE ASSEMBLY
FAILURE RATE OF CONTACTOR ASSEMBLY

6
6.1
6.2
6.3
6.3.1
6.3.2
6.3.3
6.3.4
6.3.5
6.3.6
6.3.7
6.3.8
6.3.9
6.4
6.4.1
6.4.2
6.4.3
6.4.4
6.4.5
6.4.6
6.5

VALVE ASSEMBLIES
INTRODUCTION
FAILURE MODES OF VALVE ASSEMBLIES
FAILURE RATE MODEL FOR POPPET ASSEMBLY
Fluid Pressure
Allowable Leakage
Surface Finish
Fluid Viscosity
Contamination Sensitivity
Seat Stress
Physical Dimensions
Operating Temperature
Other Considerations
FAILURE RATE MODEL FOR SLIDING ACTION VALVES . . .
Fluid Pressure
Allowable Leakage
Contamination Sensitivity
Fluid Viscosity
Spool-to-Sleeve Clearance
Friction Coefficient
FAILURE RATE ESTIMATE FOR HOUSING ASSEMBLY

7
7.1
7.2
7.2.1
7.2.2
7.3
7.3.1
7.3.2
7.3.3
7.3.4
7.3.5
7.4
7.5

BEARINGS
INTRODUCTION
BEARING TYPES
Rotary Motion Bearings
Linear Motion Bearings
DESIGN CONSIDERATIONS
Internal Clearance
Bearing Race Creep
Bearing Material
Inspection Requirements
Bearing Installation/Removal
BEARING FAILURE MODES
BEARING FAILURE RATE PREDICTION
vi

5-1
5-1
5-1
5-2
6-1
6-1
6-2
6-3
6-7
6-8
6-8
6-8
6-8
6-9
6-11
6-11
6-11
6-12
6-14
6-15
6-15
6-16
6-16
6-16
6-16
7-1
7-1
7-1
7-1
7-3
7-4
7-4
7-4
7-5
7-5
7-5
7-6
7-7

CONTENTS

7.5.1
7.5.2
7.5.3

Applied Load Multiplying Factor

Lubricant Multiplying Factor
Water Contamination Multiplying Factor

7-10
7-10
7-11

8
8.1
8.2
8.2.1
8.2.2
8.2.3
8.2.4
8.3
8.3.1
8.3.2
8.3.3
8.3.4
8.3.5
8.3.6
8.4

GEARS AND SPLINES

INTRODUCTION
FAILURE MODES
Spur and Helical Gears
Spiral Bevel Gears
Planetary Gears
Involute Splines
GEAR RELIABILITY PREDICTION
Velocity Multiplying Factor
Gear Load Multiplying Factor
Misalignment Multiplying Factor
Lubricant Multiplying Factor
Temperature Multiplying Factor
AGMA Multiplying Factor
SPLINE RELIABILITY PREDICTION

9
9.1
9.1.1
9.1.2
9.2
9.3
9.3.1
9.3.2
9.3.3

ACTUATORS
INTRODUCTION
Linear Motion Actuators
Rotary Motion Actuators
ACTUATOR FAILURE MODES
FAILURE RATE MODEL FOR ACTUATOR
Base Failure Rate for Actuator
Contaminant Multiplying Factor
Temperature Multiplying Factor

9-1
9-1
9-1
9-2
9-2
9-3
9-3
9-8
9-12

10
10.1
10.2
10.2.1
10.2.2
10.2.3
10.2.4
10.2.5
10.3
10.4
10.4.1
10.4.2
10.4.3
10.4.4
10.4.5

PUMPS
INTRODUCTION
PUMP FAILURE MODES
Cavitation
Interference
Corrosion
Material Fatigue
Pump Bearing
MODEL DEVELOPMENT
FAILURE RATE MODEL FOR PUMP SHAFTS
Base Failure Rate
Shaft Surface Finish Multiplying Factor
Material Temperature Multiplying Factor
Contaminant Multiplying Factor
Shaft Displacement Multiplying Factor

10-1
10-1
10-3
10-3
10-4
10-4
10-5
10-5
10-5
10-6
10-7
10-8
10-8
10-8
10-8

Vll

8-1
8-1
8-2
8-2
8-5
8-5
8-6
8-6
8-7
8-7
8-8
8-8
8-9
8-9
8-9

CONTENTS

10.4.6
10.5
10.6

Thrust Load Multiplying Factor

FAILURE RATE MODEL FOR IMPELLERS, CASINGS,
AND ROTORS
FAILURE RATE MODEL FOR FLUID DRIVER

10-10
10-10
10-11

11
11.1
11.1.1
11.1.2
11.1.3
11.2
11.3
11.4
11.4.1
11.4.2
11.4.3
11.4.4
11.4.5
11.4.6
11.4.7

FILTERS
INTRODUCTION
Filtration Mechanisms
Service Life
Filter Failure
FILTER FAILURE MODES
FLUID CONTAMINATION EFFECTS
FILTER RELIABILITY MODEL
Base Failure Rate
Filter Differential Pressure Multiplying Factor
Cyclic Flow Multiplying Factor
Vibration Multiplying Factor
Temperature Multiplying Factor
Cold Start Multiplying Factor
Fluid Contaminant Multiplying Factor

11-1
11-1
11-1
11-1
11-1
11-2
11-4
11-6
11-8
11-10
11-11
11-11
11-12
11-12
11-13

12
12.1
12.2
12.2.1
12.2.2
12.2.3
12.2.4
12.2.5
12.2.6
12.3
12.3.1
12.3.2
12.3.3
12.3.4

BRAKES AND CLUTCHES

INTRODUCTION
BRAKES
Brake Assemblies
Brake Varieties
Failure Modes of Brake Assemblies
Brake Model Development
Friction Materials
Brake Friction Material Reliability Model
CLUTCHES
Introduction
Clutch Varieties
Clutch Failure Rate Model
Clutch Friction Material Reliability Model

12-1
12-1
12-1
12-1
12-3
12-5
12-6
12-7
12-10
12-15
12-15
12-16
12-17
12-18

13
13.1
13.2
13.3
13.4
13.5
13.5.1
13.5.2
13.5.3

COMPRESSORS
13-1
INTRODUCTION
13-1
COMPRESSOR FAILURE MODES
13-4
MODEL DEVELOPMENT
13-5
FAILURE RATE MODEL FOR CASING
13-6
FAILURE RATE MODEL FOR DESIGN CONFIGURATION . . . 13-6
Axial Load Multiplying Factor
13-7
Atmospheric Contaminant Multiplying Factor
13-10
Liquid Contaminant Multiplying Factor
13-11
vni

13.5.4

Temperature Multiplying Factor

13-14

14
14.1
14.2
14.2.1
14.2.2
14.2.3
14.3
14.4
14.5
14.5.1
14.5.2
14.5.3
14.5.4

ELECTRIC MOTORS
INTRODUCTION
CHARACTERISTICS OF ELECTRIC MOTORS
Types of DC Motors
Types of Polyphase AC Motors
Types of Single-Phase AC Motors
FAILURE MODES
MODEL DEVELOPMENT
FAILURE RATE MODELS FOR MOTOR WINDINGS
Base Failure Rate
Temperature Multiplying Factor
Voltage Multiplying Factor
Altitude Multiplying Factor

14-1
14-1
14-1
14-1
14-2
14-2
14-3
14-4
14-5
14-5
14-6
14-6
14-7

15
15.1
15.2
15.3
15.3.1
15.3.2
15.3.3

ACCUMULATORS, RESERVOIRS
INTRODUCTION
FAILURE MODES
FAILURE RATE MODEL
Seals
Springs
Piston/Cylinder

15-1
15-1
15-2
15-4
15-4
15-4
15-4

15.3.4
15.3.5
15.4
15.5
15.6
16
16.1
16.1.1
16.1.2
16.1.3
16.1.4
16.2
16.2.1
16.2.2
16.2.3
16.2.4
16.2.5
16.2.6
16.3
16.3.1
16.3.2

Valves

15-5

Structural Considerations
THIN WALL CYLINDERS
THICK WALL CYLINDERS
FAILURE RATE CALCULATIONS
THREADED FASTENERS
INTRODUCTION
Externally Threaded Fasteners
Internally Threaded Fasteners
Locking Mechanisms
Threads
FAILURE MODES
Hydrogen Embrittlement
Fatigue
Temperature
Load and Torque
Bolt and Nut Compatibility
Vibration
STRESS-STRENGTH MODEL DEVELOPMENT
Static Preload
Temperature Effects of Fasteners in Clamped Joints
IX

15-5
15-6
15-9
15-10
16-1
16-1
16-1
16-2
16-2
16-3
16-4
16-4
16-4
16-5
16-5
16-5
16-5
16-6
16-6
16-8

CONTENTS

16.3.3
16.3.4
17
17.1
17.2
17.3
17.3.1
17.4
17.5
17.6

Corrosion Considerations
Dynamic Loading

16-11
16-15

17.7
17.8
17.9

MECHANICAL COUPLINGS
INTRODUCTION
RIGID COLLINEAR SHAFT COUPLINGS
FLEXIBLE COLLINEAR SHAFT COUPLINGS
Failure Modes of Flexible Couplings
CHARACTERISTIC COUPLING EQUATION
FAILURE RATE MODEL FOR COUPLING
UNIVERSAL JOINT (INTERSECTING SHAFT
CENTERLINE COUPLING
CHARACTERISTIC EQUATION FOR UNIVERSAL JOINT
FAILURE RATE MODEL FOR UNIVERSAL JOINT
FAILURE RATE OF THE COUPLING HOUSING

17-1 ^
17-1
17-2
17-3
17-5
17-7
17-8
17-9
17-10
17-12
17-13

18
18.1
18.2
18.3
18.3.1
18.3.2
18.3.3
18.3.4
18.3.5

SLIDER-CRANK MECHANISMS
INTRODUCTION
FAILURE MODES OF SLIDER CRANK MECHANISMS
MODEL DEVELOPMENT
Bearings
Rods/Shafts
Seals/Gaskets
Rings, Dynamic Seals
Sliding Surface Area

18-1 '
18-1
18-2
18-3
18-3
18-9
18-9
18-10
18-10

19
19.1
19.2
19.3

SENSORS AND TRANSDUCERS

INTRODUCTION
TRANSDUCER FAILURE MODES
TRANSDUCER FAILURE RATES

19-1
19-1
19-4
19-4

20

REFERENCES

20-1

v-v

CHAPTER

INTRODUCTION
1.1 CURRENT METHODS OF PREDICTING RELIABILITY
A reliability prediction is performed in the early stages of a development program to support the
design process. Performing a reliability prediction provides for visibility of reliability requirements in the
early development phase and an awareness of potential degradation of the equipment during its life cycle.
As a result of performing a reliability prediction, equipment designs can be improved, costly over-designs
prevented and development testing time optimized.
Performance of a reliability prediction for electronic equipment is well supported by standardized
documentation in the form of military standards, specifications and handbooks. Such documents as
MIL-STD-756 and MIL-HDBK-217 have been developed for predicting the reliability of electronic
equipment. Development of these documents was made possible because the standardization and mass
production of electronic parts has permitted the creation of valid failure rate data banks for high population
electronic devices. Such extensive sources of quality and reliability information can be used directly to
predict operational reliability while the electronic design is still on the drawing board.
A commonly accepted method for predicting the reliability of mechanical equipment based on a data
bank has not been possible because of the wide dispersion of failure rates which occur for apparently
similar components. Inconsistencies in failure rates for mechanical equipment are the result of several
basic characteristics of mechanical components:
a. Individual mechanical components such as valves and gearboxes often perform more than one
function and failure data for specific applications of nonstandard components are seldom
available. A hydraulic valve for example may contain a manual shut-off feature as well as an
automatic control mechanism on the same valve structure.
b. Failure rates of mechanical components are not usually described by a constant failure rate
distribution because of wear, fatigue and other stress related failure mechanisms resulting in
equipment degradation. Data gathering is complicated when the constant failure rate
distribution can not be assumed and individual times to failure must be recorded in addition
to total operating hours and total failures.

I-l

INTRODUCTION

c. Mechanical equipment reliability is more sensitive to loading, operating mode and utilization
rate than electronic equipment reliability. Failure rate data based on operating time alone are
usually inadequate for a reliability prediction of mechanical equipment.
d. Definition of failure for mechanical equipment depends upon its application. For example,
failure due to excessive noise or leakage can not be universally established. Lack of such
information in a failure rate data bank limits its usefulness.
The above deficiencies in a failure rate data base result in problems in applying the failure rates to
an actual design analysis. For example, the most commonly used tools for determining the reliability
characteristics of a mechanical design result in a listing of component failure modes, system level effects,
critical safety related issues, and projected maintenance actions. Estimating the design life of mechanical
equipment is a difficult task for the design engineer. Many life-limiting failure modes such as corrosion,
erosion, creep, and fatigue operate on the component at the same time and have a synergistic effect on
reliability. Also, the loading on the component may be static, cyclic, or dynamic at different points during
the life cycle and the severity of loading may also be a variable. Material variability and the inability to
establish an effective data base of historical operating conditions such as operating pressure, temperature,
and vibration further complicate life estimates.
Although several analytical tools such as the Failure Modes, Effects and Criticality Analysis (FMECA)
are available to the engineer, they have been developed primarily for electronic equipment evaluations,
and their application to me "anical equipment has had limited success. The FMECA, for example, is a
very powerful technique for identifying equipment failure modes, their causes, and the effect each failure
mode will have on system performance. Results of the FMECA provide the engineer with a valuable
insight as to how the equipment will fail; however, the problem in completing the FMECA for mechanical
components is determining the probability of occurrence for each identified failure mode.
The above listed problems associated with acquiring failure rate data for mechanical components
demonstrates the need for reliability prediction models that do not rely solely on existing failure rate data
banks. Predicting the reliability of mechanical equipment requires the consideration of its exposure to the
environment and subjection to a wide range of stress levels such as impact loading. The approach to
predicting reliability of mechanical equipment presented in this Handbook considers the intended operating
environment and determines the effect of that environment at the lowest part level where the material
properties can also be considered. The combination of these factors permits the use of engineering design
parameters to determine the design life of the equipment in its intended operating environment and the
rate and pattern of failures during the design life.

1 -2

INTRODUCTION

1.2 DEVELOPMENT OF THE HANDBOOK

Useful models must provide the capability of predicting the reliability of all types of mechanical
equipment by specific failure mode considering the operating environment, the effects of wear and other
potential causes of degradation. The models developed for the Handbook are based upon identified failure
modes and their causes. The first step in developing the models was the derivation of equations for each
failure mode from design information and experimental data as contained in published technical reports
and journals. These equations were simplified to retain those variables affecting reliability as indicated
from field experience data. The failure rate models utilize the resulting parameters in the equations and
modification factors were compiled for each variable to reflect its effect on the failure rate of individual
component parts. The total failure rate of the component is the sum of the failure rates for the component
parts for a particular time period in question. Failure rate equations for each component part, the methods
used to generate the models in terms of failures per hour or failures per cycle and the limitations of the
models are presented. The models are being validated to the extent possible with laboratory testing or
engineering analysis.
The objective is to provide procedures which can be used for the following elements of a reliability
program:

Evaluate designs for reliability in the early stages of development

Provide management emphasis on reliability with standardized evaluation procedures
Provide an early estimate of potential spare parts requirements
Quantify critical failure modes for initiation of specific stress or design analyses
Provide a relative indication of reliability for performing trade off studies, selecting an
optimum design concept or evaluating a proposed design change
Determine the degree of degradation with time for a particular component or potential
failure mode
Design accelerated testing procedures for verification of reliability performance
One of the problems any engineer can have in evaluating a design for reliability is attempting to
predict performance at the system level. The problem of predicting the reliability of mechanical
equipment is easier at the lower indenture levels where a clearer understanding of design details affecting
reliability can be achieved. Predicting the life of a mechanical component, for example, can be
accomplished by considering the specific wear, erosion, fatigue and other deteriorating failure mechanism,
the lubrication being used, contaminants which may be present, loading between the surfaces in contact,
sliding velocity, area of contact, hardness of the surfaces, and material properties. All of these variables
would be difficult to record in a failure rate data bank; however, the derivation of such data can be
achieved for individual designs and the potential operating environment can be brought down through the
l -3

INTRODUCTION

system level and the effects of the environmental conditions determined at the part level.
The development of design evaluation procedures for mechanical equipment includes mathematical
equations to estimate the design life of mechanical components. These reliability equations consider the
design parameters, environmental extremes, and operational stresses to predict the reliability parameters.
The equations rely on a base failure rate derived from laboratory test data where the exact stress levels
are known and engineering equations are used to modify this failure rate to the appropriate stress/strength
and environmental relationships for the equipment application.
As part of the effort to develop a new methodology for predicting the reliability of mechanical
components, Figure 1.1 illustrates the method of considering the effects of the environment and the
operating stresses at the lowest indenture level.

SYSTEM OPERATING ENVIRONMENT

SYSTEM LEVEL ANALYSIS

(Environment)
(Failure Rales)

T
VALVE
REGULATOR

DRIVE UNIT
GEAR BOX

SEAL
GASKET

ACTUATOR
CYLINDER

ACCUMULATOR
RESERVOIR

SUDER
CRANK

CLUTCH
BRAKE

SENSOR
TRANSDUCER

FrrriNG, T U B I N G

CONNECTOR

GEAR
SPLINE

BEARING

SPRING

(Environment!!
l
CJJCI.I1/

MOTOR, PUMP
COMPRESSOR

FILTER

IMPACTING
DEVICE

COUPLING
UNIVERSAL
JOINT

SOLENOID

FASTENER

t C7" dure Rate Impact)

MATERIAL PROPERTIES

Figure 1.1 Mechanical Components and Parts

1 -4

INTRODUCTION

A component such as a valve assembly may consist of seals, springs, fittings, and the valve housing.
The design life of the entire mechanical system is accomplished by evaluating the design at the component
and part levels considering the material properties of each part. The operating environment of the system
is included in the equations by determining its impact at the part level. Some of the component parts may
not have a constant failure rate as a function of time and the total system failure rate of the system can
be obtained by adding part failure rates for the time period in question.
Many of the parts are subject to wear and other deteriorating type failure mechanisms and the
reliability equations must include the parameters which are readily accessible to the equipment designer.
As part of this research project, Louisiana Tech University was tasked to establish an engineering model
for mechanical wear which is correlated to the material strength and stress imposed on the part. This
model for predicting wear considers the materials involved, the lubrication properties, the stress imposed
on the part and other aspects of the wear process (Ref 81). The relationship between the material
properties and the wear rate was used to establish generalized wear life equations for actuator assemblies
and other components subject to surface wear.
In another research project, lubricated and unlubricated spline couplings were operated under
controlled angular misalignment and loading conditions to provide empirical data to verify spline coupling
life prediction models. This research effort was conducted at the Naval Air Warfare Center in Patuxent
River, Maryland (Ref 83). A special rotating mechanical coupling test machine was developed for use
in generating reliability data under controlled operating conditions. This high-speed closed loop testbed
was used to establish the relationships between the type and volume of lubricating grease employed in the
spline coupling and gear life. Additional tests determined the effects of material hardness, torque,
rotational speed and angular misalignment on gear life.
Results of these wear research projects were used to develop and refine the reliability equations for
those components subject to wear.
1.3 EXAMPLE DESIGN EVALUATION PROCEDURE

A hydraulic valve assembly will be used to illustrate the Handbook approach to predicting the
reliability of mechanical equipment. Developing reliability equations for all the different types of
hydraulic valves would be an impossible task since there are over one hundred different types of valve
assemblies available. For example, some valves are named for the function they perform, e.g. check valve,
regulator valve and unloader valve. Others are named for a distinguishing design feature, e.g. globe valve,
needle valve, solenoid valve. From a reliability standpoint, dropping down one indenture level provides
two basic types of valve assemblies: the poppet valve and the sliding action valve.

I -5

INTRODUCTION

The example assembly chosen for analysis is a poppet valve which consists of a poppet assembly,
spring, seals, and housing.
1.3.1 Poppet Assembly

The functions of the poppet valve would indicate the primary failure mode as incomplete closure of
the valve resulting in leakage around the poppet seat. This failure mode can be caused by contaminants
being wedged between the poppet and seat, wear of the poppet seat, and corrosion of the poppet/seat
combination. External seal leakage, sticking valve stem, and damaged poppet return spring are other
failure modes which must be considered in the design life of the valve.
A new poppet assembly may be expected to have a sufficiently smooth surface for the valve to meet
internal leakage specifications. However, after some period of time contaminants will cause wear of the
poppet assembly until leakage rate is beyond tolerance. This leakage rate, at which point the valve is
considered to have failed, will depend on the application and to what extent leakage can be tolerated.
As derived in Chapter 6 the following equation can be used to determine the failure rate of a poppet
assembly:

_
An

Where:

XP =
k? B =
DMS =
/ =
Pj =
P2 =
Qf =
va =
Lw =
Ss =
K| =

2xiO'DMS/3(P12-P2X
A..

ADD

Failure rate of the poppet assembly, failures/million cycles

Base failure rate for poppet assembly, failures/million cycles
Mean seat diameter, in
Mean surface finish of opposing surfaces, in
Upstream pressure, lbs/in2
Downstream pressure, lbs/in2
Leakage rate considered to be a valve failure, in3/min
Absolute fluid viscosity, lb-min/in2
Radial seat land width, in
Apparent seat stress, lb/in2
Constant which considers the impact of contaminant size, hardness and
quantity of particles

Values used to determine the failure rates for the parts used in this example are listed in Table 1-1.
1 -6

INTRODUCTION

Throughout the Handbook, failure rate equations for each component and part are translated into a base
failure rate with a series of multiplying factors to modify the base failure rate to the operating environment
being considered. For example, as shown in Equation (6-6) of Chapter 6, the above equation can be
rewritten as follows:

*FO = ^P03 * C P * C Q

F * Cv * CN *

S * CDT C s w C w

Where: XpQ = Failure rate of poppet assembly in failures/million operations

A.po B = Base failure rate of poppet assembly, 1.40 failures/million operations
C p = Multiplying factor which considers the effect of fluid pressure on the
base failure rate
CQ = Multiplying factor which considers the effect of allowable leakage on the
base failure rate
CF = Multiplying factor which considers the effect of surface finish on the
base failure rate
Cv = Multiplying factor which considers the effect of fluid viscosity on the
base failure rate
CN = Multiplying factor which considers the effect of contaminants on the base
failure rate
C s = Multiplying factor which considers the effect of seat stress on the base
failure rate
CDT = Multiplying factor which considers the effect of seat diameter on the base
failure rate
C s w = Multiplying factor which considers the effect of seat land width on the
base failure rate
C w = Multiplying factor which considers the effect of fluid flow rate on the
base failure rate
The parameters in the failure rate equation can be located on an engineering drawing, by knowledge
of design standards or by actual measurement. Other design parameters which have a minor effect on
reliability are included in the base failure rate as determined from field performance data.
1.3.2 Spring Assembly
Depending on the application, a spring may be in a static, cyclic, or dynamic operating mode. In the
current example of a valve assembly, the spring will be in a cyclic mode. The operating life of a
mechanical spring arrangement is dependent upon the susceptibility of the materials to corrosion and stress
1 -7

INTRODUCTION

levels (static, cyclic or dynamic). The most common failure modes for springs include fracture due to
fatigue and excessive loss of load due to stress relaxation. Other failure mechanisms and causes may be
identified for a specific application. Typical failure rate considerations include: level of loading, operating
temperature, cycling rate and corrosiveness of the fluid environment.
The failure rate of a spring depends upon the stress on the spring and the relaxation properties of the
material. The load on the spring is equal to the spring rate multiplied by the change in load per unit
deflection and calculated as explained in Chapter 4.

PL = K(Ll-L2)

Where: PL
K
L,
L2
GM
Dc
Dw
Na

=
=
=
=
=
=
=
=

8 (Z)c)3 tfa

Load, lbs
Spring rate, lb/in
Initial deflection of spring, in
Final deflection of spring, in
Modulus of rigidity, lb/in2
Mean diameter of spring, in
Mean diameter of wire, in
Number of active coils

Stress in the spring will be proportional to loading according to the following relationship:

8 PLDC
7r~"~73 ^w
it (Z?w)

Where: SG = Actual stress, psi

Kw = Wahl stress correction factor
Ar - 1

0.615
+

4r - 4

.
where:

Dc
r =

Dw

This equation permits determination of expected life of the spring by plotting the material S-N curve
on a modified Goodman diagram. In the example valve application, the spring force and the failure rate
1 -8

INTRODUCTION

remain constant. This projection is valid if the spring does not encounter temperature extremes. The
anticipated failure rate as a function of time is shown in Figure 1.2. Corrosion is a critical factor in spring
design because most springs are made of steel which is susceptible to a corrosive environment. In this
example the fluid medium is assumed to be non-corrosive and the spring is always surrounded by the
fluid, thus a corrosion factor need not be included in this analysis. If the valve were a safety device and
subjected intermittently to a steam environment, then a corrosion factor would have to be applied
consistent with any corrosion protection in the original spring design.

1000

10,000

100,000

1,000,000

NUMBER OF VALVE OPERATIONS

Figure 1.2 Combination of Component Failure Rates

1.3.3 Seal Assembly

The primary failure mode of a seal is leakage, and the following equation as derived in Chapter 3 uses
a similar approach as developed for evaluating a poppet design:

l -9

INTRODUCTION

P 2

~ P22

Where: A.SE = Failure rate of seal, failures/million cycles

A.SE B = Base failure rate of seal, failures/million cycles
P, = System pressure, lb/in2
P 2 = Standard atmospheric pressure or downstream pressure, lb/in2
Q f = Allowable leakage rate under conditions of usage, in 3 /min
v a = Absolute fluid viscosity, lb-min/in 2
Tj = Inside radius of circular interface, in
r 0 = Outside radius of circular interface, in
H = Conductance parameter (Meyer hardness M; contact pressure C; surface
finish / )
K, = Multiplying factor considering effects of contaminants, temperature
In the case of an O-ring seal, the failure rate will increase as a function of time because of gradual
hardening of the rubber material. A typical failure rate curve for an O-ring is shown in Figure 1-2.

1.3.4 Combination of Failure Rates

The addition of failure rates to determine the total valve failure rate depends on the life of the valve
and the maintenance philosophy established. If the valve is to be discarded upon the first failure, a timeto-failure can be calculated for the particular operating environment. If, on the other hand, the valve will
be repaired upon failure with the failed part(s) being replaced, then the failure rates must be combined for
different time phases throughout the life expectancy until the wear-out phase has been reached. The effect
of part replacement and overhaul is a tendency toward a constant failure rate at the system level and will
have to be considered in the prediction for the total system.
After the failure rates are determined for each component part, the rates are summed to determine the
failure rate of the total valve assembly. Because some of the parameters in the failure rate equation are
time dependent, i.e. the failure rate changes as a function of time, the total failure rate must be determined
for particular intervals of time. In the example of the poppet assembly, nickel plating was assumed with
an initial surface finish of 35 u inches. The change in surface finish over a one year time period for nonacidic fluids such as water, mild sodium chloride solutions, and hydraulic fluids will be a deterioration
to 90 u inches. In the case of the O-ring seal, the hardness of the rubber material will change with age.
This combination of failure rates is shown in Figure l .2.

1 - 10

INTRODUCTION

The housing will exhibit an insignificant failure rate, usually verified by experience or by finite
element analysis. Typical values and assumed for the example equations are listed in Table 1-1.
Table 1-1. Typical Values for Failure Rate Equations

PARAMETER

VALUE

SEAL

SPRING

POPPET

PARAMETER

VALUE

PARAMETER

VALUE

^SP.B

0.65

^-SE.B

0.85

0.055

Li

3.50

Qf

0.055

DMS

0.70

L2

2.28

Ps

3000

f*

35X10-6

GM

10X106

Po

Pi

3000

Dc

0.6

p2

0.0

Dw

0.085

2X10"8

Na

14

0.35

LW

0.18

Ts

245

M/C**

0.55

Ss

1.2

PL

26.3

10

K,

2.5

sG

75 X 10"3

K,

2.5

0.26

^-SP

0.21

^SE

0.57

^P,B

1.25

Qf

*P

'l

2 x 10-8
0.17

Initial value = 35 uin; after 1 year (500,000 operations) surface finish will equal 110 uin
(Reference 5)
** Initial value = 0.55 (hardness, M = 500 psi; contact stress, C = 910 psi); after 1 year M
estimated to be 575 psi (M/C = 0.63)

1.4 VALIDATION OF RELIABILITY PREDICTION EQUATIONS

A very limited budget during the development of this handbook prevented the procurement of a
sufficiently large number of components to perform the necessary failure rate tests for all the possible
combinations of loading roughness, operational environments, and design parameters to reach statistical

1 - 11

INTRODUCTION

conclusions as to the accuracy of the reliability equations. Instead, several test programs were conducted
to verify the identity of failure modes and validate the engineering approach being taken to develop the
reliability equations. For example, valve assemblies were procured and tested at the Belvoir Research,
Development and Engineering Center in Ft. Belvoir, Virginia. The number of failures for each test were
predicted using the equations presented in this handbook. Failure rate tests were performed for several
combinations of stress levels and results compared to predictions. Typical results are shown in Table 1-2.

Table 1-2. Sample Test Data for Validation of Reliability Equations for Valve Assemblies

TEST
SERIES

VALVE

TEST CYCLES

NUMBER

TO FAILURE

ACTUAL

AVERAGE

PREDICTED

FAILURES/
10 s CYCLES

FAILURES/
10 s CYCLES

FAILURES/
10 s CYCLES

FAILURE
MODE#

15

11

68,322

14.64

14.64

18.02

24
24

8
9

257,827
131,126

7.63

10.15

10.82

24
24

10
11

81,113
104

12.33

1
1
1

24
24

12
13

110,488
86,285

9.05
11.59

25

14
15
18

46,879
300
55,545

21.33

25
25

2
1
1
19.67

8.45

18.00

2
3
1

TEST PARAMETERS:
SYSTEM PRESSURE: 3500 psi
FLUID TEMPERATURE: 90 C

FLUID FLOW: 100% rated

FLUID: Hydraulic, MIL-H-83282

FAILURE MODE:
1 - Spring Fatigue
2 - No Apparent
3 - Accumulated Debris

Another example of reliability tests performed during development of the handbook is the testing of
gearbox assemblies at the Naval Air Warfare Center in Patuxent River, Maryland (Ref. 81). A spiral-bevel
right angle reducer type gearbox with 3/8 inch steel shaft was selected for the test. Two models having
different speed ratios were chosen, one gearbox rated at 12 in-lbs torque at 3600 rpm and the other
gearbox rated at 9.5 in-lbs torque. Prior to testing the gearboxes, failure rate calculations were made using

1 - 12

INTRODUCTION

the reliability equations from this handbook. Test results were compared with failure rate calculations and
conclusions made concerning the ability of the equations to be used in calculating failure rates.
Reliability tests were also performed on stock hydraulic actuators using a special-purpose actuator
wear test apparatus (Ref. 83). The actuators used in this validation project had a 2.50 inch bore, a 5.0
inch stroke, and a nominal operating pressure of 3000 psig. Various loads and lubricants were used to
correlate test results with the handbook equations. The effect of contamination of the oil was correlated
by adding 10 micron abrasive particles to the lubricant in the actuators.
Additional reliability tests were performed during development of the handbook on air compressors
for 4000 hours under six different environmental conditions to correlate the effect of the environment on
mechanical reliability (Ref. 84). The air compressors procured for the test were small reciprocating
compressors with a maximum pressure of 35 psi and a ft3 rating of 0.35. The units were subjected to
temperature extremes, blowing dust, and AC line voltage variations while operating at maximum output
pressure. The data collected were used to verify the reliability equations for reciprocating compressors.
In another reliability test, a special environmentally controlled test chamber was constructed at the
Naval Air Warfare Center in Patuxent River, Maryland to test gear pumps and centrifugal pumps (Ref.
85, 86). A series of bronze rotary gear pumps were operated for 8000 hours to collect data on operation
under controlled hydraulic conditions. Tests were conducted under high temperature water, low
temperature water, and water containing silicon dioxide abrasives. Data were collected on flow rates, and
seal leakage while pump speed, output pressure, and fluid temperature were held constant. Similar tests
were conducted on a series of centrifugal pumps.
To further evaluate wear mechanisms and their effect on mechanical reliability, fifteen impact wrenches
were operated to failure with a drum brake providing frictional torque and inertial torque loading (Ref.
87). The impact wrenches selected for testing were general purpose, 1/2 inch drive, pneumatic impact
wrenches commonly found in Naval repair shops. This wrench is rated for 200 lb-ft of torque and uses
4 cftn at 90 psi of air. Results of these reliability tests were used to evaluate the utility of the related
failure equations in the handbook.
Validation of the various reliability equations for brakes and clutches was accomplished with tests
conducted at Louisiana Tech University by evaluating the wear process for the various elements used in
disk and drum brakes and multiple-disk clutches (Ref. 88, 89). Two types of experimental tests were
conducted in connection with development of the model: (a) abrasive wear tests and (b) measurements of
the coefficient of friction). Brakes and clutches were tested while monitoring the rate of wear for various
materials including asbestos-type composite, sintered resin composite, sintered bronze composite, carboncarbon composite, cast iron, CI040 carbon steel, 17-4 PH stainless steel, and 9310 alloy steel. The
1 - 13

INTRODUCTION

number of passes required to initiate measurable wear for the various types of brakes and clutches were
correlated to the models contained in this handbook.
Code WR-ALC/LVRS of the Robins AFB, one of the sponsors of the project to develop this
handbook, provided an MC-2A air compressor unit for validation testing of the handbook procedures. The
MC-2A is a diesel engine-driven, rotary vane compressor mounted in a housed mobile trailer. It is
designed for general flight line activities such as operating air tools requiring air from 5 psig to 250 psig.
Two objectives were established for the validation effort: (a) determine the utility of the handbook to
effect significant improvements in the reliability of new mechanical designs, and (b)
ermine the
reliability of the MC-2A in its intended operating environment and introduce any ruc-aed design
modifications for reliability improvement (Ref. 90, 91).
An additional reliability test was performed at the Naval Air Warfare Center in Patuxent River,
Maryland to verify the application of the handbook in identifying existing and impending faults in
mechanical equipment. A commercial actuator assembly was purchased and its design life estimated using
the equations in this handbook. The actuator was then placed on test under stress conditions and an
inspection made at the minimum calculated design life taking into consideration the sensitive parameters
in the reliability equations. Upon inspecting the actuator at this point in time a revised remaining life
estimate of the actuator was made and the test continued until failure. Test results were then compared
with estimated values. The purpose of this test was to demonstrate the use of the handbook equations to
revise failure estimates based on actual operating conditions when they may be different than originally
anticipated and to continually obtain a more accurate estimate of time before the next maintenance action
will be required (Ref 92).
1.5 SUMMARY

The procedures presented in this handbook should not be considered as the only methods for a design
analysis. An engineer needs many evaluation tools in his toolbox and new methods of performing
dynamic modeling, finite element analysis and other stress/strength evaluation methods must be used in
combination to arrive at the best possible reliability prediction for mechanical equipment.
The examples included in this introduction are intended to illustrate the point that there are no
simplistic approaches to predicting the reliability of mechanical equipment. Accurate predictions of
reliability are best achieved by considering the effects of the operating environment of the system at the
part level. The failure rates derived from equations as tailored to the individual application then permits
an estimation of design life for any mechanical system. It is important to realize that the failure rates
estimated using the equations in this handbook are time dependent and that failure rates for mechanical
components must be combined for the time period in question to achieve a total equipment failure rate.
1 - 14

INTRODUCTION

Section 1.3 and specifically Figure 1.2 demonstrate this requirement.

It will be noted upon review of the equations that some of the parameters are very critical in terms
of life expectancy. For example, the failure rate equation for the poppet assembly contains the surface
finish parameter which deteriorates as a function of time and is raised to the third power. The same
problem exists in many of the equations for predicting the reliability of mechanical equipment. Additional
research is needed to obtain needed information on some of these cause and effect relationships for use
in the equations and continual improvement to the handbook.

1 - 15

THIS PAGE INTENTIONALLY LEFT BLANK

CHAPTER

DEFINITIONS
This report is intended for use by reliability analysts and equipment designers. Accordingly, a review
of some basic terms will help to establish a cross reference for these two disciplines. MIL-STD-721
should be referred to for basic reliability definitions.
Base Failure Rate - A failure rate for a component or part in failures per million hours or failures per
million operations depending on the application and derived from a data base where the exact design,
operational, and environmental parameters are known. Multipying factors are then used to adjust the
base failure rate to the new operating environment.
B, 0 Life - The number of hours at a given load that 90 percent of a set of apparently identical bearings
will complete or exceed.
Brake Lining - A fricitional material used for stopping or retarding the relative movement of two
surfaces.
Coefficient of Friction - This relationship is the ratio between two measured forces. The denominator
is the normal force pressing two surfaces together. The numerator is the frictional force resisting the
motion of one surface over the other.
Contamination - Foreign matter or particles in a fluid system that are transported during its operation and
which may be detrimental to system performance or even cause failure of a component.
Corrosion - The slow destruction of materials by chemical agents and/or electromechanical reactions.
Creep - Continuous increase in deformation under constant or decreasing stress.
Dependent Failure - Failure caused by failure of an associated item or by a common agent.
Dirt lock - Complete impedance of movement caused by stray contaminant particles wedged between
moving parts.
2- 1

DEFINITIONS

Durometer - A device used to measure the hardness of rubber compounds.

Endurance Limit - The stress level value when plotted as a function of the number of stress cycles at
which point a constant stress value is reached.
External leakage - Leakage resulting in loss of fluid to the external environment.
Failure mode - The indicator or symptom by which a failure is evidenced.
Failure rate - The probable number of times that a given component will fail during a given period of
operation under specified operating conditions. Failure rate may be in terms of time, cycles, revolutions,
miles, etc.
Fatigue - The cracking, fracture or breakage of mechanical material due to the application of repeated,
fluctuating or reversed mechanical stress less than the tensile strength of the material.
Friction Material - A product manufactured to resist sliding contact between itself and another surface
in a controlled manner.
Hardness - A measure of material resistance to permanent or plastic deformation equal to a given load
divided by the resulting area of indentation.
Independent failure - A failure of a device which is not caused by or related to failure of another device.
Internal leakage - Leakage resulting in loss of fluid in the direction of fluid flow past the valving unit.
Leakage - The flow of fluid through the interconnecting voids formed when the surfaces of two materials
are brought into contact.
Mean cycles between failure - The total number of functioning cycles of a population of parts divided
by the total number of failures within the population during the same period of time. This definition is
appropriate for the number of hours as well as for cycles.
Mean cycles to failure - The total number of functioning cycles divided by the total number of failures
during the period of time. This definition is appropriate for the number of hours as well as for cycles.
Modulus of Elasticity - Slope of the initial linear portion of the stress-strain diagram; the larger the value,
the larger the stress required to produce a given strain. Also known as Young's Modulus.
2-2

DEFINITIONS

Modulus of Rigidity - The rate of change of unit shear stress with respect to unit shear strain for the
condition of pure shear within the proportional limit. Also called Shear Modulus of Elasticity.
Pinion - The smaller of two meshing gears.
Poisson's Ratio - Ratio of lateral strain to axial strain of a material when subjected to uniaxial loading.
Random failures - Failures that occur before wear out, are not predictable as to the exact time of similar
and are not associated with any pattern of similar failures. However, the number of random failures for
a given population over a period of time at a constant failure rate can be predicted.
Silting - An accumulation and settling of particles during component inactivity.
Smearing - Surface damage resulting from unlubricated sliding contact within a bearing.
Stiction - A change in performance characteristics or complete impedance of poppet or spool movement
caused by wedging of minute particles between a poppet stem and housing or between spool and sleeve.
Stress - A measure of intensity of force acting on a definite plane passing through a given point, measured
in force per unit area.
Tensile Strength - Value of nominal stress obtained when the maximum (or ultimate) load that the
specimen supports is divided by the cross-sectional area of the specimen. See Ultimate Strength.
Ultimate Strength - The maximum stress the material will withstand. See Tensile Strength.
Viscosity - A measure of internal resistance of a fluid which tends to prevent it from flowing.
Wear out failure - A failure which occurs as a result of mechanical, chemical or electrical degradation.
Yield strength - The stress that will produce a small amount of permanent deformation, generally a strain
equal to 0.1 or 0.2 percent of the length of the specimen.
Young's Modulus - See Modulus of Elasticity.

2-3

THIS PAGE INTENTIONALLY LEFT BLANK

CHAPTER

SEALS AND GASKETS

3.1 INTRODUCTION
A seal is a device placed between two surfaces to restrict the flow of fluid from one region to
another. Seals are required for both static and dynamic applications. Static seals, such as gaskets and
sealants, are used to prevent leakage through a mechanical joint when there is no relative motion of mating
surfaces other than that induced by environmental changes. A gasket or static seal may be metallic or
non-metallic. A dynamic seal is a mechanical device used to control leakage of fluid from one region to
another when there is rotating or reciprocating motion between the sealing interface. Some types of seals
such as O-rings are used in both static and dynamic applications. An example of static and dynamic seal
application is shown in Figure 3.1. A seal classification chart is shown in Figure 3.2.
STATIC SEALDYNAMIC SEAL
DYNAMIC SEAL

Figure 3.1 Static And Dynamic Seals

The reliability of a seal design is determined by the ability of the seal to restrict the flow of fluid from
one region to another for its intended life in a prescribed operating environment. The evaluation of a seal
design for reliability must include a definition of the design characteristics and the operating environment
in order to estimate its design life. Section 3.2 discusses the reliability of gaskets and other static seals.
A discussion of dynamic seal reliability is contained in Section 3.3.

3- 1

SEALS AND GASKETS

SEALS

STATIC
SEALS

Sealants

Gaskets

DYNAMIC
SEALS

O Rings

Reciprocating
Shan Seals

Contacting Seals
lor Rotating
Shafts

Non-Contacting
Seals for
Rotating Shafts

Packings

- Mechanical Face

Viscoseals

- Diaphragm

Radial Lip Seals

Labyrinth

- Piston Ring

Packings

Magnetic

Circumferential
Split Ring Seals

Bushing

Non-metallic
Metallic

Figure 3.2 Seal Classification Chart

3.2 GASKETS AND STATIC SEALS
3.2.1 Failure Modes

The primary failure mode of a gasket or seal is leakage. The integrity of a seal depends upon the
compatibility of the fluid and sealing components, conditions of the sealing environment, and the applied
load during application. Table 3-1 is a list of typical failure mechanisms and causes of seal leakage.
Other failure mechanisms and causes should be identified for the specific product to assure that all
considerations of reliability are included in any design evaluation.
3.2.2 Failure Rate Model Considerations

A review of failure rate data suggests the following characteristics be included in the failure rate
model for gaskets and seals:

Material characteristics
Amount of seal compression
Surface irregularities
Seal size
Fluid pressure
Extent of pressure pulses
3-2

SEALS AND GASKETS

Temperature
Fluid viscosity
Contamination level
Fluid/material compatibility
Leakage requirements
Assembly/quality control procedures

Table 3-1. Typical Failure Mechanisms and Causes

for Static Seals and Gaskets

FAILURE MODE
Leakage

FAILURE MECHANISMS

FAILURE CAUSES

- Wear

- Contaminants
- Misalignment
- Vibration

- Elastic Deformation
- Gasket/seal distortion

- Extreme temperature
- Misalignment
- Seal eccentricity
- Extreme loading/ extrusion
- Compression set/overtorqued bolts

- Surface damage
- Embrittlement

- Inadequate lubrication
- Contaminants
- Fluid/seal degradation
- Thermal degradation
- Idle periods between component use
- Exposure to atmosphere, ozone
- Excessive temperature

- Creep

- Fluid pressure surges

- Material degradation
- Thermal expansion & contraction

- Compression set

- Excessive squeeze to achieve seal

- Incomplete vulcanization
- Hardening/high temperature

- Installation damage

- Insufficient lead-in chamfer

- Sharp corners on mating metal parts
- Inadequate protection of spares

- Gas expansion rupture

- Absorption of gas or liquified gas

under high pressure

3 -3

SEALS AND GASKETS

The failure rate of a static seal is a function of actual leakage and the allowable leakage under
conditions of usage, failure occurring when the rate of leakage reaches a predetermined threshold. This
rate derived empirically can be expressed as follows:

*SE

Where:

(3-D

*SB3

XSE = Failure rate of gasket or seal considering operating environment,

failures per million hours
XSEB = Base failure rate of seal or gasket due to random cuts, installation
errors, etc. based on field experience data, failures per million hours
Qa = Actual leakage rate, in3/min
Qf = Allowable leakage rate under conditions of usage, in3/min

The allowable leakage, Qf is determined from design drawings, specifications or knowledge of

component applications. The actual leakage rate, Qa for a seal is determined from a standard equation for
laminar flow around two curved surfaces (Ref. 5):

<?.
Where:

(*(P,2-P22)1
25 v. P2

<ro -

H*

(3-2)

h,

P, = System pressure, lb/in2

P 2 = Standard atmospheric pressure or downstream pressure, lb/in2
va = Absolute fluid viscosity, lb-min/in 2
r( = Inside radius of circular interface, in
r0 = Outside radius of circular interface, in
H = Conductance parameter, in [See Equation (3-4)]

For flat seals or gaskets the leakage can be determined from the following equation:

' 2n r, (P> - P22) )

H>
<?. =
24vtLP2
Where:

(3-3)

r, = Inside radius (inside perimeter for non-circular flat seals), in

L = Contact length, in

3 -4

SEALS AND GASKETS

The conductance parameter H is dependent upon contact stress of the two sealing surfaces, hardness
of the softer material and surface finish of the harder material (Ref. 5). First, the contact stress (load/area)
is calculated and the ratio of contact stress to Meyer hardness of the softer interface material computed.
The surface finish of the harder material is then determined. The conductance parameter is computed from
the following empirically derived formula:
2
H=

i0"M_

3 . ' / 2fl

(3-4)

C = Contact stress, lbs/in2 [See Equation (3-9)]

Mp = Meyer hardness (or Young's modulus) for rubber and resilient
materials, lbs/in2
/ = Surface finish, in

Where:

The surface finish, /, will deteriorate at a rate dependent upon several factors:
Seal degradation
Contaminant wear coefficient (inVparticle)
Number of contaminant particles per in3
Flow rate, inVmin
Ratio of time the seal is subjected to contaminants under pressure
Temperature of operation, F
The contaminant wear coefficient is an inherent sensitivity factor for the seal or gasket based upon
performance requirements. The number of contaminants includes those produced by wear in components
upstream of the seal and after the filter and those ingested by the system. Combining and simplifying
terms provides the following equations for the failure rate of a seal.
For circular seals:

X
A

SE

K, (P, 2 - P22) ff3

=

^SEJB

. r - ri

or, for flat seals and gaskets:

3 -5

(3-5)

SEALS AND GASKETS

Kt (P* - P22) r, H3
^SE

^SEfl

(3-6)

Where: K, is an empirically derived constant.

3.2.3 Failure Rate Model for Gaskets and Static Seals
By normalizing the equation to those values for which historical failure rate data from the Navy
Maintenance and Material Management (3-M) system are available, the following model can be derived:

Where:

XSE = Failure rate of a seal in failures/million hours

XSEB = Base failure rate of seal, 2.4 failures/million hours
CP = Multiplying factor which considers the effect of fluid pressure on the
base failure rate (See Figure 3.6)
C 0 = Multiplying factor which considers the effect of allowable leakage on
the base failure rate (See Figure 3.7)
CDL = Multiplying factor which considers the effect of seal size on the base
failure rate (See Figure 3.8)
CH = Multiplying factor which considers the effect of contact stress and
seal hardness on the base failure rate (See Figure 3.9)
CF = Multiplying factor which considers the effect of seat smoothness on
the base failure rate (See Figure 3.10)
Cv = Multiplying factor which considers the effect of fluid viscosity on the
base failure rate (See Table 3-4)
CT = Multiplying factor which considers the effect of temperature on the
base failure rate (See Figure 3.11)
CN = Multiplying factor which considers the effect of contaminants on the
base failure rate (See Table 3-5)

The base failure rate has been determined from performance data in failures/million hours. Although
not normally required for static seals, the base failure rate can be converted to failures/million operations
based on projected utilization rates to be compatible with other failure rate equations in the Handbook.
The parameters in the failure rate equation can be located on an engineering drawing, by knowledge
of design standards or by actual measurement. Other design parameters which have a minor effect on

3 -6

SEALS AND GASKETS

reliability are included in the base failure rate as determined from field performance data. The following
paragraphs provide background information on those parameters included in the model.
3.2.3.1 Fluid Pressure

Figure 3.6 provides fluid pressure multiplying factors for use in the model. Fluid pressure on a seal
will usually be the same as the system pressure.
The fluid pressure at the sealing interface required to achieve good mating depends on the resiliency
of the sealing materials and their surface finish. It is the resilience of the seal which insures that adequate
sealing stress is maintained while the two surfaces move in relation to one another with thermal changes,
vibration, shock and other changes in the operating environment. The reliability analysis should include
a verification that sufficient pressure will be applied to effect a good seal.
At least three checks should be made to assure the prevention of seal leakage:
(1) One surface should remain relatively soft and compliant so that it will readily
conform to the irregularities of the harder surface
(2) Sufficient sealing load should be provided to elastically deform the softer of the two
sealing surfaces
(3) Sufficient smoothness of both surfaces is maintained so that proper mating can be
achieved
3.2.3.2 Allowable Leakage

Figure 3.7 provides allowable leakage multiplying factors for use in the model. Determination of the
acceptable amount of leakage which can be tolerated at a seal interface can usually be obtained from
component specifications. The allowable rate is a function of operational requirements and the rate may
be different for an internal or external leakage path.
3.2.3.3 Conductance Parameter

Three factors comprise the conductance parameter:

(1) Hardness of the softer material
(2) Surface finish of the harder material
(3) Contact stress of the seal interface
Figures 3.9 and 3.10 provide conductance parameters to be used in the model.

3 -7

SEALS AND GASKETS

(1) Hardness of the softer material: - In the case of rubber seals and O-rings, the hardness of rubber is
measured either by durometer (ASTM-D-2240-81) or international hardness methods (ASTM-D-1414-78,
ASTM-D-1415-81), as outlined in the ASTM Handbook, Volumes 37 and 38. Both hardness test methods
are based on the measurement of the penetration of a rigid ball into a rubber specimen. Throughout the
seal/gasket industry, the Type A durometer is the standard instrument used to measure the hardness of
rubber compounds. The durometer has a calibrated spring which forces an indentor point into the test
speciman against the resistance of the rubber. The scale of hardness isfrom0 degrees for elastic modulus
of a liquid to 100 degrees for an infinite elastic modulus of a material, such as glass. Readings in
International Rubber Hardness Degree (IRHD) are comparable to those given by a Type A durometer (Ref.
18) when testing standard specimens per the ASTM methods. The relationship between the rigid ball
penetration and durometer reading is shown in Figure 3.3.
0.08

inches

0.07
0.06
0.05

*S

0.04

ent

Plunge

uT

b
>
o

0.03

0.02
0.01
0.00

25

30

35

40

45

50

55

60

65

70

75

80

85

90

95

IRHD/Durometer, degrees

Figure 3.3 Relation Between Internationa] Rubber Hardness

Degree (IRHD) and Rigid Ball Penetration
Well-vulcanized elastic isotropic materials, like rubber seals manufactured from natural rubbers and
measured by IRHD methods, have a known relationship to Young's modulus. The relation between a
rigid ball penetration and Young's modulus for a perfectly elastic isotropic material is (Ref. 18):

3-8

SEALS AND GASKETS

1.35
F

L = 1.90 R

Where:

_D

(3-8)

F, = Indenting force, lbf

Mp = Young's modulus, lbs/in2
R p = Radius of ball, in
P D = Penetration, in

Standard IRHD testers have a ball radius of 0.047 inches with a total force on the ball of 1.243 lbf. Using
these testing parameters, the relationship between seal hardness and Young's modulus is shown in Figure
3.4.

Since Young's modulus is expressed in lbs/in2 and calculated in the same manner as Meyer's

hardness for rigid material; then, for rubber materials, Young's modulus and Meyer's hardness can be
considered equivalent.

3500

3000

2500

~3*
US,

J3

2000

3
a

" 1500
Ifl
6fl
C
3

>- 1000

45

50

55

60

65

70

75

95

IRHD/Durometer, degrees

Figure 3.4 Seal Hardness and Young's Modulus

(2) Surface finish of the harder material: - The seal gland is the structure which retains the seal. The
surface finish on the gland will usually be about 32 microinches for elastomer seals, 16 microinches for

3-9

SEALS AND GASKETS

plastic seals and 8 microinches for metals. In addition to average surface finish, the allowable number
and magnitude of flaws in the gland must be considered in projecting leakage characteristics. Flaws such
as surface cracks, ridges or scratches will have a detrimental effect on seal leakage.
(3) Contact stress of the seal interface: - Seals deform to mate with rigid surfaces by elastic
deformation. Since the deformation of the seal is almost entirely elastic, the initially applied seating load
must be maintained. Thus, a load margin must be applied to allow for strain relaxation during the life
of the seal yet not to the extent that permanent deformation takes place. An evaluation of cold flow
characteristics is required for determining potential seal leakage of soft plastic materials. Although
dependent on surface finish, mating of metal-to-metal surfaces generally requires a seating stress of two
to three times the yield strength of the softer material. Figure 3.5 shows a typical installation of a gasket
seal.

Figure 3.5 Typical Seal Installation

The contact stress, C, in lbs/in2 can be calculated by:

(3-9)

C= A
**sc
Where:

Fc = Force compressing seals, lb

ACT = Area of seal contact, in2
3 - 10

SEALS AND GASKETS

or:
F - Px n r? - (P, - P2)

< r + r ^

(3-10)

C =

Where:

F
P,
P2
r;
r0

=
=
=
=
=

Maximum allowable force, lb

System pressure, lb/in2
Standard atmospheric pressure or downstream pressure, lbs/in2
Inside seal radius, in
Outside seal radius, in

For most seals, the maximum allowable force F is normally two and one-half times the Young's
modulus for the material. If too soft a material is used, the seal material will have insufficient strength
to withstand the forces induced by the fluid and will rapidly fail by seal blowout.
3.2.3.4 Fluid Viscosity
Multiplying factors for the effect of fluid viscosity on the base failure rate of seals and gaskets are
provided in Table 3-4. Viscosities for other fluids at the operating temperature can be found in referenced
sources and the corresponding multiplying factor determined using the equation following Table 3-4.
3.2.3.5 Fluid Contaminants
The quantities of contaminants likely to be generated by upstream components are listed in Table 3-5.
The number of contaminants depends upon the design, the enclosures surrounding the seal, its physical
placement within the system, maintenance practices and quality control. The number of contaminants may
have to be estimated from experience with similar system designs and operating conditions.
3.2.3.6 Operating Temperature
The operating temperature has a definite effect on the aging process of elastomer and rubber seals.
Elevated temperatures, those temperatures above the published acceptable temperature limits, tend to
continue the vulcanization or curing process of the materials, thereby, significantly changing the original
characteristics of the seal or gasket. It can cause increased hardening, brittleness, loss of resilience,
cracking, and excessive wear. Since a change in these characteristics has a definite effect on the failure
rate of the component, a reliability adjustment must be made.

3 - 11

SEALS AND GASKETS

Manufacturers of rubber seals will specify the maximum temperature, TR, for their products. Typical
values of TR are given in Table 3-6. An operating temperature multiplying factor can be derived as
follows (Ref. 21):

CT =

(3-11)

T - T

Where:

t = -5_J
18
TR = Maximum rated temperature of material, F
T 0 = Operating temperature, F

3.2.3.7 Other Considerations

Those failure rate considerations not specifically included in the model but rather included in the base
failure rates are as follows:
Proper selection of seal materials with appropriate coefficients of thermal expansion for
the applicable fluid temperature and compatibility with fluid medium
Potential corrosion from the gland, seal, fluid interface
Possibility of the seal rolling in its groove when system surges are encountered
If O-rings can not be installed or replaced easily they are subject to being cut by sharp
gland edges
Other factors which need to be considered as a check list for reliability include:
Chemical compatibility
Thermal stability
Appropriate thickness and width
Required seating force against initial clamping force
Required clamping force against final clamping force
3.3 DYNAMIC SEALS
Dynamic seals are used to control leakage of fluid in those applications where there is motion between
the sealing surfaces. O-rings, packings and other seal designs are used in static and dynamic applications.
Refer to Section 3.2 for a discussion of seals in general, the basic failure modes of seals and the
parameters used in the equations to estimate the failure rate of a seal. The following paragraphs discuss
the specific failure modes and model parameters for dynamic seals. There are several types of dynamic
3 - 12

SEALS AND GASKETS

seals to be considered including the contacting types such as lip seals and noncontacting types such as
labyrinth seals.
3.3.1 Failure Modes

The mechanical seal may be used to seal many different liquids at various speeds, pressures, and
temperatures. The sealing surfaces are perpendicular to the shaft with contact between the primary and
mating rings to achieve a dynamic seal.
Wear and sealing efficiency of fluid system seals are related to the characteristics of the surrounding
operating fluid. Abrasive contaminant particles present in the fluid during operation will have a strong
influence on the wear resistance of seals. Hard particles, for example, can become embedded in soft
elastomeric and metal surfaces leading to abrasion of the harder mating surfaces forming the seal, resulting
in leakage.
Wear often occurs between the primary ring and mating ring. This surface contact is maintained by
a spring. There is a film of liquid maintained between the sealing surfaces to eliminate as much friction
as possible. For most dynamic seals, the three common points of sealing contact occur between the
following points:
(1) Mating surfaces between primary and mating rings
(2) Between the rotating component and shaft or sleeve
(3) Between the stationary component and the gland plate
The various failure mechanisms and causes for mechanical seals are listed in Table 3-2. Wear and
sealing efficiency of fluid system seals are related to the characteristics of the surrounding operating fluid.
Abrasive particles present in the fluid during operation will have a strong influence on the wear resistance
of seals. Seals typically operate with sliding contact. Elastomer wear is analogous to metal degradation.
However, elastomers are more sensitive to thermal deterioration than to mechanical wear. Hard particles
can become embedded in soft elastomeric and metal surfaces leading to abrasion of the harder mating
surfaces forming the seal, resulting in leakage.
An additional important seal design consideration is seal balance. This performance characteristic
measures how effective the seal mating surfaces match. The seal load at the dynamic facing may be too
high causing the liquid film to be squeezed out and vaporized, thus causing a high wear rate. The seal
surfaces also have structural load limitations that, if breached, may cause premature failures. The dynamic
facing pressure can be controlled by manipulating the hydraulic closing area. The fluid pressure from one
side of the primary ring causes a certain amount of force to impinge on the dynamic seal face. This force
can be controlled by changing the hydraulic closing area. By increasing the area, the sealing force is
3 - 13

SEALS AND GASKETS

increased. The process of manipulating this face area is called seal balancing. The ratio of hydraulic
closing area to seal face area is defined as "seal balance" (parameter b in Equation (3-13). This ratio is
normally modified by decreasing the hydraulic closing area by a shoulder on a sleeve or by seal hardware.

Table 3-2. Typical Failure Mechanisms and Causes

for Dynamic Seals (Refer also to Table 3-1)
FAILURE MODE

FAILURE MECHANISMS

Leakage

FAILURE CAUSES

Wear

- Misalignment
- Shaft out-of-roundness
- Surface finish
- Contaminants
- Inadequate lubrication

Dynamic instability

- Misalignment

Embrittlement

- Contaminants
- Fluid/seal incompatibility
- Thermal degradation
- Idle periods between component use

3.3.2 Failure Rate Model

Of greatest importance with dynamic seals is a properly designed seal face. The mating surfaces are
usually made from different materials. The proper materials must be matched so that excessive heat isn't
generated from the dynamic motion of the seal faces. Too much heat can cause thermal distortions on
the face of the seal and cause gaps which can increase the leakage rate. It can also cause material changes
that can significantly increase the seal wear rate. Therefore, a careful review of the seal material should
be made for each surface of the dynamic seal face. Equation (3-12) (Ref. 26) expresses such coefficients
of friction, and wear rates. Table 3-7 shows frictional values for various seal face materials.

(3-12)

Qs = C, PV . !i a0
Where:

Qs
C,
PV
u
a0

=
=
=
=
=

Heat input from the seal, BTU/hour

Numerical constant, 0.077
Pressure-velocity coefficient [See Equation (3-13)]
Coefficient of friction (See Table 3-7)
Seal face area, in2
3 - 14

SEALS AND GASKETS

Two important parameters that effect seal wear are seal face pressure and fluid velocity. These
parameters multiplied together provide a "PV" factor. The following equation defines the "PV" factor.

PV = DP(b-k)

f
+ - 2 VM

(3-13)

D P = Pressure differential across seal face, lbs/in 2

Where:

b = Seal balance, the ratio of hydraulic closing area to seal face area
k = Pressure gradient factor (See Table 3-8)
F S P = Seal spring load, lb
V M = Fluid velocity at the seal mean face diameter, ft/min
The frictional aspects o f materials are not only important from a reliability viewpoint.

Performance

must also be considered. T h e more resistance a system incurs, the more power is lost and also the lower
the efficiency value for the component.
There should be special consideration for tradeoffs involved with each type of seal material. For
example, solid silicon carbide has excellent abrasion resistance, good corrosion resistance, and moderate
thermal shock resistance. This material has better qualities than a carbon-graphite base material but has
a P V value of 500,000 lb/in-min while carbon-graphite has a 50,000 lb/in-min P V value. With all other
values being the same, the heat generated would be five times greater for solid silicon carbide than for
carbon-graphite materials. The required cooling flow to the solid silicon carbide seal would be larger to
maintain the film thickness on the dynamic seal faces. If this cooling flow c a n ' t be maintained, then an
increase in wear would occur due to higher surface temperatures. T h e analyst should perform tradeoff
analysis for each candidate design to maximize reliability.
The P V factor is incorporated into the seal reliability model. Most of the seal modifying factors will
remain the same as the ones previously specified by Equation (3-7). T h e seal model is modified as shown
in Equation (3-14).

^SE = ^ S E 3 *

Where:

Q *

H *

F *

v *

T *

N *

PV

A,SE = Failure rate o f a seal in failures/million hours

X,SE B = Base failure rate of seal, 2.4 failures/million hours
C Q = Multiplying factor which considers the effect of allowable leakage on
the base failure rate (See Figure 3.7)

3 - 15

C3'14)

SEALS AND GASKETS

CH = Multiplying factor which considers the effect of contact stress and

seal hardness on the base failure rate (See Figure 3.9)
CF = Multiplying factor which considers the effect of surface finish on the
base failure rate (See Section 3.3.2.2 and Figure 3.10)
Cv = Multiplying factor which considers the effect offluidviscosity on the
base failure rate (See Table 3-4)
CT = Multiplying factor which considers the effect of temperature on the
base failure rate (See Figure 3.11)
CN = Multiplying factor which considers the effect of contaminants on the
base failure rate (See Table 3-5)
CPV = Multiplying factor which considers the effect of the pressure-velocity
coefficient on the base failure rate (See Section 3.3.2.1)
3.3.2.1 PV Multiplying Factor

Cpv is the multiplying factor that multiplies the base failure rate by the ratio of PV value for actual
seal operation to design PV value. The values for PVDS and PV0P used in Equation (3-15) will use the
PV formulation in Equation (3-13).

PV - -sf-

(3-15)

^KDS

Where:

PV0P = PV factor for the original design

P^DS = PV factor for actual seal operation

3.3.2.2 Surface Finish Multiplying Factor

Surface irregularities of dynamic seals may be more pronounced than static seals. In dynamic seal
applications where the seal mates with a shaft, shaft hardness, smoothness and material are factors which
must be considered in the design evaluation process. Maximum seal efficiency and life are obtained with
a finely finished gland surface, usually in the 10 to 20 microinch range. A metal surface finish of less
than 8 microinches rms increases the total frictional drag of a compound moving against it. The degree
to which the finish can be maintained in the operating range must be considered when determining the
surface finish of the gland for use in the model. Figure 3.10 provides a value for the surface finish
multiplyinf factor as a function of the surface finish.

3 - 16

SEALS AND GASKETS

1Z.U "

11.0-

10.0 -

/
/

cs

/
3

a
3
C/3
C/3

5.04.0-

'3
E

on 1n-

0.0-

1000

2000

3000

4000

5000

6000

7000

8000

Fluid Pressure, P lbs/in2

For P s < 1500 lbs/in2, CP - 0.25

For P s > 1500 lbs/in 2 ,

Cp

P.

{3000}

Where P s = P, - P 2

Figure 3.6 Fluid Pressure Multiplying Factor, C p

3 - 17

9000

10000

SEALS AND GASKETS

3.00 O
U
g"

2.50 -

j?
">.

2.00

1-50 -

00

1 00

- "

0.50 -

O.C)0

0.02

0.04

0.06

0.08

0.10

0.12

0.14

Allowable Leakage, Qf, in3/min

For Leakage (Per GPMR) > 0.03, CQ = 0.05 51 Qf

For Leakage (Per GPMR) < 0.03, CQ = 4.1 - {79 Qf)

Figure 3.7 Allowable Leakage Multiplying Factor, CQ

3 - 18

0.16

SEALS AND GASKETS

*.u -

0.0 "
_J

c3

' CJ

on

Seal Dia. Mu Itiplying 7actor, C

0.5-

0.2

0.4

0.6

0.8

1 1.2 1.4 1.6 1.8 2 2.2

Inner Diameter of Seal, DSL, inches

2.4

C'DL
= 1.1 D<, + 0.32
Where: Dc,
'si- = Inner diameter of seal

Figure 3.8 Seal Diameter Multiplying Factors

3 - 19

2.6

2.8

SEALS AND GASKETS

100.0 -

10.0 X

=?*
s^

u
i-T
O
+*

1-0 7

.i

M/C Multipl

o
a
tt.
oo

0.0 0. 1

0.2

0.3

0.4

0.5

0.6

0.7

0.8

0.9

1.0

1.1

Meyer Hardness/Contact Pressure, M/C

M/C

Where:

M = Meyer Hardness, lbs/in2

C = Contact Pressure, lbs/in2

Figure 3.9 Material Hardness/Contact Pressure

Multiplying Factor, CH

3 -20

1.2

1.3

1.4

1.5

SEALS AND GASKETS

9.0
8.0
u.

u 7.0
iS

o-

u.

6.0

BO

_c

'?>
_. 5.0
"^

2 4.0

c
W9

'S

3.0

rfa

u
o

3
00

2.0

1.0
0.0

10

20

30

40

50

60

70

80

90

100

Surface Finish, f, uin

For f < 15 uin, CF = 0.25

fl.65

For f > 15 uin,

Where:

CFp = -
353

f = Surface Finish, uin

Figure 3.10

Surface Finish Multiplying Factor, CF

3-21

110

120

130

SEALS AND GASKETS

7.0-

Temperature Multiplying Factor, CT

6.0-

5.0-

4.0-

3.0-

2.0-

1.0-

0.0-

I)
4(

3()

2()

1()

Where:

-1 0

C
x

-20

-30

oF

t
t=

<rR ~ r o )

is

TR = Rated Temperature of Seal, F (See Table 3-6)

T 0 = Operating Temperature of Seal, F

Figure 3.11 Temperature Multiplying Factor, CT

3 -22

-40

-50

SEALS AND GASKETS

Table 3-3. Typical Contact Pressures for Seal Material

Used in Pressure Applications
MATERIAL

MINIMUM CONTACT PRESSURE, lbs/in2

1600
1500
750
500

Asbestos and Rubber

Cellulose and Rubber
Cork
Rubber

Table 3-4. Fluid Viscosity/Temperature Multiplying

Factor, Cv for Typical Fluids

Cv
FLUID TEMPERATURE, F
FLUID
MIL-H-83282
MIL-H-5606
AIRCRAFT PHOSPHATE ESTERS
INDUSTRIAL PHOSPHATE ESTERS
WATER GLYCOL
SAE10OIL
SAE 60 OIL

-50

50

100

150

200

250

0.6
0.7

0.7

0.8
0.85
0.85
0.7
0.8
0.8
0.7

0.9
0.9
1.0
0.8
0.8
0.8
0.7

1.0
1.0
1.0
0.85
0.9
1.0
0.8

2.0
2.0
2.0
0.9

3.0

1.0
0.85

2.0
1.0

0.8
0.8

0.7

Cv = ( v
Where:

v0 = 2 x 10"8 lb min/in2
v = Viscosity of system fluid, lb min/in2

3 -23

SEALS AND GASKETS

Table 3-5. Contaminant Multiplying Factor, CN

TYPICAL QUANTITIES OF
PARTICLES PRODUCED BY
HYDRAULIC COMPONENTS
Piston Pump
Gear Pump
Vane Pump
Cylinder
Sliding action valve

steel
steel
steel
steel
steel
rubber

Hose

cN =

(c_

PARTICLE
MATERIAL

NWGPMR

'10

Where: GPMR = Rated flow in gallons/min

= Standard system filter size = 10 micron
C = System filter size, microns

3 -24

NUMBER PARTICLES UNDER

10 MICRON PER HOUR PER
RATED GPM (N10)
1.7
1.9
0.6
0.8
0.04
0.13

SEALS AND GASKETS

Table 3-6.

TR Values for Typical Seal Materials (Ref. 27)

SEAL MATERIAL
NATURAL RUBBER
ETHYLENE PROPYLENE
NEOPRENE
NITRILE
POLYACRYLATE
FLUOROSILICON
FLUOROCARBON
SILICON RUBBERS
BUTYL RUBBER
URETHANE
FLUOROELASTOMERS
FLUROPLASTICS
LEATHER
IMPREGNATED POROMERIC
MATERIAL

3 -25

TR (F)
160
250
250
250
300
450
475
450
250
210
500
500
200
250

SEALS AND GASKETS

Table 3-7. Coefficient of Friction for Various Seal Face Materials

SLIDING MATERIALS
STATIONARY

ROTATING
CARBON-GRAPHITE
(RESIN FILLED)

SILICON CARBIDE

COEFFICIENT OF
FRICTION (M)

CAST IRON
CERAMIC
TUNGSTEN CARBIDE
SILICON CARBIDE
SILICON CARBIDE
CONVERTED CARBON

0.07
0.07
0.07
0.02
0.015

TUNGSTEN CARBIDE

0.02

SILICON CARBIDE
CONVERTED CARBON

0.05

SILICON CARBIDE

0.02

TUNGSTEN CARBIDE

0.08

Table 3-8. Pressure Gradient for Various Solutions

LIQUID SEALED

0.3
0.5
0.7

Light-specific-gravity fluids
Water-base solutions
Oil-base solutions

3 -26

CHAPTER

SPRINGS
4.1 INTRODUCTION
Mechanical springs are used in machine designs to exert force, provide flexibility, and to store or
absorb energy. Springs are manufactured for many different applications such as compression, extension,
torsion, power, and constant force. Depending on the application, a spring may be in a static, cyclic or
dynamic operating mode. A spring is usually considered to be static if a change in deflection or load
occurs only a few times, such as less than 10,000 cycles during the expected life of the spring. A static
spring may remain loaded for very long periods of time. Cyclic springs are flexed repeatedly and can be
expected to exhibit a higher failure rate due to fatigue. Dynamic loading refers to those occurrences of
a load surge inducing higher than normal stresses on the spring.
The reliability of a spring will depend not only on the material and design characteristics, but to a
great extent on the operating environment. Most springs are made of steel and therefore corrosion
protection has a significant impact on reliability. Material properties, the processes used in the
manufacturing of the spring, operating temperature, and corrosive media must all be known before any
estimate of spring reliability can be made.
4.2 FAILURE MODES
The operating life of a mechanical spring arrangement is dependent upon the susceptibility of the
materials to corrosion and stress levels (static, cyclic or dynamic). The most common failure modes for
springs are fracture due to fatigue and excessive loss of load due to stress relaxation. Table 4-1 is a list
of failure mechanisms and causes of spring failure. Other failure mechanisms and causes may be
identified for a specific application to assure that all considerations of reliability are included in the
prediction. Typical failure rate considerations include: level of loading, operating temperature, cycling
rate and corrosive environment.
In many applications, compression and extension springs are subjected to elevated temperatures at high
stresses which can result in relaxation or loss of load. This condition is often referred to as "set". After
the operating conditions are determined, set can be predicted and allowances made in the spring design.
4- 1

SPRINGS

When no set is allowed in the application, the spring manufacturer may be able to preset the spring at
temperatures and stresses higher than those to be encountered in the operating environment.

Table 4-1. Failure Modes for a Mechanical Spring

APPLICATION

FAILURE MODES

FAILURE CAUSES

- Static (constant
deflection or constant
load)

- Load loss
- Creep
-Set

- Parameter change
- Hydrogen embrittlement

- Cyclic (unidirectional
or reverse stress,
10,000 cycles or more
during the life of the
spring)

- Fracture

- Material flaws
- Hydrogen embrittlement
- Stress concentration due to tooling
marks and rough finishes
- Corrosion
- Misalignment

- Dynamic

- Fracture

- Maximum load ratio exceeded

Most extension spring failures occur in the area of the spring end. For maximum reliability, the spring
wire must be smooth with a gradual flow into the end without tool marks or other stress risers. The spring
ends should be made as an integral part of the coil winding operation and the bend radius should be at
least one and one-half times the wire diameter.
The S)0 value for a spring is the number of cycles that 90% of the springs operating at the published
stress level can be expected to complete or exceed before exhibiting the first evidence of fatigue. If an
S,0 value for the spring can be obtained, this value should be used in conjunction with the environmental
multiplying factors contained in this section. The procedure for estimating spring failure rates contained
herein is intended to be used in the absence of specific data.
4.3 FAILURE RATE CONSIDERATIONS

The following paragraphs describe the terms and parameters used in developing failure rate equations
for springs.
4.3.1 Static Springs

Static springs can be used in constant deflection or constant load applications. A constant deflection
4-2

SPRINGS

spring is cycled through a specified deflection range, the loads on the spring causing some set or
relaxation which in turn lowers the applied stress. The spring may relax with time and reduce the applied
load. Under constant load conditions, the load applied to the spring does not change during operation.
Constant load springs may set or creep, but the applied stress is constant. The constant stress may result
in fatigue lives shorter than those found in constant deflection applications.
4.3.2 Cyclic Springs

Cyclic springs can be classified as being unidirectional or reverse loaded. In one case, the stress is
always applied in the same direction, while in the other, stress is applied first in one direction then in the
opposite direction. Figure 4.18 shows the relationship between the cycle rate of a spring and its effect
on failure rate.
4.3.3 Modulus of Rigidity

The modulus of rigidity provides a measure of elasticity in shear for the spring material. Typical
values are provided in Table 4-2.
4.3.4 Modulus of Elasticity

The modulus of elasticity provides a measure of elasticity in tension for the spring material. Typical
values are provided in Table 4-2.
4.3.5 Spring Index

Spring index (r) is the ratio of mean coil diameter to wire diameter. A spring with a high index will
tend to tangle or buckle.
4.3.6 Spring Rate

Spring rate (R) is the change in load per unit deflection, a measure of spring relaxation.
4.3.7 Shaped Springs

If the spring has a variable diameter such as occurs for conical, barrel and hourglass springs, the
spring can be divided analytically into smaller increments and the failure rate calculated for each. The
failure rate for the total spring is computed by adding the rates for the increments.

4-3

SPRINGS

4.3.8 Number of Active Coils

For compression springs with closed ends, either ground or not ground, the number of active coils is
two less than the total number of coils. There is some activity in the end coils, but during deflection,
some active material comes in contact with the end coils and becomes inactive. Therefore, the total
number of coils minus two is a good approximation for the number of active coils. For extension springs,
all coils are active.
4.3.9 Tensile Strength
The tensile strength provides a measure of spring material deformation or set as a function of stress.
Values of tensile strength are included in Table 4-3.
4.3.10 Corrosive Environment
Corrosion will reduce the load-carrying capability of a spring and its life. The precise effect of a
corrosive environment on spring performance is difficult to predict. The reliability of a spring in terms
of fatigue life and load-carrying ability will be affected by corrosion, the quantitative effect being very
hard to predict. Springs are almost always in contact with other metal parts. If a spring is to be subjected
to a corrosive environment, the use of inert materials provides the best defense against corrosion. Protective coatings can also be applied. In special situations, shot peening can be used to prevent stress
corrosion and cathodic protection systems can be used to prevent general corrosion. The spring material
is normally more noble (chemically resistant to corrosion) than the structural components in contact with
it because the lesser noble alloy will be attacked by the electrolyte. The effects of corrosion on spring
reliability must be based on experience data considering the extent of a corrosive environment. If
corrosive protection is known to be applied to the spring during the manufacturing process, a multiplying
factor, CR, of 1.0 is used in conjunction with the base failure rate. Values of CR greater than 1.0 are used
based on the user's experience with the spring and the operating environment.

4.3.11 Manufacturing Processes

The following effects of manufacturing processes need to be considered in evaluating a design for
reliability:
Sharp comers and similar stress risers should be minimized.
The hardness of the spring material can be sensitive to plating and baking operations.
Quality control procedures for these operations should be reviewed. A multiplying factor,
CM, of 1.0 should be used in conjunction with the base failure rate for known acceptable
4-4

SPRINGS

quality control procedures; otherwise a higher value for the multiplying factor should be
used based on previous experience with the manufacturer.
4.3.12 Other Reliability Considerations for Springs

The most common failure modes of springs include fracture due to fatigue and excessive loss of load.
A reliability analysis should include a review of the following items to assure maximum possible life:
When a spring is loaded or unloaded, a surge wave may transmit torsional stress to the
point of restraint. The impact velocity should be determined to assure that the maximum
load rating of the spring is not exceeded.
Operating temperature should be determined. Both high and low temperature conditions
may require consideration of specialized materials.
Exposure to electrical fields may magnetize the spring material and cause fatigue failure.
4.4 FAILURE RATE MODELS
4.4.1 Compression Springs

The compression spring is the most commonly used spring in machine designs. An example of a
compression spring is shown in Figure 4.1.

Figure 4.1 Typical Helical Compression Spring

The failure rate of a compression spring depends upon the stress on the spring and the relaxation
provided by the material. This relaxation (change in load per unit deflection) is referred to as the spring
4-5

SPRINGS

rate, R. The spring rate for a compression spring is calculated using Equation (4-1).
R =

Where:

GMM (Dww)4
* ^ =

R=
GM =
Dw =
Dc =
Na =
PL =
L, =
L2 =

PL
L_

(4_1)

Spring rate, lbs/in

Modulus of rigidity, lbs/in2
Wire diameter, in
Mean diameter of spring, in
Number of active coils (See Section 4.3.8)
Load, lbs
Initial length of spring, in
Final deflection of spring, in

The spring rate can be determined experimentally by deflecting the spring to 20% of available
deflection and measuring the load (P,) and spring length (L,). Next, the spring is deflected to 80% of
available deflection measuring the load (P2) and spring length (L2), being certain that no coils other than
the closed ends are touching. The spring rate is then calculated as follows:

X
R = -
- =
1
Lj - L2
Lj - L2

(4-2)

Stress in the spring is also proportional to the load, PL according to the following relationship:
8P,D

Where:

SG = Spring stress, lbs/in2

Kw = Spring concentration factor

The spring concentration factor, Kw is a function of the Spring index (ratio of the coil diameter to wire
diameter).

_4r^1+a611
4r-4

r
4-6

SPRINGS

Where:

r = Spring index = D,/Dw

Dc = Mean coil diameter, in
D w = Wire Diameter, in

PL in Equation (4-1) can be substituted into Equation (4-3) for a stress level equation, and the spring
failure rate can be determined from a ratio of stress level to the material tensile strength according to the
following empirically derived relationship (Ref. 14):

^SP

Where:

^SP3

- ..
(
function ofc

stress ^3
strength )

{R^-LJDJsKv,\*
*SPJB

(4-5)

XSP = Failure rate of spring, failures/million hours

XSPB = Base failure rate for spring, 23.8 failures/million hours
T s = Material tensile strength, lbs/in2

A generalized equation that adjusts the base failure rate of a compression spring considering
anticipated operating conditions can be established:

^SP

Where:

= ^SP3 '

'

DW

'

CDC

CN CY C L CK C ^ CR CM

CG = Multiplying factor which considers the effect of the material rigidity

modulus on the base failure rate (See Table 4-2)
=
CDW Multiplying factor which considers the effect of the wire diameter on
the base failure rate (See Figure 4.8)
CQC = Multiplying factor which considers the effect of coil diameter on the
base failure rate (See Figure 4.9)
CN = Multiplying factor which considers the effect of the number of active
coils on the base failure rate (See Figure 4.10)
CY = Multiplying factor which considers the effect of material tensile
strength, Ts, on the base failure rate (See Table 4-3)
CL = Multiplying factor which considers the effect of spring deflection on
the base failure rate (See Figure 4.11)
CK = Multiplying factor which includes the spring concentration factor on
the base failure rate (See Figure 4.12)
C c s = Multiplying factor which considers the effect of spring cycle rate on
the base failure rate (See Figure 4.18)
4-7

(4-6)

SPRINGS

CR = Multiplying factor which considers the effect of a corrosive

environment on the base failure rate (See Section 4.3.10)
CM = Multiplying factor which considers the effect of the manufacturing
process on the base failure rate (See Section 4.3.11)
The parameters in the failure rate equation can be located on an engineering drawing by knowledge
of design standards or by actual measurements. Other manufacturing, quality, and maintenance
contributions to failure rate are included in the base failure rate as determined from field performance
data.
4.4.2 Extension Springs

Helical extension springs store energy in spring tensioning devices and are used to exert a pulling
force. Most helical extension springs are coiled with initial tension, equal to the minimum force required
to separate adjacent coils. Extension springs require a method of attachment to other parts of the
assembly. For extension springs, all coils are active and N, will be equal to the number of coils.
Otherwise, the failure rate equations for extension springs are similar to compression springs and the
procedures in Section 4.4.1 should be used.
4.4.3 Torsion Springs

Helical torsion springs are used to apply a torque or store rotational energy, the most common
application, the clothes pin. Torsion springs are stressed in bending as shown in Figure 4.2. A torsion
spring should always be loaded in a direction that causes its body diameter to decrease because of
increased stresses when the spring is loaded in a direction which increases body diameter.
The mean diameter of a helical torsion spring is equal to:

Dc -

ID + OD

(4-7)

The spring diameter will change with deflection according to the following equation:
D, N
Z> = L_

(4-8)

4-8

SPRINGS

Where:

D, = Initial mean diameter, in.

0 = Angular deflection from free position, revolutions
N = Number of active coils

[> Body Length, L2

Figure 4.2 Typical Helical Torsion Spring

Most torsion springs are close-wound, with body length equal to wire diameter multiplied by the
number of turns plus one. When the spring is deflected in a direction which reduces its coil diameter,
body length increases to Lj according to the following equation:

Z, = Z>w (tfa
Where:

0)

(4-9)

D w = Wire diameter, in

Stress in torsion springs is due to bending and for round wire is calculated with the following
equation:
S =

Where:

3EMDV6
nDcNA

5 =
EM =
Dw =
Dc =
N =
6 =

(4-10)

Bending stress, lbs/in2

Modulus of Elasticity, lbs/in2
Wire diameter, in
Mean diameter of spring, in
Number of active coils (See Section 4.3.8)
Angular deflection, revolutions

4-9

SPRINGS

The equation to determine the failure rate of a torsion spring can be written as follows:
^SP = ^SPJ '
Where:

E ' CDW ' CDC CN . CY . CL Ccs CR CM

(4-11)

kSf = Failure rate of spring, failures/million hours

A,SPB = Base failure rate for spring, 14.3 failures/million hours
CE = Multiplying factor which considers the effect of the material elasticity
modulus on the base failure rate (See Table 4-2)
CDW = Multiplying factor which considers the effect of the wire diameter on
the base failure rate (See Figure 4.8)
=
CDC Multiplying factor which considers the effect of coil diameter on the
base failure rate (See Figure 4.9)
CN = Multiplying factor which considers the effect of the number of active
coils on the base failure rate (See Figure 4.10)
CY = Multiplying factor which considers the effect of material tensile
strength on the base failure rate (See Table 4-3)
CL = Multiplying factor which considers the effect of spring deflection on
the base failure rate (See Figure 4.13)
Ccs = Multiplying factor which considers the effect of spring cycle rate on
the base failure rate (See Figure 4.18)
CR = Multiplying factor which considers the effect of a corrosive
environment on the base failure rate (See Section 4.3.10)
CM = Multiplying factor which considers the effect of the manufacturing
process on the base failure rate (See Section 4.3.11)

4.4.4 Curved Washers

Curved washers are used to secure fasteners, distribute loads, absorb vibrations and axial end play,
and other similar applications. A typical curved washer is shown in Figure 4.3. A special type of curved
washer, the Belleville washer, is discussed in Section 4.4.6. When a load is applied to a curved washer
it tends toflattencausing radial and circumferential strains. This elastic deformation constitutes the spring
action. Stress is not distributed uniformly in curved washers, the greatest stress occurring at the convex
inner edge. Curved washers exert a relatively light thrust load. Bearing surfaces should be hard to
prevent washer comers from scoring the shaft.

4 - 10

SPRINGS

Figure 4 J Typical Curved Washer

The stress on a curved washer is:

S =

Where:

6EMft

(4-12)

(OD) 2

S=
EM =
f =
t =
OD =

Bending stress, lb/in2

Modulus of Elasticity, lb/in2
deflection
washer thickness, in
Outside Diameter, in

The failure rate of a curved washer is determined using the following equation:

*SP

Where:

" ^SP3

CY-C{

'CS

'M

Xsp = Failure rate of spring, failures/million hours

XSPB = Base failure rate for spring, 1.1 failures/million hours
CE = Multiplying factor which considers the effect of the material elasticity
modulus on the base failure rate (See Table 4-2)
C, = Multiplying factor which considers the effect of the material thickness
on the base failure rate (See Figure 4.14)
CD = Multiplying factor which considers the effect of washer diameter on
the base failure rate (See Figure 4.15)

4 - 11

(4-13)

SPRINGS

CY = Multiplying factor which considers

effect of material tensile
strength on the base failure rate (See i aole 4-3)
Cf = Multiplying factor which considers the effect of washer deflection on
the base failure rate (See Figure 4.16)
Ccs = Multiplying factor which considers the effect of spring cycle rate on
the base failure rate (See Figure 4.18)
CR = Multiplying factor which considers the effect of a corrosive
environment on the base failure rate (See Section 4.3.10)
CM = Multiplying factor which considers the effect of the manufacturing
process on the base failure rate (See Section 4.3.11)

4.4.5 Wave Washer

Wave washers are used to apply moderate thrust loads when radial space is limited. A typical wave
washer is shown in Figure 4.4.

f=h,-h,

Figure 4.4 Typical Wave Washer

The stress on a wave washer is given by:

0.3nEMftN2
D2

(0D

(4-14)

ID

4 - 12

SPRINGS

Where:

S=
EM =
f =
t =
OD =
ID =
D =
N =

Bending stress, lbs/in2

Modulus of Elasticity, lbs/in2
Deflection, in
Material thickness, in
Outside Diameter, in
Inside Diameter, in
Mean diameter, in = (OD + ID)/2
Number of waves

The failure rate of a wave washer is determined using the following equation:

^SP = ^SP3 ' CE ' C, CD . CY Cf C ^ C ^ C R CM

Where:

(4-15)

kSP - Failure rate of spring, failures/million hours

^SP,B = Base failure rate for spring, 1.9 failures/million hours
CE = Multiplying factor which considers the effect of the material elasticity
modulus on the base failure rate (See Table 4-2)
C, = Multiplying factor which considers the effect of the material thickness
on the base failure rate (See Figure 4.14)
CD = Multiplying factor which considers the effect of washer diameter on
the base failure rate (See Figure 4.15)
CY = Multiplying factor which considers the effect of material tensile
strength on the base failure rate (See Table 4-3)
Cf = Multiplying factor which considers the effect of washer deflection on
the base failure rate (See Figure 4.16)
CNW = Multiplying Factor which considers the number of waves on the base
failure rate (See Table 4-4)
C c s = Multiplying factor which considers the effect of cycle rate on the base
failure rate (See Figure 4.18)
CR = Multiplying factor which considers the effect of a corrosive
environment on the base failure rate (See Section 4.3.10)
CM = Multiplying factor which considers the effect of the manufacturing
process on the base failure rate (See Section 4.3.11)

4.4.6 Belleville Washer

When a load is applied to a Belleville washer it tends to flatten causing radial and circumferential
strains. This elastic deformation creates the spring action. A typical Belleville washer is shown in Figure
4 - 13

SPRINGS

4.5. Belleville washers are capable of providing very high loads at small deflections. Stress is not
distributed uniformly in Belleville washers. The highest stress occurs at the top inner edge and can be
estimated with the following equation:

S =

Where:

EMf
(i - S)

S =
EM =
f =
u =
R =
t =
a =

R(,
\0'

(4-16)
)

Bending stress, lbs/in2

Modulus of Elasticity, lbs/in2
Deflection, in
Poisson's Ratio
Dimension factor (See Figure 4.17)
Material thickness, in
O.D./2, in

Figure 4.5 Typical Belleville Washer

The failure rate of a Belleville washer is determined using the following equation:

^SP

Where:

= ^SP3 '

' C '

' Cf CY C s Ccs CE CM

X.SP = Failure rate of spring, failures/million hours

X,SPB = Base failure rate for spring, 2.6 failures/million hours
4 - 14

(4-17)

SPRINGS

CE = Multiplying factor which considers the effect of the material elasticity

modulus on the base failure rate (See Table 4-2)
C, = Multiplying factor which considers the effect of material thickness on
the base failure rate (See Figure 4.14)
CD = Multiplying factor which considers the effect of washer size on the
base failure rate (See Figure 4.15)
Cf = Multiplying factor which considers the effect of spring deflection on
the base failure rate (See Figure 4.16)
CY = Multiplying factor which considers the effect of material tensile
strength on the base failure rate (See Table 4-3)
Cs = Multiplying factor for compressive stress (See Figure 4.17)
Ccs = Multiplying factor which considers the effect of spring cycle rate on
the base failure rate (See Figure 4.18)
CR = Multiplying factor which considers the effect of a corrosive
environment on the base failure rate (See Section 4.3.10)
CM = Multiplying factor which considers the effect of the manufacturing
process on the base failure rate (See Section 4.3.11)

4.4.7 Cantilever Spring

Cantilever springs are fabricated from flat strip material which stores and releases energy upon being
deflected by an external load. A typical cantilever spring is shown in Figure 4.6. In complex designs,
only a small part of the device may be functioning as a spring, and for analytical purposes, that portion
which is active during operation may be considered as an independent device.
The bending stress for cantilever springs can be determined as follows:
(4-18)

2L2
Where:

S
EM
f
t
L

=
=
=
=
=

Bending stress, lbs/in2

Modulus of elasticity, lbs/in2
deflection, in
thickness, in
length, in

4 - 15

SPRINGS

Figure 4.6 Typical Cantilever Spring

The failure rate of a cantilever spring is determined using the following equation:

*SP " ^SP3

Where:

ct*cD.crcY.

c,cs

'M

Xsp = Failure rate of spring, failures/million hours

A.SPB = Base failure rate for spring, 1.1 failures/million hours
CE = Multiplying factor which considers the effect of the material elasticity
modulus on the base failure rate (See Table 4-2)
C, = Multiplying factor which considers the effect of material thickness on
the base failure rate (See Figure 4.14)
CD = Multiplying factor which considers the effect of washer size on the
base failure rate (See Figure 4.15)
Cf = Multiplying factor which considers the effect of spring deflection on
the base failure rate (See Figure 4.16)
CY = Multiplying factor which considers the effect of material tensile
strength on the base failure rate (See Table 4-3)
Ccs = Multiplying factor which considers the effect of spring cycle rate on
the base failure rate (See Figure 4.18)
CR = Multiplying factor which considers the effect of a corrosive
environment on the base failure rate (See Section 4.3.10)
CM = Multiplying factor which considers the effect of the manufacturing
process on the base failure rate (See Section 4.3.11)

4 - 16

(4-19)

SPRINGS

4.4.8 Beam Spring

Beam springs are usually rectangular in shape and formed into an arc as shown in Figure 4.7.
Assuming the ends are free to laterally, stress can be computed as follows:

S =
Where:

6EMft

S=
EM =
f =
t =
L =

(4-20)

Bending stress, lbs/in2

Modulus of elasticity, lb/in2
deflection, in
material thickness, in
Active spring length, in

Figure 4.7 Typical Beam Spring

The failure rate of a beam spring is determined using the following equation:

*SP

Where:

^SP3 '

E '

t '

c,-c,

Ccs ' CR CM

XSP = Failure rate of spring, failures/million hours

XSPB = Base failure rate for spring, 4.4 failures/million hours
CE = Multiplying factor which considers the effect of the material elasticity
modulus on the base failure rate (See Table 4-2)
C, = Multiplying factor which considers the effect of material thickness on
the base failure rate (See Figure 4.14)
CD = Multiplying factor which considers the effect of spring length on the
base failure rate (See Figure 4.15)

4 - 17

(4-21)

SPRINGS

Cf = Multiplying factor which considers the effect of spring deflection on

the base failure rate (See Figure 4.16)
CY = Multiplying factor which considers the effect of material tensile
strength on the base failure rate (See Table 4-3)
Ccs = Multiplying factor which considers the effect of spring cycle rate on
the base failure rate (See Figure 4.18)
CR = Multiplying factor which considers the effect of a corrosive
environment on the base failure rate (See Section 4.3.10)
CM = Multiplying factor which considers the effect of the manufacturing
process on the base failure rate (See Section 4.3.11)

4 - 18

SPRINGS

10.00 ,''

Wire Diameter Multiplying Factor, CDW

Ii

/
/
*

/
'

U.U 1

0.00

0.02

0.04

0.06

0.08

'

0.10

0.12

0.14

Wire Diameter, D w , in inches

\3
'DW

'w
^ 0.085 )

Figure 4.8 Multiplying Factor for Wire Diameter

4 - 19

0.16

0.18

SPRINGS

100.00 .^_

.-

i
]

1
,

I
o
a
U

10.00

rr
f

II
I!

"a.
5

1.00

-Ns

u
E
.2

"o
O

0.10

0.01
0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

1.10

Spring Coil Diameter, D c , inches

0.58 ^

'DC

'c ;

Figure 4.9 Multiplying Factor for Spring Coil Diameter

4-20

1.20

SPRINGS

lUO.U "

!
1

P, 10.0 -

;
;

i
i

Multiplying Factor for #

V.1

10

12

14

16

'

U3

20

2r,l

Number of Active Coils, ^

14)*

Figure 4.10 Multiplying Factor for Number of Coils in a Spring

4-21

24

26

SPRINGS

100.00 1

-J

10.00 -

b
o

1
i
!

p
o

iJ

/
/

^
/ '

A.

Spri ng Deflection ^Multiplying Fac

U.U 1

0.2

0.4

0.6

0. 8

1.0

1.2

1. 4

1. 6

1.8

2.0

2.2

Spring Deflect ion, L 1 - L2, inches

Figure 4.11 Multiplying Factor for Spring Deflection

4-22

2.4

2.6

2.8

SPRINGS

-1.45

i.o

1.4

u
a

1.4

19-

1.35

1n -

1-3

no

1.25

"a.
"5

2
h

C/3

|
c
o

Kw

DO

|
c
V

ne .
U.D

1.2 J

cK

nA -

DO

c
n

1.15 (gno -

1.1

0.0-

1.05

9
11
Spring Index, r

13

15

1.219
xiru
Where:

v
K

= *r-1
4r-4

+ 0.615
r

D c = Coil Diameter, inches

D w = Wire Diameter, inches
Figure 4.12 Multiplying Factor for Stress Concentration Factor

4-23

17

SPRINGS

1 n nnn i

1.000 -

'

>

I
i

s^

p* Y

1 ^ * !

'

'

1
1

:
1

p
o
o

3
3
3

Sprin g Deflection M ultiplying Fact

u
s

U.UU 1 ^

113

20

30

40

50

60

70

80

90

100

110

Spring Deflection, 6, degrees

e
61.2
Where 0 = Angular rotation in degrees

Figure 4.13 Multiplying Factor for Deflection of a Torsion Spring

4-24

120

130

SPRINGS

100.00 1

10.00 '

^ ^^

p
o

Was ler Thickness 1 Multiplying Fac

0.005

0.015

0.0 25

0.0 35

0.0-45

0.0 55

O.Of 55

Matesrial Thickiriess, t, inc les

0.025

Figure 4.14 Multiplying Factor for Material Thickness

4-25

0.075

0.085

SPRINGS

100.000

o 10.000
U

i
i

u
U.
60

I
i

h
p

1.000

1
1

D.

"5
u

h
.

^H

0.100

0.010

^ 5 ^

f;
r>i^.

0.001
0.5

1.0

1.5

2.0

2.5

Washer Size, OD or L, inches

CnD =

1.20\6

( 1.20)6

I OD J

{ L )

Where: OD = Outside Diameter, in

L = Length of Beam or Cantilever Spring, in

Figure 4.15 Multiplying Factor for Washer Size

4-26

3.0

SPRINGS

0.055 J

Figure 4.16 Multiplying Factor for Washer Deflection

4-27

i
C

o
O
I

o
I
^

o
^

o
a

Washer Stress Multiplying Factor, Cs

SPRINGS

u.w

1.0

1.5

2.0

2.5

3.0

3.5

4.0

4.5

5.0

Belleville Washer Dimension Factor, R

6 V ( R-l
' n- ln/c*
{ In/?

Where:

j)(

(R-l)2)

R-l)(
V

R = OD/ID
OD = Outside Diameter, in
ID = Inside Diameter, in

Figure 4.17 Multiplying Factor for Belleville Washer Compressive Stress

4-28

SPRINGS

IO "
l

CO

11"

1U "

y *

/
ed
U60

O "
/

''

3
D "

u
CC)

0 "

O "
d, ~

14
300

320

340

360

380

400

420

440

Spring Cycle Rate, CR, Cycles/Minute

For CR < 300 cycles/min, O s = 1.0

For CR > 300 cycles/min,

C^ = [ I

Where: CR = Spring cycle rate, cycles/min

Figure 4.18 Multiplying Factor for Spring Cycle Rate

4-29

460

SPRINGS

Table 4-2. Moduli of Elasticity in Torsion and

Tension for Typical Spring Materials

MODULUS OF
RIGIDITY (GM)
lbs/in2 x 10a

MATERIAL
Ferrous:
Music Wire
Hard Drawn Steel
Chrome Steel
Silicon-Manganese
Stainless, 302,304,316
Stainless 17-7 PH
Stainless 420
Stainless 431
Non-Ferrous:
Spring Brass
Phosphor Bronze
Beryllium Copper
Inconel
Monel

Cc

MODULUS OF
ELASTICITY (EM)
lbs/in2 x 106

cE

11.8
11.5
11.2
10.8
10.0
10.5
11.0
11.4

1.08
1.00
0.92
0.83
0.67
0.76
0.88
0.97

29.0
28.5
29.0
29.0
28.0
29.5
29.0
29.5

1.05
1.00
1.05
1.05
0.98
1.04
1.05
1.11

5.0
6.0
7.0
10.5
9.5

0.08
0.14
0.23
0.76
0.56

15.0
15.0
17.0
31.0
26.0

0.15
0.15
0.21
1.09
0.76

NOTE: Modulus GM is used for compression and extension springs; modulus EM is used for
torsion springs, fiat springs and spring washers.

( C
G =

N3

Cz =

{U75)

4-30

(C

\3

(28.5 )

SPRINGS

Table 4-3. Material Tensile Strength Multiplying Factor, Cv

TENSILE STRENGTH, T s
lbs/in2 x 103

MATERIAL

CY =

9.40
6.86
6.86
2.03
1.28
1.00
1.00
0.90
0.47

90
100
100
150
175
190
190
210
245

Brass
Phosphor Bronze
Monel 400
Inconel 600
Monel K500
Copper-Beryllium
Stainless Steel 301, 302
17-7 PH RH950
Spring Temper Steel
=
=

190

Table 4-4. Wave Washer Multiplying Factor, C ^

Number of Waves, NW
3
4
5
6
7

'NW

CNW

2.78
1.56
1.00
0.69
0.51
0.39

_5_
{ NW

4-31

Cy

THIS PAGE INTENTIONALLY LEFT BLANK

CHAPTER

SOLENOIDS, CONTACTORS
5.1 INTRODUCTION
The reliability of a typical solenoid assembly depends on the construction of the coil assembly, length
of the stroke, and the environment in which it operates. The primary failure modes of a solenoid coil
assembly include one or more winding shorts or an open coil usually caused by overheating. The
maximum specified cycling rate of the solenoid should be determined and compared with the potential
operating rate to make sure the coil will not be overheated in its operating environment.
The failure rate of the solenoid assembly is more dependent upon manufacturing defects associated
with the assembly of the coil in relation to the armature than it is upon operating environment. Therefore,
a base failure rate based on field experience data can be used as an estimate of the failure rate for a
solenoid in its operating environment:

^so
Where:

^so3^"T

* p + ^c

(5-1)

Xso = Failure rate of a solenoid in failures/million cycles

XS0B = Base failure rate of solenoid, 3.00 failures/million cycles
CT = Multiplying factor which considers the effect of ambient temperature
on the base failure rate (See Figure 5.1)
XP = Failure rate of solenoid armature assembly (See Section 5.2)
Xc = Failure rate of contactor assembly (See Section 5.3)

5.2 FAILURE RATE OF ARMATURE ASSEMBLY

Clearance between the coil assembly and the armature assembly must be maintained for proper
operation and the design should be evaluated for reliability considering the operating environment. For
large solenoid operated contactor assemblies, the procedures in Chapter 9 should be used to evaluate the
wear rate of the solenoid piston. The basic equation to estimate the wear life of the piston is (Ref.
Chapter 9):
5- 1

SOLENOIDS

= 2000

(Y F

)9

(5-2)

Where:

N0 = Wear life of the piston, cycles

Y = Wear factor = 0.54
2
Fy = Yield strength of piston, lbs/in
2
S, = Compressive stress between the piston and solenoid housing, lbs/in

The compressive stress caused by the piston stroke is computed with the following equation:

W
Sc = 0.8

Where:

W
L
D,
D2
r|
E

=
=
=
=
=
=

D,-D2

1/2

DXD2

(5-3)

Side load on the solenoid piston, lb

Total linear contact between piston and solenoid housing, in
Inner diameter of solenoid housing, in
Diameter of piston, in
Poisson's ratio
Modulus of elasticity, lbs/in2

The failure rate of the solenoid piston is calculated from the following equation:

10*
AT

(5-4)

5.3 FAILURE RATE OF CONTACTOR ASSEMBLY

Contactor life is usually limited by the contacts depending on physical, chemical and electrical
phenomenon. Failure of an electrical contact can usually be determined by an increase in contact
5 -2

SOLENOIDS

resistance to approximately twice the initial value. The failure rate of the contactor can be written as (Ref
80):

Where:

Xc
A.c B
V
1
n
m

=
=
=
=
=
=

Failure rate of contactor assembly, failures/million operations

Base failure rate of contactor assembly, failures/million operations
Voltage across contactor assembly, volts
Current, amperes
Voltage constant
Current constant

A more general equation can be written for AC resistive loads (Ref 80):

^C =

Where:

Cfi * C V * Cl

(5-6>

k = Failure rate of contactor assembly, failures/million operations

XCB = Base Failure of contactor assembly, resistive load, 1.10
failures/million operations
C v = Multiplying factor considering contactor voltage (See Figure 5.2)
C, = Multiplying factor considering contactor current (See Figure 5.3)

For AC inductive loads, the power factor must be considered, modifying Equation (5-5) as follows (Ref.
80):

^ c = ^OB '

Where:

v * Ci ' CPF

(5-7)

XCB = Base failure rate of contactor assembly, inductive load, 3.60

failures/million operations
CPF = Multiplying factor considering the power factor (See Figure 5.4)

DC loads generate greater arcing across the contacts than do AC loads. The failure rate equation for a
contactor with DC loads is written as follows (Ref 80):

5-3

SOLENOIDS

Where:

X = Failure rate of contactor assembly, failures/million operations

JIQB = Base Failure of contactor assembly, DC load, 2.5 failures/million
operations
Cv = Multiplying factor considering contactor voltage (See Figure 5.5)
C, = Multiplying factor considering contactor current (See Figure 5.6)

5-4

SOLENOIDS

J.U -

d/5iS

1 2.0QO

c
"H.
2
1.53

s
c
n

Tempera

2 <_

U.v

-2 D -1 5 -10 - 5

1()

15

2()

25

3(3

35

4(3

45

50

55

TR- T0,F

CT = 2 . 2 8 e - 0 0 1 5 ( T - T )
Where:

TR = Rated temperature of solenoid, F

T0 = Operating temperature, F

Figure 5.1 Multiplying Factor for Solenoid Ambient Temperature

5-5

60

6J

SOLENOIDS

e n .
O.U

4.5U

4.0-

uT

o
5 3.5
g> 3.0_>.
s

2.5-

2.0-

00

!p
>

1.5-

<

1.0 0.5U.U 1

0.0

0.1

0.2

0.3

0.4

0.5

0.6

0.7

v</vr

( V

cv =
Where:

0.8

0.9

1.0

1.1

volts

\Q15

V0 = Operating voltage, volts

Vt = Rated voltage, volts

Figure 5.2 Multiplying Factor for AC Contactor Voltage

5-6

1.2

1.3

1.4

SOLENOIDS

AC Current Multiplying Factor, C,

1.2 -

1.0-

0.8 -

0.6-

0.4-

0.2-

0.00. 0

0. 1

0.
2

I
0. 3

I
0.<*

0. 5

0. 6

0. 7

0. 3

0.

I
1.0

1.

An aniperes

Cj = 3.50

(I

\lM

V'r,

Where:

I0 = Operating current, amperes

Ir = Rated current, amperes

Figure 53 Multiplying Factor for AC Contactor Current

5-7

1.2

1.3

1.4

SOLENOIDS

A C -

4.03.5 U.

a.

ute

o 3.0 -

+^
cd

fc

2.5-

*>>

.& 2 -"
S
b

1.5-

1.00.5fin .

0.2!0

0.30

0.40

0.50

0.60

0.70

0.80

Power Factor, PF

CPF = 4.0 (PF)2

Figure 5.4 Multiplying Factor for Power Factor

5-8

0.90

1.00

SOLENOIDS

o.u -

o.u -

c3

c5

iulti jlyin g Factor,

*

>

O
D

^olta

u
0 on

1I.Un ^

0.0-J
0.0

0.1

0.2

0.3

0.4

0.5

0.6

0.7

0.8

0.9

1.0

VJVr, volts

c =
Where:

( V V-33
o

V0 = Operating voltage, volts

Vr = Rated voltage, volts

Figure 5.5 Multiplying Factor for DC Contactor Voltage

5-9

1.1

1.2

1.3

SOLENOIDS

1 A -

1.2-

u"
c

|
ca
tu

1.0-

00

c
!> 0.8 _"E.
"3
S 0.6 -,
c
fc
U 0.4 U
Q
0.2-

nn .
0.0

0.1

0.2

0.3

0.4

0. 5

0.6
ljlr,

I J

0.7

0.B

0.9

1.0

1.1

amperes

\1.30

CT = 4.20
x'-

Where:

I0 = Operating current, amperes

Ir = Rated current, amperes

Figure 5.6 Multiplying Factor for DC Contactor Current

5- 10

1.2

1.3

CHAPTER

VALVE ASSEMBLIES
6.1 INTRODUCTION
This chapter contains failure rate models for fluid valve assemblies which can be used to support the
development of mechanical equipment and provide a reliability estimate for a new design or a proposed
design modification. The models are intended to focus attention on further design analyses which should
be accomplished to assure the allocated reliability of the valve in its intended operating environment.
A typical valve assembly is shown in Figure 6.1. After the failure rates are determined for each
component part, the results are summed to determine the failure rate of the total valve assembly:

^ VA

^ PO

^ SE

^ SP

^ SO

^ HO

("-!)

* SE

^ SP

^ SO

^ HO

(*>-2)

for a poppet type valve, or

^ VA

^ SV

for a sliding-action valve.

Where:

XVA - Failure rate of total valve assembly in failures/million operations

^PO = Failure rate of poppet assembly in failures/million operations as
derived from Section 6.3
X.sv = Failure rate of sliding action valve assembly in failures/million
operations as derived from Section 6.4
kSE = Failure rate of the seals in failures/million operations as derived from
Chapter 3
?*.Sp = Failure rate of spring(s) in failures/million operations as derived from
Chapter 4
A.s0 = Failure rate of solenoid in failures/million operations as derived from
Chapter 5
A.H0 = Failure rate of valve housing as derived from Section 6.5
6- 1

VALVE ASSEMBLIES

Figure 6.1 Typical Valve Configuration

6.2 FAILURE MODES OF VALVE ASSEMBLIES

Failure rate models included in this section are based upon the identification of failure modes.
Appropriate models to predict the rate of occurrence for each component part are used as applicable and
then the failure rates of all component parts are added together to determine the component failure rate.
The models can also be used to determine the probability of occurrence of a particular failure mode.
Many valve assemblies are uniquely designed for special applications and a more detailed analysis is often
required for those failure modes identified as critical or where results of the analysis indicate that an
additional investigation is warranted.
Typical failure modes for a valve assembly are listed in Table 6-1. It should be noted that the failure
modes, failure causes and failure effects may be interchanged depending upon the type of analysis being
performed. For example, a functional analysis will tend to identify those entries in Table 6-1 under local
6-2

VALVE ASSEMBLIES

effects as the failure mode while a very detailed hardware analysis would result in the identification of
those entries under failure cause as the failure mode.

Table 6-1. Failure Modes of a Valve Assembly

FAILURE MODE

FAILURE CAUSE

LOCAL EFFECT

Seal leakage

- Embrittlement
- Installation damage
- Wear
- Surface damage
- Distortion
- Dynamic instability

- Internal or external valve

leakage

Worn or damaged poppet

seat

- Wear of poppet/seat
assembly
- Contaminants

- Poppet not seating properly

causing internal leakage
and low/erratic pressure
drop

Worn or damaged spool

- Contaminants
- Misalignment

- Internal leakage

Sticking valve piston in main

valve body

- Contaminants
- Loss of lubrication
- Air entrapment
- Excessively high temperature
- Structural interference

- Low/erratic pressure drop

- Slow operating response
- Valve immobile

Broken spring or damaged

spring ends

- Fatigue

- Unable to adjust/maintain
pressure

Inoperative solenoid
assembly

- Open coil winding

- Misalignment of solenoid with
respect to spool or poppet
stem

- Valve fails to open or close

External leakage

- Contaminants

- Poppet Stem Wear

Cracked connector/housing

- Fatigue
- External shock
- Vibration

- External leakage

6.3 FAILURE RATE MODEL FOR POPPET ASSEMBLY

The term poppet refers to those valves in which the valve element travels perpendicular to a plane
through the seating surface. The poppet valve element is used in flow control, pressure control and
6-3

VALVE ASSEMBLIES

directional control valves. In a poppet valve, a relatively large flow area is provided with short travel of
the poppet. This characteristic simplifies the actuator requirements and permits the use of solenoids and
diaphragms, which are characteristically short stroke devices.
Figure 6.2 illustrates the operation of a simple poppet valve. The valve consists primarily of a movable
poppet which closes against a valve seat. In the closed position, fluid pressure on the inlet side tends to
hold the valve tightly closed. A force applied to the top of the valve stem opens the poppet and allows
fluid to flow through the valve.

STEM

STEM

OUTLET

INLET

INLET
POPPET

CLOSED

OPEN

Figure 6.2 Poppet Valve Assembly

The poppet fits into the center bore of the seat. The seating surfaces of the poppet and the seat are
lapped or closely machined so that the center bore will be sealed when the poppet is seated. An O-ring
is usually installed on the stem of the poppet to prevent leakage past this portion of the poppet assembly.
Table 6-2 is a list of typical failure modes, mechanisms and causes for a poppet assembly. A review
of failure rate data suggests the following characteristics be included in the failure rate model for poppet
assemblies:

Leakage requirement
Material hardness
Surface irregularities
Fluid viscosity
Fluid/material compatibility
Fluid pressure
Physical size of poppet/seat
6-4

VALVE ASSEMBLIES

Q.C/manufacturing processes
Contamination level
Utilization rate

Table 6-2.

Failure Rate Considerations for Poppet Assembly

FAILURE MECHANISMS

FAILURE MODE

FAILURE CAUSES

Internal Leakage

Worn poppet/seat

- Contaminants

Poor Response

Sticking/jammed poppet
assembly

- Side Loading
- Incorrect spring pressure
- Contaminants

External Leakage

Wear of poppet stem

- Contaminants

A new poppet assembly may be expected to have a sufficiently smooth surface finish for the valve
to meet internal leakage specifications. However, after some period of time contaminants will cause wear
of the poppet/seat assembly until leakage rate is beyond tolerance. This leakage rate, at which point the
valve is considered to have failed, will depend upon the application.
A failure rate equation for a poppet assembly is dependent upon the ratio of actual leakage rate to that
allowable under conditions of usage. This rate, based on Navy Maintenance and Material Management (3M) data can be expressed as follows:

TO

Where:

A-pQ
l

PO,B

Qa
Qf

P03

(6-3)

Failure rate of the poppet assembly, failures/million operations

Base failure rate for poppet assembly, failure/million operations
Leakage rate, in3/min
Leakage rate considered to be valve failure, in3/min

The allowable leakage, Qf is determined from design drawings, specifications or knowledge of

component applications. The actual leakage rate, Qa is determined from the following equation (Ref.5):

6-5

VALVE ASSEMBLIES

2x 10* Z> MS / 3 (P, 2 - P 2 2 )

Q =
Mli
1
2_
n

Where:

{6_4)

Actual fluid leakage, in3/min

Mean seat diameter, in
Mean surface finish of opposing surfaces, uin
Upstream pressure, lb/in2
Downstream pressure, lb/in2
Absolute fluid viscosity, lb-min/in2
Radial seat land width, in
Seat stress, lb/in2

Qa =
D MS =
f =
P] =
P2 =
va =
Lw =
Ss =

Failure rate of the poppet assembly will be dependent upon leakage rate and those factors which
influence the deterioration of surface finish such as rate of cycling, material properties and contaminants.
Deterioration of the poppet and seat by contaminants is dependent upon material properties and the
number of contaminants, and that part of the time the poppet is open and subject to contaminants under
fluid pressure.
A contamination factor can be derived from the following equation:

Z = (function of) [a, n, Q,d,T]

Where:

Z
a
n
Q
d
T

=
=
=
=
=
=

(6-5)

Poppet/seat degradation
Contaminant wear coefficient, in3/particle
Number of contaminant particles/in3
Flow rate, in3/min
Ratio of time the poppet is open to total operating time
Temperature of operation, T

Table 6-6 provides typical quantities of contaminants for use in establishing a multiplying factor. By
normalizing the equation to those values for which historical failure rate data are available the following
model can be derived:

ro

POJB '

P '

Q * C F ' c v * C N * c s * C DT c sw

6-6

cw

C6"6)

VALVE ASSEMBLIES

Where:

^po = Failure rate of poppet assembly in failures/million operations

^po B = Base failure rate of poppet assembly, 1.40 failures/million operations
CP = Multiplying factor which considers the effect of fluid pressure on
the base failure rate (See Figure 6.5)
CQ = Multiplying factor which considers the effect of allowable leakage
on the base failure rate (See Figure 6.6)
CF = Multiplying factor which considers the effect of surface finish on the
base failure rate (See Figure 6.7)
Cv = Multiplying factor which considers the effect of fluid viscosity and
temperature on the base failure rate (See Table 6-5)
CN = Multiplying factor which considers the effect of contaminants on the
base failure rate (See Table 6-6)
C s = Multiplying factor which considers the effect of the seat stress on
the base failure rate (See Figure 6.8)
CDT = Multiplying factor which considers the effect of the seat diameter on
the base failure rate (See Figure 6.9)
C s w = Multiplying factor which considers the effect of the seat land width
on the base failure rate (See Figure 6.10)
C w = Multiplying factor which considers the effect of flow rate on the
base failure rate (See Figure 6.13)

The following paragraphs provide background information on those parameters included in the model.
6.3.1 Fluid Pressure
Figure 6.5 contains the fluid pressure multiplying factors for use in the model. Valves having high
response characteristics and consequently a high poppet velocity will incur large seat stresses which tend
to reduce the life expectancy of the valve. As with any piece of mechanical equipment, the higher the
structural loads the shorter the life. Pressure forces arise from any net pressure unbalance acting on the
valve element. Depending upon the functional design of the valve, the pressure force may increase,
decrease, or virtually have no effect on the actuation force. In an unbalanced valve design such as a
conventional poppet, upstream pressure normally acts in a direction to seat the valve so that an increasing
upstream pressure will tend to force the valve element tighter against its seat. The use of pressure
unbalance to aid in sealing requires a higher actuation force to open the valve. When the size of the valve
and the magnitude of pressure demand excessively large actuation forces, a balanced design and/or piloting
is often utilized. In most cases the pressure on the poppet can be assumed to be the system upstream
pressure, P,, minus the downstream pressure, P2.

6-7

VALVE ASSEMBLIES

6.3.2 Allowable Leakage

Figure 6.6 shows the allowable leakage multiplying factor for use in the model. Allowable internal
leakage of a poppet design can be obtained from valve specifications. Leakage requirements vary from
molecular flow for certain shutoff valves at one extreme to several cubic feet per minute in some
inexpensive valves which control water or other inexpensive fluid. Allowable leakage must be evaluated
with respect to total mission and operational requirements.
6.3.3 Surface Finish

Evaluation of surface finish involves both poppet and seat assemblies. Surface finishes will usually
be specified on assembly drawings in terms of microinches or by a manufacturing process. Typical
surface finishes for manufacturing processes are provided in Table 6-4. These values are for a finish as
initially manufactured and a new valve can be expected to have a sufficiently smooth surface finish to
meet internal leakage specifications. However, after some period of time contaminants will cause wear
of the poppet/seat assembly until leakage rate is beyond tolerance. This deterioration of surface finish will
be influenced by operating temperature and pressure, rate of cycling, loads and material properties.
6.3.4 Fluid Viscosity

Multiplying factors for fluid viscosities of typical fluids are provided in Table 6-5. Multiplying factors
for other fluid viscosities at the operating temperature can be found in reference sources.
6.3.5 Contamination Sensitivity

Cleanliness of the system and of the fluid medium has a direct effect upon the operation and life of
a poppet valve. Contaminants can clog or jam the poppet and cause excessive leakage in metal-to-metal
seated valves. Particulate matter in gaseous media, especially in the lighter gases such as helium, can be
extremely destructive to internal parts, particularly seats, because of the very high velocity that can be
attained under sonic conditions.
The analysis of particle sizes includes the determination of upstream filter size, the filter maintenance
schedule, the number of upstream components between the valve and filter, and the number of particles
likely to be encountered at the poppet/seat assembly. Table 6-6 lists typical quantities of contaminants
for use in determining the multiplying factor.

6-8

VALVE ASSEMBLIES

6.3.6 Seat Stress

The force applied by the poppet against the seat is found by actual measurement or design
specifications. The poppet area can be calculated as follows:

7TD-

(6-7)

A~r *ST

AST = Seat Area, in2

D s = Diameter of poppet exposed to fluid pressure, P,, in

Where:

In the typical poppet/valve seat example of Figure 6.3, AST can be computed as follows:

Where:

ST

(6-8)

Dj = Outside diameter of poppet, in

D2 = Diameter of poppet shaft, in

HH

'i

Figure 6.3 Typical Poppet/Valve Seat Configuration

6-9

VALVE ASSEMBLIES

And the force of the poppet against the seat is:

Fs =

Where:

x^-PJD*

=^-

(6-9)

Fs

= Force on seat, lb

P,

= Upstream fluid pressure, psi

P2

= Downstream fluid pressure, psi

The seat land area acting as a seal when the valve is closed is calculated by:

ffZ?

^SL =
Where:

M^w

A SL

= Seat land area, in2

DM

= Mean land width diameter, (D, + D 3 )/2, in

Lw

= Land area width, (D, - D 3 )/2, in

(6-10)

and:
JT(Z)2-Z>32)

ASL

'

3)

(6-11)

Then the expression for the apparent seat stress, S s , is the force applied to the seat divided by the seat land
area:

(6-12)

5S =

Therefore:

ss =

(6-13)

DMLV

The minimum contact stress to prevent leakage for most materials is approximately three times the
fluid pressure:

SC =

(6-14)

3(P,-P2)

6- 10

VALVE ASSEMBLIES

A ratio of minimum contact pressure and the apparent seat stress can be used as an expression for the
stress on a valve to cause leakage:

Stress Ratio = = 5R
5
s

(6-15)

In Equation (6-4), leakage varies inversely with the seat stress raised to the 1.5 power. Therefore, a
multiplying factor for the effect of seat stress on the valve base failure rate can be expressed as:

cs =

Where:

5R
*R

(6-16)

c 1.5

12DMLW
==

(6-17)

Figure 6.8 provides the multiplying factors for different values of seat stress.
6.3.7 Physical Dimensions

The poppet diameter, seat diameter, and seat land width are shown in Figure 6.3. Figures 6.9 and 6.10
provide multiplying factors for seat diameter and land width.
6.3.8 Operating Temperature

The duty cycle of a poppet valve can vary from several on-off cycles to many hundreds of cycles per
hour. Multiple cycling under high pressure or operating temperature decreases the life of the valve. The
rate of cycling may be important if the temperature rise, as a result of the operation, becomes significant.
The effects of fluid temperature on failure rate are included in the fluid viscosity multiplying factor, Cv.
6.3.9 Other Considerations

Several failure rate considerations are not specifically included in the model but rather included in the
base failure rate. The base failure rate is an average value which reflects field performance data. The
following items can be used as a check list to assure that the potential failure mechanisms have been
considered:
6- 11

VALVE ASSEMBLIES

Fluid medium considerations which are important in valve designs include the physical
properties of the fluid and the compatibility of the fluid with poppet/seat materials.
Corrosive fluids will rapidly change the surface finish. The state and physical properties
of thefluidbecome particularly important in determining pressure drop and flow capacity.

In considering maintenance, requirements for special tasks must be identified. Valve seats
should be accessible and easily replaced, preferably without removing the valve from its
circuit. When it is necessary to service a valve in the field, care must be exercised to
insure that contamination from the work area is not introduced into the valve or system.
Requirements for lubrication and adjustments should be minimized to provide high
reliability in service use.

While critical design features are usually based upon one primary fluid, consideration
must also be given to secondary fluids with which the valving unit will be required to
operate during cleaning and testing operations.

6.4 FAILURE RATE MODEL FOR SLIDING ACTION VALVES

Sliding action valves consist of a movable spool (a piston with more than one land) within a cylinder.
Sliding action valves are usually designed such that the spool slides longitudinally to block and uncover
ports in the housing. A rotary spool is sometimes used. Fluid under pressure which enters the inlet port
acts equally on both piston areas regardless of the position of the spool. Sealing is accomplished by a
very closely machined fit between the spool and the valve body. In sleeve valves the solid piston or spool
is replaced by a hollow cylinder with either the inner or outer cylinder serving as the valve element. A
typical sliding action valve is shown in Figure 6.4.

OPEN TO FLOW

CLOSED TO FLOW

Figure 6.4 Sliding Action Valve Assembly

6- 12

VALVE ASSEMBLIES

The great majority of sliding action valves utilize axial motion of the valving element, although some
designs for special applications use rotating pistons or sleeves. A primary advantage of sliding action
valves is the feasibility of obtaining a pressure-balanced design, especially with sleeve or spool
configurations. An inherent disadvantage of sliding action valves is leakage, a problem which can only
be controlled by close machining or reliable dynamic sealing techniques. Spool valves, for example, are
widely used in fluid power applications where perfect internal sealing is not required.
Diametrical spool clearances of approximately 50 microinches are common and surface finishes of 4
to 6 microinches are standard requirements for spools and sleeves. Therefore, contamination tolerance and
dirt sensitivity are critical factors in the design and use of sliding action valves, and reliability will be
directly affected by dirt particles. Force balances, flow rate and general mechanical operation can be
influenced by the presence of contaminants within the valve. Contamination problems include wear of
the spool and sleeve until the leakage rate is beyond tolerance. The steps to investigating internal leakage
are the same as for the poppet type valve. Table 6-3 is a list of failure modes, mechanisms and causes
for spool assemblies. Other failure modes should be identified for the specific application and evaluated
to determine the applicability of the failure rate model to the analysis being performed.

Table 6-3. Failure Rate Considerations For Sliding Action Valve

FAILURE MODE

FAILURE MECHANISMS

FAILURE CAUSES

Internal leakage

Worn spool/sleeve

Contaminant side loading

Poor response

Sticking sleeve assembly

Incorrect spring
pressure/contaminants

Fails to open

Jammed sleeve assembly

Excessive side
loading/contaminants

An equation similar to that for poppet valves can be used to predict the reliability of a sliding action
valve:

X sv - 1A sv3
*
Where:

B2 Dsp (P, 2 - P22)m

nan

X.sv = Failure rate of sliding action valve assembly in failures/million

operations

6 - 13

(6-18)

VALVE ASSEMBLIES

A. SVB
B
Dsp
Pi
P2
va
Qf
u
a
n

=
=
=
=
=
=
=
=
=
=

Base failure rate = 1.25 failures/million operations

Spool clearance, in
Spool diameter, in
Upstream pressure, lb/in 2
Downstream pressure, lb/in 2
Absolute fluid viscosity, lb-min/in 2
Leakage rate considered to be device failure, in 3 /min
Friction coefficient
Contaminant wear coefficient, in 3 /particle
Number of contaminant particles/in 3

By normalizing the characteristic equation to those values for which historical failure rate data are
available, the following model can be derived:

>*sv = >*sv3
Where:

Q'

v ' CN

B'

D S ' C C w

(6-19)

^ S V B = Base f a il u r e r a t e = 1-25 failures/million operations

C P = Multiplying factor which considers the effect of fluid pressure on the
base failure rate (See Figure 6.5)
CQ = Multiplying factor which considers the effect of allowable leakage on
the base failure rate (See Figure 6.6)
Cv = Multiplying factor which considers the effect of fluid
viscosity/temperature on the base failure rate (See Table 6-5)
CN = Multiplying factor which considers the effect of fluid contaminants
on the base failure rate (See Table 6-7)
CB = Multiplying factor which considers the effect of spool clearance on
the base failure rate (See Figure 6.11)
C DS = Multiplying factor which considers the effect of spool diameter on
the base failure rate (See Figure 6.12)
C^ = Multiplying factor which considers the effect of friction coefficient
on the base failure rate (See Table 6-7)
C w = Multiplying factor which considers the effect of flow rate on the base
failure rate (See Figure 6.13)

6.4.1 Fluid Pressure

In most sliding action valves the applied fluid pressure is the upstream pressure minus the downstream
pressure. Figure 6.5 provides the multiplying factors for fluid pressure. Other factors in evaluating the
6 - 14

VALVE ASSEMBLIES

effects of fluid pressure on valve reliability include the following:

Size - Structural strength becomes an increasingly important consideration with increasing
valve size because pressure loads are a function of the square of the valve size.
Balance - If the valve is inherently pressure-balanced, the influence of pressure upon such
parameters as size and actuation forces will be far less than in the case of an inherently
unbalanced unit.
Pressure Induced Strain - Binding of certain close-tolerance sliding action valves can
result with excessive pressure load on a port.
Conditions of Pressure - Circumstances under which the valve unit is subjected to high
pressure must be considered. A drain valve, for example, may be required to seal against
high pressure, but never be required to open until after the pressure has been relieved.
6.4.2 Allowable Leakage

Allowable internal leakage of the sliding action valve can be obtained from valve specifications
usually in terms of quiescent flow or leakage flow. Quiescent flow is the internal valve flow or leakage
from supply-to-return with no flow in the load ports. Allowable leakage will vary considerably according
to the operational requirements. Figure 6.6 provides the multiplying factors for allowable leakage.
6.4.3 Contamination Sensitivity

Cleanliness of the fluid medium and surrounding medium has a direct effect upon the occurrence of
stiction, weldment and general operation of sliding valve assemblies. No fluid system is completely free
of particulate contamination and sensitivity of a valve to contamination is an important consideration in
reliability.
In sliding action valves there is a tradeoff between contamination sensitivity and leakage based on
clearances between the spool and sleeve. If leakage is minimized by reducing the clearance between the
valving element and its housing, a larger number of contaminant particles can become lodged, causing
valve failure. The clearance values should be checked at both of the temperature extremes to which the
valve will be subjected, in order to ensure adequate design for the largest size of contamination particle
anticipated.

6- 15

VALVE ASSEMBLIES

The analysis of particle sizes includes the determination of upstream filter sizes, the filter maintenance
schedule, the number of upstream components between the valve and filter, and the number of particles
likely to be encountered at the spool assembly. Table 6-6 provides typical quantities of contaminants for
use in the failure rate equation.
6.4.4 Fluid Viscosity
Multiplying factors for viscosities of typical fluids are provided in Table 6-5. Multiplying factors for
other fluids are determined from the table by a knowledge of viscosity at the applicable fluid temperature.
Viscosity for a specific fluid is obtainable from many reference sources.
6.4.5 Spool-to-Sleeve Clearance
Highly polished and uniform surface finishes of 4-6 microinches can usually be assumed for a valve
spool. The model assumes that the spool is environmentally protected. If this is not the case, a separate
analysis will be required to determine the effects of aging and deterioration of the surfaces on the spool
to sleeve clearance. A diametrical spool clearance of 50 microinches is typical for sliding action valves.
The exact value is taken from assembly drawings. Figures 6.11 and 6.12 provide multiplying factors for
the spool-to-sleeve clearance and spool diameter.
6.4.6 Friction Coefficient
A sticking valve spool is usually caused by contaminants. Particles can accumulate between the spool
and sleeve as part of the silting process until the build-up is sufficient to cause stiction. Results include
valve hunting, erratic regulation and eventual locking. The silting process can be aggravated by inactivity
of the valve. Another failure mechanism to be considered is reduced clearance between the spool and
sleeve caused by soft metal particles being wedged and burnished on the surfaces. Table 6-7 contains
friction coefficients for typical materials used in valve designs. The actual friction coefficient is used in
the model. Friction coefficients can be located in text books and other reference material.
6.5 FAILURE RATE ESTIMATE FOR HOUSING ASSEMBLY
There are many factors which could be considered in determining the potential rate of fatigue failure
of a valve housing including connectors. For critical safety related applications, a review of the stress
analysis is warranted. Normally, the probability of a cracked housing is minimal and the failure rate is
best determined from field experience data.

6- 16

VALVE ASSEMBLIES

AHO = A H 0 3
Where:

(6-20)

^ H 0 = Failure rate of valve housing, failures/million operating hours

X.HOB = Base failure rate of housing, 0.01 failures/million hours

6 - 17

VALVE ASSEMBLIES

Where:

=
{ 3000

?! = Upstream Fluid Pressure, lbs/in2

P2 = Downstream Fluid Pressure, lbs/in2

Figure 6.5

Fluid Pressure Multiplying Factor

6 - 18

VALVE ASSEMBLIES

3.50

Leakage Multiplying Factor, CQ

3.00

2.50 -

2.00 I

1.50 -

1.00 -

0.50n r\r\ -

o.c)0

'
0.01 0.02 0.03 0.04 0.0 5 0.06 0.0 7 0.08 O.C 9 0.10 0.11 0.12 0.13 0.14 0.15 0.16
Allowj tble Leaks

0.055

For Leakage (Per GPMR) < 0.03 in3/min.,

CQ =

For Leakage (Per GPMR) > 0.03 in3/min.,

CQ = 4.1 - [79Qf)

Figure 6.6

Allowable Leakage Multiplying Factor

6 - 19

VALVE ASSEMBLIES

- , , , , , , i i , , , , , , , , , , , , ,

<

inn

\ i
* i

\ i

'

|;

i
1

Factor, CF

"

;
!
!
i

7LL

!
!

Surface Finish Multiplyin

60

1()

2()

30

4()

5()

6()

7()

80

9(J

Sur face F inish, f, microinch es

^1.65

~353

Table 6-4 provides typical surface finishes

Figure 6.7

Surface Finish Multiplying Factor

6-20

10 0

I
110

120

130

VALVE ASSEMBLIES

"! "

100.0 -

1i 1,-.. ,

'

il
i

Seat Stress Multiplying Factor, Cs

'

V. 1 H

o.c 0

0.2 0

0.4 o

o.e 0

0.8 0

1.C 0

1.20

1 .A0

Sea t Stress , S R , lbs/in 2

"
Figure 6.8 Seat Stress Multiplying Factor

6-21

1.60

1.80

2.00

VALVE ASSEMBLIES

o.u -

,1

ieter Mul tiply ing I7acto

9 R
2
5 -

5eat

s
X**

,0.0 -

0.0

0.2

0.4

0.6

0.8

1.0

1.2

1.4

1.6

Seat Diameter, D s , inches

CDT = 1.1 Ds + 0.32

Figure 6.9

Seat Diameter Multiplying Factor

6-22

1.8

2.0

2.2

VALVE ASSEMBLIES

o.o

3.0 -

i
i

u
o" 2.5 o

*-

03

oc
.S 2.0 _><
.
|

1.5-

J3

."2

1.0-

s
03

0.5-

u.u t
4 0.16 0.1 8 0.20 0.2 2 0.2 4 0.26 0.28 0.30 0.32
0.00 0.02 0.04 0.C)6 0.08 0.1 0 0.12 0.1

Land ^Width, L w , inches

C s w = 3.55 - 24.52L^ + 72.99L^2 - 85.75 L^

Figure 6.10

Land Width Multiplying Factor

6-23

VALVE ASSEMBLIES

H.U

oc

on

oc

0.0

u
O.U

UH

.0

1
1

D.

n-

C.U

i c .

cd

S3
U

"o
o
a.

i n 1 .U

nc

U.o

0.0 400

500

600

700

800

900

1000

1100

1200

1300

Spool Clearance, B, microinches

For B > 500 uin,

CB

B2
6 x 105

For B < 500 uin, CB = 0.42

Figure 6.11

Spool Clearance Multiplying Factor

6-24

1400

1500

1600

VALVE ASSEMBLIES

2.251/3

H
t-

2.00-

1-75-

00

c
'> 1.50 i
.&
|
1.25t-

1.00-

Spool

|
es

U.JU

n 9 U.tO 1

0. 9

1. 1

1.3

1..5

1.7

1.9

2. 1

2.3

2. 5

2.7

2.'3

Spc>ol D iamete r. D SF>, inches

CDS = 0 . 6 7 5 1 ^

Figure 6.12

Spool Diameter Multiplying Factor

6-25

3.1

3.3

3.5

3. 7

VALVE ASSEMBLIES

o o .

3.0? 2.8 U
S" 2.6 -
u
CD

fc
s
'J?
.9*
3
a

2.42.2 2.0 1.8 -

*
o

1.6-

1.41.2 101 .U 1

0.0

0.2

0.4

0.6

0.8

1.0

1.2

Ratio of Actual Flow Rate to Manufacturer's Rating, FL

C w = 1.0 + FL2

Figure 6.13

Flow Rate Multiplying Factor

6-26

1.4

VALVE ASSEMBLIES

Table 6-4. Typical Surface Finishes for Manufacturing Processes

PROCESS
Lapping
Polishing
Honing
Grinding
Burnishing

SURFACE
FINISH, urn

PROCESS

SURFACE
FINISH, urn
16-200
32 - 250
3 2 - 125
32 - 250
64 - 250

Boring, turning
Electron beam
Reaming
Milling
Drilling

2 - 16
4 - 16
4-32
4-64
8 - 16

Table 6-5. Fluid Viscosity/Temperature Multiplying Factor, C v for Typical Fluids

Cv
FLUID TEMPERATURE, <'F

FLUID

MIL-H-83282
MIL-H-5606
AIRCRAFT PHOSPHATE ESTERS
INDUSTRIAL PHOSPHATE ESTERS
WATER GLYCOL
SAE 10 OIL
SAE 60 OIL

-50

50

100

150

200

250

0.6
0.7

...
...
...

0.7
0.8
0.8
...

0.8
0.9
0.9
0.7
0.8
0.7

0.9
0.9
1.0
0.8
0.8
0.8
0.7

1.0
1.0
1.0
0.9
0.9
1.0
0.8

2.0
2.0
2.0
0.9

3.0

1.0
0.9

2.0
1.0

0.7
...
...

V
Where:
V

2 x 10"8 lb-min/in2
Viscosity of fluid being used, lb-min/in2

6-27

VALVE ASSEMBLIES

Table 6-6. Contaminant Multiplying Factor, CN

HYDRAULIC COMPONENT
PRODUCING PARTICLES
Piston Pump
Gear Pump
Vane Pump
Cylinder
Sliding action valve

PARTICLE
MATERIAL

NUMBER PARTICLES UNDER 10

MICRON PER HOUR PER GPM (N10)

steel
steel
steel
steel
steel
rubber

Hose

1.7
1.9
0.6
0.8
0.04
0.13

The Contaminant Multiplying Factor, CN, is determined from the N )0 value as follows:
\3

CN =

Nl0GPMR
'10

Where:

C0 = System filter size in microns

C|0 = Standard system filter size = 10 micron
GPMR = Rated flow in gallons/min

6-28

VALVE ASSEMBLIES

Table 6-7. Friction Coefficient Multiplying Factor, C^

MATERIAL

DRY

Steel on Steel
Aluminum on Steel
Copper on Steel
Brass on Steel
Cast Iron on Steel
Brass on Nylon
Steel on Nylon
Teflon on Teflon
Hard Carbon on Carbon
Copper on Copper
Aluminum on Aluminum
Nickel on Nickel
Brass on Brass

0.8
0.6
0.5
0.5
0.4
0.3
0.3
0.05
0.2
1.3
1.1
0.7
0.9

C^ = Actual friction coefficient

6-29

LUBRICATED
0.5
0.5
0.4
0.4

0.04
0.1
0.8
0.3
0.6

THIS PAGE INTENTIONALLY LEFT BLANK

CHAPTER

BEARINGS
7.1 INTRODUCTION
Bearings are among the few components that are designed for a finite life because of the fatigue
properties of the materials used. Most bearings can be assigned a B ]0 life, which is the number of hours
at a given load that 90 percent of a set of apparently identical bearings will complete or exceed. There
are a number of other factors that can be applied to the B l0 life so that it more accurately correlates with
the intended operating environment. These factors include the use of newer high performance materials
and manufacturing processing techniques, and the application of the bearing including actual lubrication
film thickness, misalignment, velocity, load stresses and subjection to contaminants.
There are many different types of bearings in use making it extremely difficult to establish base failure
rates for bearings based on field performance data. Bearing analysis is also extremely difficult due to the
large number of engineering parameters associated with bearing design. The procedures for estimating
bearing reliability presented in this chapter utilize the manufacturer's published B )0 life with multiplying
factors to relate the B| 0 value to intended operating conditions.
7.2 BEARING TYPES
7.2.1 Rotary Motion Bearings
The rotary motion bearing is used in those applications in which the main load is transferred through
elements in rolling contact. These bearings are manufactured to take pure thrust loads, pure radial loads,
or a combination of the two loads. Rolling contact is provided by a rolling element, ball or roller to carry
a load with minimal wear and friction. Because of the greatly reduced starting friction when compared
to the conventional journal bearing, rotary motion bearings have acquired the common designation of
"anti-friction" bearings. The most common rotary motion bearing application is that of a ball bearing used
to support a shaft with radial and thrust loads in rotating equipment. Load, speed, and the operating
viscosity of the lubricant affect the frictional characteristics of a rotary motion bearing.

7- l

BEARINGS

Rolling element bearings have a life which is limited by the fatigue life of the material from which
they are made and as modified by the lubricant used. In rolling contact fatigue, precise relationships
between life, load, and design characteristics are difficult to predict and, therefore, the statistical B10 life
based on a probability of survival is used with multiplying factors to adjust the B| 0 life to the actual
conditions being projected.
7.2.1.1 Ball Bearings

Ball bearings are generally used where there is likely to be excessive misalignment or shaft deflection.
A typical ball bearing is shown in Figure 7.1. Most of the ball bearing designs originate from three basic
types:
(1) Single-row radial - the most widely used ball bearing, a symmetrical unit capable of
absorbing combined radial and thrust loads. It is not intended for pure thrust loads.
Because this type of ball bearing is not self-aligning, accurate alignment between the shaft
and housing bore is required.
(2) Single-row angular contact - designed for combined radial and thrust loads where the
thrust component may be large and axial deflection must be confined. A high shoulder on
one side of the outer ring is provided to take the thrust, and the shoulder on the other side
is sufficiently high to make the bearing non-separable.
(3) Double-row angular contact - two single-row angular contact bearings built as a unit
with the internal fit between balls and raceway fixed during assembly. These ball bearings
have a known amount of internal preload built in for maximum resistance to deflection.
They are very effective for radial loads where bearing deflection must be minimized.
7.2.1.2 Roller Bearings

Cylindrical roller bearings are used to support pure radial loads. They are often used at one end of
a highly loaded gear shaft with either tapered roller bearings or multiple-row matched ball bearings at the
other end. Roller bearing life is drastically reduced by excessive misalignment or deflection; hence, when
using roller bearings, the stack-up of tolerances contributing to misalignment and the shaft or housing
deflections should be carefully considered. To compensate for some degree of misalignment or deflection
and to carry heavy radial loads, roller bearings are crowned to prevent the phenomenon known as end
loading. End loading invariably leads to a drastic reduction in bearing life. The crowning process
distributes the load away from the roller ends and prevents excessive stress that could cause fatigue at the
roller bearing ends.
7-2

BEARINGS

Cup back face radius

(clearance radius;

Width

ulders

Bore corner

Separator
or cage

Outer ring
ball race
Ball bearing

Tapered roller bearing

Figure 7.1 Typical Bearing Configurations

Tapered roller bearings are being used increasingly in modem drive systems, since they can react to
both thrust and radial loads and can offer the greatest load-carrying capacity in the smallest possible
envelope. Although early tapered roller bearings were speed limited, these restrictions have been removed
by utilizing bearings with special lubrication features. However, on very high-speed shafts, the use of
tapered roller bearings may be precluded due to their inability to operate for required time intervals under
survivability (oil-off) conditions. Tapered roller bearings, unlike single-row ball and cylindrical roller
bearings, require spacers or shims to give these bearings the proper amount of preload or end play for
proper operation. Usually it is desirable to have a light preload although a small amount of end play is
often acceptable. As with internal clearance, extremes in end play or preload should be avoided.
Needle bearings are characterized by their relatively small size rollers, usually not ranging above 1/4
inch in diameter, and a relatively high ratio of length to diameter, usually ranging about 8 to 1. Another
common characteristic of needle bearings is the absence of a cage or separator for retaining the individual
rollers.
7.2.2 Linear Motion Bearings

Linear motion bearings provide sliding contact between mating surfaces. The more common types
of sliding contact bearings include:
(1) Radial bearings designed to support rotating shafts or journals
7-3

BEARINGS

(2) Thrust bearings designed to support axial loads on rotating members

(3) Guide bearings designed to guide moving parts in a straight line
The relative motion between the parts of linear motion bearings may take place as a sliding contact
without the benefit of a lubricating medium such as with the dry operation of Teflon. Sliding action may
also occur with hydrodynamic lubrication in which a film build-up of lubrication medium is produced,
with either whole or partial separation of the bearing surfaces. Hydrostatic lubrication may also be used
in which a lubricating medium is introduced under pressure between the mating surfaces causing a force
opposite to the applied load.
Although linear motion bearings are relatively inexpensive, they can cause costly equipment shutdowns
if not properly integrated into the design. Short bearing life can be caused by misalignment, a bent shaft,
a rotating part rubbing on a stationary part, a rotor out of balance causing vibration, excessive thrust
caused by mechanical failure of other parts, excessive temperature caused by lack of lubrication, dirt or
other contaminant and corrosion from water in the bearing housing.
The reliability analysis procedures in this chapter focus mainly on rotary motion bearings. Linear
motion bearings are covered in greater detail in Chapter 18.
7.3 DESIGN CONSIDERATIONS
7.3.1 Internal Clearance

Internal clearance, the clearance between the inner race and the shaft, is an important consideration
in the design of ball and roller bearings, since improper internal clearance can drastically shorten the life
of a bearing. A small internal clearance may limit the amount of misalignment that can be tolerated and
can lead to heavily preloaded bearings. Excessive internal clearance will cause the load to be carried by
too few rolling elements. The best practice is to ensure that under all conditions there will be a small
positive internal clearance. Usually, the most significant factors to consider when determining mounted
internal clearance of the bearing are the reduction of internal clearance due to shaft or housing fits and
the effect of temperature on the housing/outer race interface diameters.

7.3.2 Bearing Race Creep

The creeping or spinning of bearing inner races on gearshafts is a fairly common, although not usually
serious, problem in most drive systems. Lundberg and Palmgren developed fairly simple parametric
calculations for the minimum fit to prevent creep with solid shafts, but there has been little if anything
published on minimum press fits for hollow shafts, as are used in helicopter drive systems. Since an
7-4

BEARINGS

accurate mathematical solution to such a problem would be extremely difficult, the best approach seems
to be a reliance on past experience. Sometimes it may not be possible to achieve the necessary press fit
to prevent creep without introducing excessively high hoop stress in the bearing race. A common practice
in this case is to use separate anti-rotation devices with a slotted bearing race. Although this practice is
fairly effective with stationary races, it is seldom effective with rotating races.
7.3.3 Bearing Material
By far the greatest advance in bearing technology has been the development of extremely clean
bearing steels resulting from vacuum-melt processing. Vacuum-melt 52100 bearings, for example, offer
one and one-half to two times the life of vacuum-degassed 52100 bearings. Bearings of such advanced
materials as M-50 steel can offer even further improvement. Just because these materials are available,
however, does not mean that all bearings have to be made of vacuum-melt material. Depending on the
bearing, vacuum-melt bearings can be from 2 to 5 times more costly than vacuum-degassed bearings, as
well as requiring longer lead times to procure. Hence, bearings for high-speed primary power train
applications should be fabricated of M-50 (or in the case of tapered roller bearings, carburized CVM steel)
for the purpose of improved survivability following loss of lubrication. All other bearings should be
fabricated of vacuum-degassed material unless there is a problem with low life, in which case the more
expensive vacuum-melt materials should be used.
7.3.4 Inspection Requirements
Design analysis must include the consideration of proper inspection procedures for the assembly of
bearings which can enhance their reliability. Besides the obvious dimensional inspection requirements,
two additional inspections should be specified for all high performance drive system bearings:
Magnetic particle
Nital etch
Magnetic particle inspection can detect the presence of relatively large surface or near-surface
anomalies, such as inclusions, which are often the cause of bearing spalls. Nital etch inspection can detect
the presence of grinding burns, which locally change the hardness of the material and cause premature
bearing failure.
7.3.5 Bearing Installation/Removal
The installation of bearings should be carefully considered during design not only to prevent assembly
errors, but also to permit easy removal of the bearing without damaging it. Lead chamfers should be
provided at all bearing journals to facilitate installation. When specifying the breakout on the bearing
7-5

BEARINGS

comers, the shaft drawing should be checked to ensure that the maximum radius at the shaft shoulder will
be cleared by the bearing. The height of the shaft shoulder should, if possible, be consistent with that
recommended by bearing manufacturers. Where necessary, flats should be machined on the shaft shoulder
so that a bearing puller can remove the bearing by contacting the inner race. Many bearings have been
damaged in the past where the bearing puller could grab only the cage or rollers of the bearing. Where
duplex bearings are used, the bearings should be marked so that the installer can readily determine the
proper way for the bearings to be installed. Incorrectly installed duplex bearings will not properly react
to the design loads. All bearings that can be separated should have the serial number clearly shown on
all of the separable components. This will prevent the inadvertent mixing of components. Every assembly
drawing that contains bearings should clearly explain in the drawing notes how the bearing should be
installed. It is imperative that the mechanics building up this assembly have this information available.
7.4 BEARING FAILURE MODES

The common bearing failure modes, mechanisms and causes are listed in Table 7-1. The most
prevalent mechanism of bearing failure is spalling, which is defined as subsurface chipping or breaking.
The failure is usually caused by loading of the bearing exceeding the design load. Surface fatigue or
peeling is a cracking and peeling of the surface metal. It is usually the result of poor lubrication or
surface damage which interrupts the lubricant film. Scores and scratches are usually caused by hard
particles being trapped in a bearing. This failure mechanism may also be caused by inadequate sealing,
contaminants in the lubricant, or installation damage.
Smearing is surface damage resulting from unlubricated sliding contact within a bearing. Brinelling
is the actual indentation of a rolling element under excessive load or impact that causes stresses beyond
the yield point of the bearing material. Fretting wear is usually caused by an improper fit between the
bearing and the shaft or outer surface of the bearing. This allows movement of the race in relation to the
housing or shaft. The surfaces then wear or score, thereby damaging the surfaces and preventing a firm,
fixed contact.
Roller and tapered bearings have an additional failure mode defined as scuffing of the bearing
surfaces. This failure mode is usually caused by bearing exposure to an excessive load for an extensive
period of time. The surfaces of the moving parts are scored or scratched, increasing the roughness of the
surfaces, setting up stress concentrations and increasing friction. The scoring also interferes with the
normal lubricant film and increases the metal-to-metal contact during use.
Fatigue can occur due to cyclic loads normal to the bearing surface. Wiping occurs from surface to
surface contact due to loss of sufficient lubrication film thickness. This malfunction can occur from
under-rotation or from system fluid losses. Overheating is indicated by babbitt cracking or surface
7-6

BEARINGS

discoloration. Corrosion is frequently caused by the chemical reaction between the acids in the lubricants
and the base metals in the babbitt. Lead based babbitts tend to show a higher rate of corrosion failures.

Table 7-1. Typical Modes of Bearing Failure

FAILURE MODES

FAILURE CAUSES

FAILURE MECHANISMS

Fatigue Damage

- Spalling of ball/roller
raceway
- Brinelling
- Smearing

Noisy or Overheated
Bearing

- Surface fatigue
- Glazing
- Microspalling of
stressed surfaces

- Loss of lubricant
- Housing bore out of round
- Corrosive agents
- Distorted bearing seals

Excessive
Equipment
Vibration

- Scuffing
- Fretting
- Pitting of surfaces

Misalignment
Housing bore out of round
Unbalanced/excessive load
Inadequate housing support

Bearing Seizure

- Crack formation on rings

and balls or rollers
- Skidding

Inadequate heat removal capability

Loss of lubricant
High temperature
Excessive speed

- Heavy, prolonged load

- Excess speed
- Shock load

Severe performance requirements may affect the reliability of the bearings if there is a path of heat
conduction from the machine or any friction creating components within it to the bearings (for example,
brakes or clutches). This condition may cause a decrease in the bearing lubricant's operating viscosity
and, consequently, a reduction in bearing life. A lubricant with a higher temperature rating should prevent
leakage or excessive wear.
7.5 BEARING FAILURE RATE PREDICTION

Rolling element bearing life is usually calculated using the Lundberg-Palmgren method (Ref. 53).
This method is a statistical technique based on the sub-surface initiation of fatigue cracks through hardened
7 -7

BEARINGS

air-melt bearing material. Most mechanical systems are not utilized precisely as the bearing manufacturer
envisioned; therefore, some adjustment factors must be used to approximate the failure rate of the bearings
under specific conditions.
Experience has shown that the service life of a bearing is usually limited by either excessive wear or
fatigue. Excessive wear occurs when the bearings are improperly installed or exposed to hostile operating
environments.

Inadequate lubrication, misalignment, contamination, shock, vibration, or extreme

temperature all cause bearings to wear out prior to their estimated design life. In contrast, a bearing can
be expected to perform adequately for the duration of its rated life, given proper operating conditions, until
failure occurs due to fatigue.
Rolling element bearings ultimately fail due to fatigue because the load carrying balls, raceways,
rollers, etc. are subjected to cyclical contact stresses.

Under laboratory conditions the fatigue

characteristics of bearings can be quantified in terms of stress magnitude and number of stress cycles,
which in turn relates to the bearing load and number of revolutions.

A heavily loaded bearing, for

example, has a much shorter fatigue life than a lightly loaded one when both are operated at the same low
speed. Conversely, a bearing operated under a light load and low speed provides a service life several
times greater than the rated life. In this latter case service will generally be terminated by wear.
Attempting to estimate the fatigue life of an individual bearing is not very practical because of the
large number of design parameters to consider in relation to the sensitivity of the operating environment.
Instead, statistical methods are used to rate bearings based on the results of large groups of the same type
of bearing tested to failure under controlled laboratory conditions to establish a fatigue life rating. This
rating, known as the B 1 0 life, is defined as the number of hours that 90% of the bearings operating at their
rated load and speed, can be expected to complete or exceed before exhibiting the first evidence of fatigue.
Standard equations have been developed to extend the B , 0 rating to determine the statistical rated life
for any given set of conditions. These equations are based on an exponential relationship of load to life.

BE

*BE3

Where:

kBE

L ]

(7-D

\P)
= Failure rate, failures/million revolutions

X B E B = Base failure rate from B 1 0 life

C = Basic dynamic load rating, lbs
P = Equivalent radial load, lbs
y = Constant, 3.0 for ball bearings, 3.3 for roller bearings

7-8

BEARINGS

The basic dynamic load rating, C, is provided in manufacturer's catalogs or engineering drawings and
determined through tests based upon the B !0 life.
The equivalent radial load, P, is defined as the radial load producing the same theoretical fatigue life
as the combined radial and thrust loads. All bearing loads are converted to an equivalent radial load. If
only pure radial loads are involved, then the value for P is simply the radial load.
Except for the special case of pure thrust bearings, bearing ratings shown in manufacturers' catalogs
are for radial loads. When thrust is present, an equivalent radial load must be determined before
estimating reliability. Most bearing manufacturers provide methods of combining thrust and radial loads
in accordance with ANSI standards to obtain an equivalent radial load. This relationship can be written
as follows:
P^R-F^
Where:

(7-2)

P = Equivalent radial load, lbs

R = Radial load, lbs
Fth = Thrust factor

A bearing catalog will display separate tables of values to cover single-row, double-row, and angularcontact variations.
Substantial improvements in materials processing and manufacturing techniques have been made since
the original development of the B10 concept for predicting bearing life. For instance, high-purity steels
that are vacuum degassed or vacuum melted are now widely used for bearings. Also, bearing components
are manufactured to tighter tolerances on geometry, and ball/raceways have finer finishes, which help to
improve lubricating films. For reasons such as these, bearing manufacturers have modified their B,0
ratings with certain adjustment factors. Therefore, the B| 0 life provides the latest and best estimate for
the base failure rate. To evaluate a manufacturer's bearing for reliability, it is best to utilize the published
B| 0 life and modify it according to the particular application.
"
*BE

Where:

BE3

^
^ i '

a,,

v.

\0.54

' ^

y = 3.0 for Ball Bearings; 3.3 for Roller Bearings

LA = Equivalent radial load, lbs
7-9

(7-3)

BEARINGS

L s = Bearing load capacity, lb

v 0 = Specification lubricant viscosity, lb-min/in2
v L = Operating lubricant viscosity, lb-min/in2
C c w = Water contamination factor
The above equation can be expressed as a more familiar relationship between a base failure rate and
a series of multiplying factors:

^BE =
Where:

V B

X,BE
X,BEB
Cy
Cv
Ccw

=
=
=
=
=

' Cy '

v ' CCW

(7-4)

Failure rate of bearing, failures/million revolutions

B| 0 life of the bearing
Multiplying factor for applied load (See Figure 7.2)
Multiplying factor for lubricant (See Figure 7.3)
Multiplying factor for water contaminant level (See Section 7.5.3)

7.5.1 Applied Load Multiplying Factor

Table 7-3 gives values for fc used to determine L s for the various types of bearing configurations.
The L s equations are included in Table 7-2. The value of L s is then used in the denominator as the basic
load rating in Figure 7.2.
The value of LA in Equation (7-3) varies with the bearing type and is determined using the following
equation:

Lk = XFt
Where:

X
Y
Fr
Fa

=
=
=
=

YFm

(7-5)

Radial Load Factor (See Table 7-4)

Axial Load Factor (See Table 7-4)
Applied radial load, lb
Applied axial load, lb

The value of LA is then used in the numerator as the equivalent radial load in Figure 7.2
7.5.2 Lubricant Multiplying Factor
The lubricant factor, Cv, is a function of the viscosity of the lubricant used in the bearing system.

7 - 10

BEARINGS

Cv can be expressed as:

\0.54

(7-6)
<

Where:

L;

v 0 = Viscosity of specification lubricant, lb-min/in2

vL = Viscosity of lubricant used, lb-min/in2

Multiplying factors for the effect of lubrication velocity on the failure rate of a bearing are shown in
Figure 7.3.
7.5.3 Water Contamination Multiplying Factor

Less than 10 percent of all ball bearings last long enough to fail due to normal fatigue (Ref. 8). Most
bearings will fail due to static overload, wear, corrosion, lubricant failure, contamination, or overheating.
The effect of water contamination, for example, can have a detrimental effect on fatigue life (Ref. 4). A
water contamination multiplying factor which accounts for the reduction in fatigue life due to the leakage
of water into the oil lubrication is shown in Figure 7.4. This factor is represented as C c w and is
represented by the following equations derived from data in Ref. 19.
C ^ = 1.04 + 1.03CW- 0.065 CW1

Where: CW = percentage of water in the lubricant

The C c w multiplying factor will modify the base failure rate as shown in Equation (7-4).

7 - 11

(7-7)

BEARINGS

10.000 -

1
I
I
j

u
2o

1.000-

a
U,

_^^**^T

^-^tfJ

00

c
'>.
.&
1
S

0.100 j ,

:
'I

Ball

o
a
o

Bearings "

Bear ngs

. - 010 i
a,
<

c_ Re1'-

/t

ff/
U.UUl I

0.0

/ /
0.2

0.4

0.6

0.8

1.0

i L \>

Where:

LA = Equivalent radial load, lbs

L s = Specification radial load, lbs
y =3.0 for ball bearings, 3.3 for roller bearings
Figure 7.2 Multiplying Factor for Applied Load

7 - 12

1.2

1.4

BEARINGS

1.6

1.4 -

>

S"
u

1.2 -

g 1.0'?>
.&

1 ' e a

0.6-

X)
3
U.4 "

no .

0. 3

0.2

0.4

0.6

0.8

1.0

1.2

1.4

1.6

\0S4

(v

w
Where:

v 0 = Viscosity of specification fluid

vL = Viscosity of lubricant used

Figure 7.3 Multiplying Factor for Bearing Lubricant

7 - 13

1.8

2.0

BEARINGS

e n .
O.U

4.5 -

U"

4.0-

1
71
r

o
8
tu
c
o
S
c

3.5 3.0 -

2.5-

2.0 -

o
U

1.51.0 i
0.0 01

r+i

iit

C .010

0.100

1.000

Water Content o f Lubricant, CW, Percent

C,-, = 1.04 + 1.03CW- 0.065CW2

Where:

CW = Percentage of water in the lubricant

Figure 7.4 Water Contamination Multiplying Factor

7- 14

10.000

BEARINGS

Table 7-2. Dynamic Load Capacity Calculations for Ball and Roller Bearings (Ref. 44)

For radial ball bearings having a ball diameter D w of 1 inch or less

l_s = f c (i cosa) 07 Z 2/3 (D w ) 1 - 8
For radial ball bearings with ball diameter greater than 1 inch
Ls = 3.647 f c (i cosaJ^Z^iDw) 1 4
For ball thrust bearings with contact angle a of 90 degrees
Lg = fcZ^Dyy) 1 8 for balls of 1 inch or less
L^ = 3.647 f c Z ^ D w ) 1 4 for balls larger than 1 inch
For ball thrust bearings with contact angle a other than 90 degrees
Lg = f c (cosa) 07 tanaZ 2/3 (D w ) 18 for balls of 1 inch or less
L s = 3.647 fcfcoscO^tanaZ^Dw) 1 4 for balls larger than 1 inch
For radial roller bearings
L s = f c <il 9 cosa) 7 *Z 3/4 (D w ) 29 * 7
For thrust roller bearings
L

s = fc 6 (W 7 / 9 z 3 / 4 ( D w) 2 9 / 2 7 , o r a contact angle of 90 degrees

L^ = f c (l eff cosa)7/9tanaZ3/4(Dw)29/27 for contact angle other than 90
degrees

Where:
d m = Bearing pitch diameter, in
D = Bearing outer diameter, in
D w = Diameter of balls or rollers in bearing, in
e = Equivalent load function
fc
= Bearing load capacity factor
Fa = Thrust load, lbs
Fr = Radial load, lbs
i
= Number of rows of balls or rollers in bearing (dimensionless)
leff = Effective contact length of rollers in bearing, in
L s = Bearing load capacity for 106 revolutions rated life, lbs
X = Radial load factor (dimensionless)
Y = Thrust load factor (dimensionless)
Z = Number of ball or rollers per row in bearing
a = Bearing contact angle between ball or roller load line and
plane perpendicular to axis (degrees)

7 - 15

BEARINGS

Table 7-3(a). fc Values for Ball Bearing Dynamic Capacity Calculation (Ref. 44)

D w cosa

Single Row Radial Contact;

Single and Double Row Angular
Contact Groove Type (1)

Double Row Radial Contact

Groove Type

Inches (2)

Inches (2)

3550
3730
3880
4020
4130
4220
4370
4470
4530
4550
4550
4530
4480
4420
4340
4250
4160
4050
3930
3800
3670

3360
3530
3680
3810
3900
4000
4140
4230
4290
4310
4310
4290
4250
4190
4110
4030
3950
3840
3730
3610
3480

dm

0.05
0.06
0.07
0.08
0.09
0.10
0.12
0.14
0.16
0.18
0.20
0.22
0.24
0.26
0.28
0.30
0.32
0.34
0.36
0.38
0.40

(1) a. When calculating the basic load rating for a unit consisting of two similar, single row, radial contact ball
bearings, in a duplex mounting, the pair is considered as one, double row, radial contact ball bearing.
b. When calculating the basic load rating for a unit consisting of two, similar, single row, angular contact ball
bearings in a duplex mounting. "Face-to-Face" or "Back-to-Back", the pair is considered as one, double row,
angular contact ball bearing.
c. When calculating the basic load rating for a unit consisting of two or more similar, single, single angular
contact ball bearings mounted "in Tandem", properly manufactured and mounted for equal load distribution,
the rating of the combination is the number of bearings to the 0.7 power times the rating of a single row
ball bearing. If the unit may be treated as a number of individual interchangeable single row bearings, this
footnote lc does not apply.
(2)

Use to obtain L s in pounds when D w is in inches.

7 - 16

BEARINGS

Table 7-3(b). fc Values for Thrust Ball Bearing Dynamic Capacity Calculation (Ref. 44)

THRUST BALL BEARINGS

(Use to obtain Ls in pounds when Dw is in inches)
fc

dm

a = 90

a = 45

a = 60

a = 75

2790
3430

3200
3930

2970
3650

0.05

3880
4230
4520

4430
4810
5110

4120
4470
4760

3490
3930
4260
4540

0.06
0.07

4780
5000

5360
5580

4990
5190

4760
4950

0.08
0.09
0.10

5210
5390
5570

5770
5920

5360
5510

5120
5250

6050

5630

5370

0.12
0.14
0.16
0.18
0.20

5880
6160
6410
6640

6260
6390
6470
6500

6854

6490

5830
5950
6020
6050
6040

....

....

0.22
0.24

7060
7240
7410

6450
6380
6290

7600
7750

6180
6040

....

....

....
....
....
....

0.01
0.02
0.03
0.04

0.26
0.28
0.30
0.32
0.34

2840

_..-

7900

8050

7 - 17

BEARINGS

Table 7-3(c). fc Values for Radial Roller Bearing Dynamic Capacity Calculation (Ref. 44)

RADIAL ROLLER BEARINGS

(Use to obtain L s in pounds when l, and D w are> in inches)
D w cosa

D w cosa

<c

<c

dm

dm
4680
5460
5970
6350
6660

0.26
0.27
0.28
0.29
0.30

7760
7710
7650
7590
7520

0.31
0.32

0.10

6910
7120
7290
7440
7570

0.33
0.34
0.35

7450
7380
7300
7230
7140

0.11
0.12
0.13
0.14
0.15

7960
7760
7830
7880
7920

0.36
0.37
0.38
0.39
0.40

7060
6970
6890
6800
6700

0.16
0.17
0.18
0.19
0.20

7950
7970
7980
7980
7970

0.41
0.42
0.43
0.44
0.45

6610
6510
6420
6320
6220

0.21

7950
7920

0.46
0.47

6120

0.22
0.23
0.24

7890
7850

0.25

7810

0.01
0.02
0.03
0.04
0.05
0.06
0.07
0.08
0.09

0.48
0.49
0.50

7 - 18

6010
5910
5810
5700

BEARINGS

Table 7-3(d). fc Values for Thrust Roller Bearing Dynamic Capacity Calculations (Ref. 44)

THRUST ROLLER BEARINGS

(Use to obtain Ls in pounds when 1^ and Dw are in inches)

dm

fc

fc

D w cosa
45 < a < 60

0.01
0.02
0.03
0.04
0.05

9840
11460
12510
13300
13920

0.06
0.07
0.08
0.09
0.10

60 < a < 75
9610

75 < a < 90

a = 90

13590

9470
11030
12050
12810
13400

0.01
0.02
0.03
0.04
0.05

9500
11000
12100
12800
13200

14430
14850
15200
15500
15740

14080
14490
14840
15130
15370

13890
14300
14640
14930
15160

0.06
0.07
0.08
0.09
0.10

14100
14500
15100
15400
15900

0.12
0.14
0.16
0.18
0.20

16120
16350
16480
16510
16480

15730
15960
16080
16120
16080

15520

0.12
0.14
0.16
0.18
0.20

16300
17000
17500
18000
18500

0.22
0.24
0.26
0.28
0.30

16380
16230
16030

0.22
0.24
0.26
0.28
0.30

18800
19100
19600
19900
20100

11180
12220
12980

15740

7 - 19

BEARINGS

Table 7-4(a). Values of Combined Load Factors X and Y (Ref. 44)

Double Row
Beanngs

Single Row
Bearing*
Radial Ball
Bearing Type

$ "
(1) Two similar single
row, angular contact ball bearings
mounted "face-toface" or "back-toback" are considered as one, double
row, angular contact bearing.
(2) Values of X, Y, and
e for a load or
contact angle other
than shown in Table
7-4 are obtained by
linear interpolation.
(3) Values of X, Y, and
e shown in Table
7-4 do not apply to
filling slot
bearings for
applications in
which ball-raceway
contact areas project
substantially into
the filling slot
under load.

X
Radial
Contact
Groove
Ball
Bearings

10

(4) For single row

bearings when
|i

e , use: X=l,
15

Y=0

F.

F.

/Z(Ow) 2
Units
Newtons. mm

0.01
0.03
0.06
0.08
0.11
0.17
0.28
0.42
0.56
Angular
Contact
Groove
Ball
Bearing
with
Contact
Angle
5

F.
> 0
F,

* "

0.17
0.35
0.69
1.03
1.38
2.07
3.45
5.17
6.89

0.56

F.
IF.
is

/Z(Cw)

Units
Newtons.mm

0.01
0.03
0.06
0.09
0.11
0.17
0.28
0.42
0.56

0.17
0.35
0.69
1.03
1.38
2.07
3.45
5.17
6.89

0.01
0.03
0.06
0.09
0.11
0.17
0.29
0.43
0.57

0.17
0.35
0.69
1.03
1.38
2.07
3.45
5.17
6.89

0.02
0.93
0.06
0.09
0.12
0.17
0.29
0.44
0.58

0.17
0.35
0.69
1.03
1.38
2.07
3.45
5.17
6.89

7-20

0.56

2.30
1.99
1.71
1.55
1.45
1.31
1.15
1.04
1.00

0.19
0.22
0.26
0.28
0.30
0.34
0.38
0.42
0.44

3.74
3.23
2.78
2.52
2.36
2.13
1.87
1.69
1.63

0.23
0.26
0.30
0.34
0.36
0.40
0.45
0.50
0.52

3.06
2.78
247
2.20
2.18
2.00
1.79
1.64
1.63

0.29
0.32
0.36
0.38
0.40
0.44
0.49
0.54
0.54

2.39
2.28
2.11
2.00
1.93
1.82
1.66
1.63
1.63

0.38
0.40
0.43
0.46
0.47
0.50
0.55
0.56
0.56

1.63
1.41
1.24
1.07
0.98

0.57
0.68
0.80
0.95
1.14

For this type, use

the X,Y,e values
applicable to single
row radical contact
bearings

0.46

0.44

0.43
0.41
0.39
0.37
0.35

20
25
30
35
40

2.30
1.99
1.71
1.56
1.45
1.31
1.15
1.04
1.00

1.88
1.71
1.52
1.41
1.34
1.23
1.10
1.01
1.00
147
1.40
1.30
1.23
1.19
1.12
1.01
1.00
1.00
1.00
0.87
0.76
0.66
0.57

2.78
2.40
2.07
1.87
1.75
1.58
1.39
1.26
1.21
2.18
1.98
1.76
1.63
1.58
1.42
1.27
1.17
1.16
1.65
1.57
146
1.38
1.34
1.26
1.14
1.12
1.12
1.09
0.92
0.78
0.66
0.55

0.78

0.75

0.72

0.70
0.67
0.63
0.60
0.57

Table 7-4(b). Values of Combined Load Factors X and Y (Ref. 44)

Single Direction
Double Direction Bearings

Bearings
Ball Thrust Bearing
Type

Thrust Bali Bearings

with Contact Angle

F.

F*

>e

se
Ft

>e
Fr

X
0.66

a = 45

0.66

a = 65
a = 75

0.92
1.66

1.18
1.90

0.59
0.54

3.89

0.52

0.92
1.66

1
1

1.25
2.17

4.67

(1) For a = 90: Fr = 0 and X = 1

Table 7-4(c). Values of Combined Load Factors X and Y (Ref. 44)

Radial Roller Bearing Type

F,
Self-aligning

0.4

0.4 cota

1.5 tana

0.67 cota

1.5 tana

Double Row Bearings

Bearings
a*0(1)

Single Row Bearings

and
Tapered Roller

0.45 cota

Note: (1) For a = 0: Fa = 0 and X = 1

7-21

0.67

BEARINGS

Table 7-4(d). Values of Combined Load Factors x and Y (Ref. 44)

Roller Thrust
Bearing
Type

Single Direction
Bearings

Double Direction Bearings

>e

Self-aligning and
Tapered Thrust Roller

tana

1.5 tana

0.67

tana

For a = 90: Fr = 0 and Y = 1

7-22

1.5 tana

CHAPTER

GEARS AND SPLINES

8.1 INTRODUCTION
The reliability of gear or drive components is perhaps one of the most important considerations when
designing a system. Some general design constraints and requirements should be given special attention
because of their potential impact on the long-term reliability of the total system. The first of these is the
operating power spectrum. The key point with regard to this design parameter is to anticipate potential
requirements for growth. The second is that changing requirements may cause a configuration change
where alignments are altered. This can be critical if the misalignment could cause vibration that could
set up stresses and lead to fatigue failure. When a lubrication system is included, care should be taken
to assure that the capacity, filter and transferring components are adequate. If superfine filters should be
introduced, larger traps would be required to accommodate the increase in particles trapped in the element.
The lubricant flow should be designed so that the particles within the system are removed prior to reentry
into the gear box area.
Noise and vibration can affect reliability, not only of the drive system itself, but also of associated
components within the complete system. Hence, every effort should be made to select a gearbox that is
as quiet and as vibration-free as possible. When selecting gear candidates, consideration should be given
to helical or high contact spur gears instead of conventional spur gears. Also, one should make certain
that critical speeds and gear clash resonance frequencies, which may reinforce each other, are avoided.
In most gearbox applications, especially in airborne systems, weight is usually a constraining and, in
some cases, the controlling factor. In general, overdesign means higher reliability, but in weight critical
systems, overdesign in one area requires underdesign elsewhere; thereby, defeating the purpose of the
overdesign. For example, bearing life should never be sacrificed in the design because bearings are likely
to be the main drivers in determining gear system reliability.
When a gearbox is exposed to overstress, several conditions occur that greatly affect the failure rate.
Bolted gear flanges will be subject to fretting and high loads will cause bevel gears to shift patterns,
making tooth breakage a likely occurrence. Spur gears develop scuffing lines increasing the roughness
of the surface as loads are increased. A gear system should be used in a design that exceeds the
8- 1

GEARS AND SPLINES

specification load only after detailed analysis of the impact on each part or component has been made.
8.2 FAILURE MODES
8.2.1 Spur and Helical Gears

Spur gears are cylindrical in form and operate on parallel axes. The teeth are straight and parallel to
the axes. Spur gears are commonly used in all types of gearing situations, both for parallel-axis speed
reduction and in coaxial planetary designs. A typical spur gear arrangement is shown in Figure 8.1. In
general, the reliability of drive train spur gears is extremely high due to present design standards. There
are, however, some considerations that should be addressed because they are frequently overlooked in spur
gear design or selection for specific purposes.

PINION

SPUR GEARS

<3<r
J&y\A=ft(

SPUR RACK

RACK

^s&^

Figure 8.1 Typical Spur Gear Arrangement

Generally, the initial design of a spur gear mesh is one of standard proportions and equal tooth
thickness for both pinion and gear. This is, however, rarely the optimum configuration for a spur gear
mesh, because this type of design does not have two very desirable characteristics: recess action and a
balanced bending stress in pinion and gear. A recess-action gear mesh, shown in Figure 8.2, has a long
addendum pinion and short addendum gear. A recess-action mesh is quieter and smoother running than
standard mesh and has a much lower tendency to score due to better lubrication within the mesh.
Although the advantage of having balanced bending stresses on a pinion and gear is primarily lower
weight, it does have an indirect effect on reliability. As stated earlier, whenever there is an inefficient use
8-2

GEARS AND SPLINES

of weight, reliability is compromised somewhat. For example, even a fraction of a pound saved in the
optimization of a spur gear mesh could be applied to a bearing where the life could perhaps be doubled.
While overemphasis of weight reduction can be detrimental to reliability, the carrying of excess weight
can have a far-reaching effect; therefore, a balanced gear system must be the goal for efficient and reliable
systems. Fortunately, it is usually a simple task to achieve recess-action and balanced bending stress in
most spur gear designs. This is accomplished by experimentally shifting the length of contact up the line
of action toward the driver gear, while increasing the circular tooth thickness of the pinion and decreasing
that of the gear.
long addendum pinion
addendum

pitch circles
addendum
short addendum gear Equal Addendum Teeth

Long and Short Addendum Teeth

Figure 8.2 Gear Mesh Arrangements

There are four design criteria that are used to evaluate the adequacy of spur or helical design: Bending
stress, hertz or vibrational stress, flash temperature index and lubrication film thickness. The first three
have long been used in gear design and methods of calculation are well documented in many publications.
It is obvious that if an oil film of a greater thickness than the contact surface asperities can be maintained
scoring will not occur, since a metal-to-metal contact will not be experienced.
An important parameter to evaluate lubrication effectiveness is the lubricant film thickness. The
equation below is a non-dimensional expression for lubricant film thickness:

"L =

Where:

HL
G
U
W

2.65 G054 U01

W 0.13

(8-1)

= Dimensionless film thickness factor

= Viscosity and material parameter
= Speed parameter
= Load parameter

8-3

GEARS AND SPLINES

Since it is often difficult to obtain these parameters directly, this expression will only be used for a
qualitative evaluation. The major impact of the formula is to establish the dependence of lubricant film
thickness (H^ from the various parameters.
Allowable tooth stress is the subject of much uncertainty and most gear manufacturers have a
proprietary method for establishing this criteria. Therefore, it is usually a stated parameter from the
manufacturer that is used. The use of allowable stress published by the American Gear Manufacturers
Association (AGMA) will usually result in satisfactory gear performance.
To ensure smooth operation of the gear mesh under load, it is generally the practice to modify the
involute profile, usually with tip relief, to correct for the deflection of the gear tooth under load. The
various parameters affecting gear wear are shown in Figure 8.3. Too little relief will result in the gear
teeth going into mesh early and going out of mesh late. This condition results in higher dynamic loads
with the accompanying stress, vibration, noise and possible non-involute contact that can lead to
hard-lines, scuffing or scoring of gear teeth. Too much tip relief lowers the contact ratio of the gear set
and again can result in less than optimum performance with respect to stress, vibration, and noise.
Crowning is generally applied to spur gears to ensure full contact across the face of the gear without
end loading. With insufficient crowning, end loading will occur and result in higher than predicted
vibrational stresses. The methods used to calculate the amount of crowning is similar to the methods used
for calculating crowning on roller bearings.

Figure 8.3 Typical Gear Tooth Designs

8-4

GEARS AND SPLINES

Helical gears, shown in Figure 8.4, are usually quieter and have a greater load-carrying capacity per
inch of face than spur gears. The major disadvantage is that a thrust load is introduced along the gear
shaft, thereby requiring larger and stronger bearings. Analysis of helical gears is very similar to that used
for spur gears. The stress analysis is performed using an equivalent spur tooth. AGMA standard
procedures have been developed for strength analysis of spur and helical gears.

\ ^

,\fcLEFT-HAND

1HELICAL TOOTH

RIGHT-HAND < ,\
HELICAL 7\S/ i

PK7'
/
\

>

TOOTH

[*r\ \\ ^

RIGHT-HAND
^ ^ ^ HELICAL TOOTH

> <

<

\Y%\ /
\ \

RIGHT-HAND
HELICAL TOOTH

I )

PARALLEL HELICAL GEARS

CROSSED HELICAL GEARS

Figure 8.4 Typical Helical Gear

8.2.2 Spiral Bevel Gears

The geometry of spiral bevel gears is considerably more complex than the spur or helical gear;
therefore spiral bevel gears are probably the most difficult type of gear to design and analyze. The gear
spiral is designed, if possible, so that axial forces tend to push both the pinion and gear out of mesh. If
this design is impossible, then the spiral is chosen so the pinion is forced out of mesh. The face contact
ratio of the mesh should be as high as possible to ensure quiet running. The face width of the spiral bevel
gear should never exceed one-third of the outer cone distance to prevent load concentration on the toe of
the gear and possible tooth breakage.
8.2.3 Planetary Gears

Planetary gear units are used in many designs, because they offer relatively large speed reduction in
a compact package. The load shared among the pinions and the face width of the planetary gear is much
less than that which would be required for a single mesh reduction. From a design point of view, it is
8-5

GEARS AND SPLINES

desirable to use as many pinions as possible. It is normally desired to refrain from equally spaced planets
meshing in unison with a sun or ring gear. The most common problem with this design is thrust washer
wear. The excessive wear generally results from an inadequate supply of lubricant to the thrust washer
area. The spherical bearing type support is generally preferred from a reliability point of view, since there
are fewer parts and the thrust washer problem is eliminated. The spherical bearings also allow the pinions
to maintain alignment with the sun and ring gears despite the deflection of the pinion posts. Despite the
advantage of this design, it may be impossible to provide adequate support for cantilevered pinions in high
torque situations, thereby requiring a two-plate design.
8.2.4 Involute Splines

Involute splines are used to transfer torque between shafts and flanges, gears and shafts, and shafts
and shafts. The most common problem associated with splines is wear due tofretting;particularly, with
loose splines. Strict attention must be given to the maintenance of bearing stress below the allowable
limit. Tight splines should have an adequate length pilot to react with bending loads. Lubrication is a
particular factor in the reliability of loose splines and, if at all possible, should remain flooded with oil
at all times. Crowning is usually required to prevent excessive wear.
8.3 GEAR RELIABILITY PREDICTION

The previous paragraphs have provided an insight into the specific characteristics and failure modes
of the more common gear types. Gears, fortunately, are designed to a specification and through the
standardization of the American Gear Manufacturer's Association (AGMA), gears of various manufacturers
and designs can be compared. The best approach for the calculation of failure rates for a gear system is
to use the manufacturer's specification for each gear as the base failure rate, and adjust the failure rate for
any difference in the actual usage from that purpose for which the gear was designed. This gear failure
rate can be expressed as:

^G =

Where:

G3 *

GS

GP *

GA *

GL *

GT *

GV

XQ = Failure rate of gear under specific operation, failures/million

operating hours
=
^G B
Base failure rate of gear as specified by manufacturer,
failures/million operating hours
CGS = Multiplying factor considering speed deviation with respect to
design (See Figure 8.5)
CGP = Multiplying factor considering actual gear loading with respect
to design (See Figure 8.6)
8-6

(8"2>

GEARS AND SPLINES

CGA = Multiplying factor considering misalignment (See Figure 8.7)

CGL = Multiplying factor considering lubrication deviation with respect
to design (See Figure 8.8)
CGT = Multiplying factor considering the operating temperature (See
Figure 8.9)
CGV = Multiplying factor considering the AGMA Service Factor (See
Table 8-1)
XGB can usually be obtained from the manufacturer and it will be expressed in failures/operating hour
at a specified speed, load, lubricant, and temperature. Also, a service factor will usually be provided to
adjust the normal usage factor for certain specific conditions found in typical industries. These factors
include such things as vibration, shock and contaminates.
8.3.1 Velocity Multiplying Factor

The speed deviation multiplying factor, CGS, can be calculated using the relationship established in
Equation (8-1) noting that the lubrication film thickness varies with speed to the 0.7 power. Therefore:
( V \0J
C

Where:

GS

(8-3)

V0 = Operating Speed, RPM

Vd = Design Speed, RPM
k = Constant, 1.0

8.3.2 Gear Load Multiplying Factor

The torque deviation multiplying factor, CGP, has a lubricant and a fatigue impact. From Equation
(8-1), the impact of load or torque can be expressed as:

Change in Expected Life =

k
W

(Lubricant Impact)

(LD
L

o,

Where:

L 0 = Operating Load, lbs

LD = Design Load, lbs

8-7

(8-4)

GEARS AND SPLINES

k = Constant
and the expression for torque or load on the fatigue rate of the component is:
\4S6

I J

Change in Expected Life = k

(Fatigue Impact)

C*

(8-5)

Therefore:

^-GP

Where:

f^o/^1

4.69

(8-6)

k = Constant, 0.50

8.3.3 Misalignment Multiplying Factor

The alignment of gears, bearings and shafts can be critical in the operation of a system. CGA, the
misalignment factor, can be expressed as:
/

'GA

Where:

\ 2.36

(8-7)

[0.006)

AE = Misalignment angle in radians

8.3.4 Lubricant Multiplying Factor

The lubricant factor CGL is a function of the viscosity of the lubricant used in a gear system. CGL can
be expressed as:

'GL

Where:

(8-8)

VVL;

v 0 = Viscosity of specification lubricant, lb-min/in2

vL = Viscosity of lubricant used, lb-min/in2

8 -8

GEARS AND SPLINES

8.3.5 Temperature Multiplying Factor

Temperature conditions of the gear system have an impact on other parameters such as CGL and CGP.
As the temperature increases, the lubricant viscosity decreases and the dimensions of the gears, shafts and
bearings increase. This change normally causes a closer tolerance between operating units and an increase
in the frictional losses in the system. The multiplying factor for temperature CGT can be expressed as:

(8-9)

^-GT

Where:

T0 = Operating temperature, R
Ts = Specification temperature, R

8.3.6 AGMA Multiplying Factor

The AGMA has developed service factors for most industrial applications of gears, bearings, and
gearbox designs whereby the expected extent of usage in vibration and shock environments can be taken
into account when a gear system is selected for use. This service factor can be used as a multiplying
factor for determining the inherent reliability or expected failure rate (CGV) for a specific gearbox or
bearing in a particular environment. Most manufacturers provide service factor data for each of their
products. An example of a service factor for a speed-decreasing drive is shown in Table 8-1.
C o v = AGMA Service Factor

(8-10)

8.4 SPLINE RELIABILITY PREDICTION

The failure rate in failures per million revolutions of spline gears (kGS) can be calculated by:

^GS

Where:
and:

^GS3 *

GS *

GL *

GN *

GT '

HP
AGJB =

GV

(8-11)

(8-12)

0 = life of spline gear in revolutions

8-9

GEARS AND SPLINES

An analytical expression for the spline gear life, 9, has been devised by Canterbury and Lowther (Ref.
1). This equation is expressed as:

6 = 7.08 x 10

10

{<f>GAA*>
I

Where:

-2.36

(8-13)

(AB>
C

D ;

GL = Spline length, in
GD = Spline diameter, in
AE = Misalignment angle, radians
4.85GB(GD)3

cp = Load factor =

GT = Torque, in-lbs
GB = Tooth hardness (Brinell), lbs/in2
Substituting the expression for the spline gear base failure rate into Equation (8-12) yields:
5.93 (XE)236
l

GS

(G G G \ 456
W

Where:

GS *

GL *

GT *

GV

(8-14)

CGS, CGL, CGT, and GGV are calculated by Equations (8-3), (8-8), (8-9), and (8-10)
respectively.

8- 10

GEARS AND SPLINES

* 2.2o
U

2-0

UH

1.8"
a.

.
1
1

3ear Ve locity N

l.

l.U T

0.0

0.-2

0. 4

0. 3

0. 3

1. 3

v 0 /v d

c GS = i.o +

Where:

V0 = Operating speed, RPM

Vd = Design speed, RPM

Figure 8.5 Gear Velocity Multiplying Factor

8 - 11

1.2

1.4

GEARS AND SPLINES

100 -

o.
o
<J

co

1 i

>>

!i
i
j

1" - ;
1

'^

"" ^^nI

u.
o

'

^00^1

10 -

"

1 J **-^*
^^J"*

0.01 ^
1

u
O
0.001 1
i

|
I

0.0001 0. 0

0. 1

0.2

0. 3

0.4

0. 5

0.6

0.7

0. 8

0.9

LQ/LQ

4.69
^GP

Where:

, 0.5
L 0 = Operating load, lbs
LD = Design load, lbs

Figure 8.6 Gear Load Multiplying Factor

8- 12

1.0

1.1

1.2

1.3

GEARS AND SPLINES

-""**

^-^H

I !

I
'

'

'

'
[

'

Misalignment Multiplying Factor, CGA

f*~~~~

U. 1 1

0. 0

0.2

0.4

0.6

0.8

1.0

1.2

1.4

1.6

1.8

Misalignment Angle, AE, degrees

-GA

Where:

= 12.44 AE
AE = Misalignment angle, degrees

Figure 8.7 Gear Misalignment Multiplying Factor

8 - 13

2.0

2.2

GEARS AND SPLINES

1 K 1.0

Lubricant Multiplying Factor, CGL

1.4 -

1.2 -

1.0 Ii

0.8 -

0.6 -

0.4-

no .

0.0

0.2

0.4

0.6

0.8

1.0

1.2

1.4

VCAL

c
Where:

0.54

- it
v 0 = Viscosity of specification lubricant
vL = Viscosity of lubricant used

Figure 8.8 Gear Lubricant Multiplying Factor

8 - 14

1.6

1.8

2.0

GEARS AND SPLINES

Table 8-1. Typical AGMA Service Factor

Character of Load on Driven Member

Uniform

Medium Shock

Heavy Shock

Uniform

1.00

1.25

1.75

Medium Shock

1.25

1.50

2.00

Heavy Shock

1.50

1.75

2.25

Prime Mover

8 - 15

THIS PAGE INTENTIONALLY LEFT BLANK

CHAPTER

ACTUATORS
9.1 INTRODUCTION

Actuators provide the means to apply mechanical power to systems when and where it is needed. In
general, actuators take energy from pumped fluid and convert it to useful work. This conversion is
accomplished by using the pumped fluids to generate a differential pressure across a piston, which results
in a force and motion being generated. This chapter will identify some of the more common failure
modes and failure causes of actuators, and will develop and discuss a failure rate model for actuators.
In general, there are two types of output motions generated by actuators: linear and rotary. Within
these two classifications there are many different types of actuator assemblies.
9.1.1 Linear Motion Actuators

Linear motion actuators are usually a derivative of one of the following four types:
1.
2.
3.
4.

Single acting
Double acting
Ram
Telescoping

Single acting actuators are the simplest type of the four. Pressurized fluid acts only on one side of
the piston so the single acting actuator is capable of generating motion and power only in one direction
and requires an external force to move the piston in the opposite direction.
Double acting actuators have fluid chambers on both sides of the piston, which allows pressurized
fluid to both extend and retract the piston/rod and provide a faster response. Double acting actuators may
have rods extending from either or both ends of the cylinders. Those with rods extending from both ends
are balanced; that is, the piston moves at the same rate and delivers equal forces in each direction.

9- l

ACTUATORS

Ram cylinders are a variation on the single acting design, but in this case, the piston rod is the same
diameter as the piston. This design is useful where column loads are extremely high or when the rod
hanging in a horizontally mounted cylinder has a tendency to cause sagging.
Telescoping cylinders generate long stroke motions from a short body length. Force output varies with
rod extension: highest at the beginning, when the pressurized fluid acts on all of the multiple piston faces;
and lowest at the end of the stroke, when the pressurized fluid acts only on the last extension's piston
area. Telescoping cylinders may be either single or double acting.
9.1.2 Rotary Motion Actuators

Rotary actuators produce oscillating power by rotating an output shaft through a fixed arc. Rotary
actuators are primarily one of two types:
1. Linear motion piston/cylinder with rotary output transmission
2. Rotary motion piston/cylinder coupled directly to output shaft
The first of the two rotary actuator types generally uses one or two linearly moving pistons to drive
a transmission to convert the linear motion produced by the piston to a rotary output motion. These rotary
actuators generally use crankshafts, gear rack-and-pinions, helical grooves, chains and sprockets, or
scotch-yoke mechanisms as transmissions to convert the piston's linear output to rotary output. The
piston/cylinder design may be single or double acting.
The second of the two rotary actuator types uses a piston designed to oscillate through a fixed arc to
directly drive the output shaft. This design is simpler than the other type of rotary actuator as no
transmission is required, but the unusual piston shapes required may create sealing problems.
9.2 ACTUATOR FAILURE MODES

The primary failure mode of an actuator is a reduction in output force or stroke. This reduction in
actuator output power can be caused by excessive wear of the piston/cylinder contact surfaces, which
results in an increase in fluid leakage past the piston. Reduction in actuator output power can also be
caused by external leakage, such as leakage through the piston rod/rod seal interface. Deterioration of the
piston rod seal also permits ingestion of contaminants to the gap between the piston and cylinder
increasing the rate of wear and probability of problems associated with corrosion.
Another common failure mode for actuators is jamming of the piston caused by stiction or
misalignment. This failure can occur if excessive contaminants are ingested or if excessive side loads are
9-2

ACTUATORS

encountered. Misalignment also increases the rate of piston/cylinder wear contributing to early failure.
Temperature extremes may effect the viscosity characteristics of the pressurized fluid and increased
seal wear will result from the resultant change in film lubrication.
9.3 FAILURE RATE MODEL FOR ACTUATOR
The reliability of an actuator is primarily influenced by its load environment which can be subdivided
into external loads and internal loads. External loads are forces acting on the actuator from outside
sources due to its operating environment. Conditions of storage, transportation and ground servicing as
well as impact loads during operation have an effect on the rate of failure. Internal loads are caused by
forces acting inside the actuator as a result of pressure variations, pressure differentials, friction forces,
temperature-related expansion and contraction, and by forces developed and transmitted by the impact of
external loads.
Valves often form a part of an actuator assembly and are used for primary movement control of the
actuator and also for deceleration of the piston/rod assembly at the ends of their stroke. Failure rate
models for valve assemblies are presented in Chapter 6 of this handbook.
The complete failure rate model for the piston/cylinder actuator incorporates modifiers for
contamination and temperature effects. The complete model can be expressed as follows:

^AC

Where:

^AC3 * O r * ^T

(9"1)

= Failure rate of actuator, failures/million cycles

^AC,B
Base failure rate of actuator, failures/million cycles [See Equations
(9-12) and (9-13)]
CCP = Contaminant multiplying factor (See Section 9.3.2)
CT = Temperature multiplying factor (See Section 9.3.3)
>LAC

9.3.1 Base Failure Rate for Actuator

The primary failure effect of internal and external loads on an actuator is wear of the piston and
cylinder which results in an increase in leakage past the piston. A criteria of actuator failure would then
be a leakage rate resulting from wear which exceeds a maximum allowable leakage rate specified by the
user.

9-3

ACTUATORS

Wear of the cylinder and piston will occur in two phases according to the Bayer-Ku sliding wear
theory (Ref. 6). The first or constant wear phase is characterized by the shearing of the surface asperities
due to the sliding action of the piston within the cylinder. During this period the wear rate is practically
linear as a function of the number of actuator cycles and the wear depth at the end of the constant wear
phase is one half the original surface finish. During the second or severe wear phase, wear debris
becomes trapped between the two sliding surfaces and gouging of the surfaces takes place. The wear rate
begins to increase very rapidly and failure of the actuator is eminent.
The number of cycles to complete the constant wear phase can be predicted analytically by a semiempirical modification of Palmgren's equation (Ref. 6) resulting in the formula:

2000

N
Where:

(YFy

(9-2)

y = Wear factor
Fy = Yield strength of softer material, lbs/in2
Sc = Compressive stress between the surfaces, lbs/in2

The wear factor, y, will be equal to 0.20 for materials that have a high susceptibility to adhesive wear,
in which the wear process involves a transfer of material from one surface to the other. The wear factor
will be equal to 0.54 for materials that have little tendency to transfer material in which the material is
subject to micro-gouging of the surfaces by the asperities on the material surface.
The maximum compressive stress caused by the cylinder acting on the piston is computed assuming
a linear distribution of stress level along the contact area. Reference 38 provides the following equation
for compressive stress:

w
0.8

Where:

W
L
D.
D,

=
=
=
=

J>i

">?

1/2

-D2

D 2
1 - T, 2 2
+

Side load on the actuator, lb

Total linear contact between piston and cylinder, in
Diameter of cylinder, in
Diameter of piston, in
9-4

(9-3)

ACTUATORS

r| = Poisson's ratio
E = Modulus of elasticity, lbs/in2
Substituting Equation (9-3) into Equation (9-2) and adding a constant for lubrication provides an
equation for the number of cycles for an actuator during Phase I wear until the severe wear period begins.

N0

=*

yFy

1/2

Dl D2

i - n22

i - n?
A

E.
*

(9-4)

'

,
2

Where k = 15.4 x 103

During the second or severe wear phase, the following equation can be used to determine the rate of
wear (Ref. 45):

(9-5)
Where:

V
K
W
d
H
N

Volume of material removed by wear during the second phase, in3

Wear coefficient (See Table 9-3)
Applied load, lb
Sliding distance, in
Penetration hardness, psi
Total number of cycles to failure
Number of cycles at the end of the initial wear phase

Solving for N results in the equation:

VH
K Wd

Nr

(9-6)

9-5

ACTUATORS

This second phase of wear is characterized by rapid wear until failure of the actuator occurs usually
as a result of poor response due to excessive leakage. The leakage rate past the piston within the cylinder
may be modeled as laminar flow between parallel plates (Ref. 5).
iz D. a? Ap

Q '
Where:

Q
D2
a
Ap
v
L

,1

(9-7)

12 v L
= Leakage rate past piston, in3/sec
= Piston diameter, in
= Gap between piston and cylinder, in
= Pressure differential across piston, psi
= Fluid viscosity, lbf-sec/in2
= Piston length, in

The gap between the piston and cylinder, a, as shown in Figure 9.1 is a dynamic term being a function
of wear.
a = (Dl - D2) + h
Where:

(9-8)

D, = Cylinder diameter, in
h = Depth of wear scar, in

The wear scar depth, h, will be equal to the volume of material lost due to wear, V, divided by the
contact surface area, A:

h = -

(9-9)

Substituting Equations (9-8) and (9-9) for wear gap into Equation (9-7) results in the following
equation for leakage rate between the piston and cylinder:
n D7 [ (D, - D.) + VIA ] 3 Ap
2 L
Q =
'
H
1!
12 v L

9-6

(9-10)

ACTUATORS

CYLINDER v

FLUID

. PISTON

1 % \^:::>':>':>'i:'::-':>"::-::':'.

VM;///MM;////;///;///;//;/77A

Figure 9.1 Typical Single Acting Actuator

Solving Equation (9-10) for V and substituting V in Equation (9-5) results in an equation for the
number of cycles to failure.

N=

A H
K Wd

(12 Q v L\l/3 * (D - Z>,)

2
n >, Ap

(9-11)

Nn

Combining Equations (9-11) and (9-4) provides the following solution for actuator wear life:

1/3
= dJLwd { 12QvL ) + LD2-DX) + 15.4 *103

nD7Ap

YFV
1/2

L
1 "I,

(9-12)

D 1*>2

I"'?:2

A typical plot of wear as a function of the number of cycles is shown in Figure 9.2.
Since the first phase of wear is fairly linear as a function of the number of cycles and failure will
occur soon after phase one wear, the base failure rate of the actuator can be approximated as follows:

9-7

ACTUATORS

*AC3

Where:

XAC

JO6
N

(9-13)

= Base failure rate of actuator, failures/million cycles

If failure is defined as the wear rate at the knee of the curve shown in Figure 9.2, N 0 can be
substituted for N in Equation (9-13).

3.0-

Z-5X

2J>-|
y

ACTUATOR
NO. 3

1.0

/
ACTUATOR
NO. 1

0.5-

30

40

SO

60

70

80

SO

100

1
MO

120

130

140

ISO

160

170

NUM8ER Of CYCIES CXtOOOl

Figure 9.2 Failure Rate as a Function of Cycles for a Typical Actuator under
Different Side Loads.

9.3.2 Contaminant Multiplying Factor

As established in Equation (9-1), the failure rate of the actuator can be determined as follows:

Where:

XAC
^-AC.B

= Failure rate of actuator, failures/million cycles

= Base failure rate of actuator, failures/million cycles

CCP

= Contaminant multiplying factor

CT

= Temperature multiplying factor

9-8

ACTUATORS

During the time that the actuator is at rest, particles can work their way between the piston and
cylinder. Then, when the actuator is put into motion, increased forces are needed to move the piston.
This stiction phenomena causes a loss of actuator response and in some severe cases, a completely jammed
component.
Three types of wear need to be considered in determining the effects of contaminants on actuator
reliability:
(1) Erosion - Particles carried in a fluid stream impact against the piston and cylinder
surfaces. If the kinetic energy released upon actuator response is large compared to
forces binding the piston/cylinder walls, surface fatigue will occur. Hard particles may
also cut away surface material.
(2) Abrasive Wear - A hard particle entering the gap between the piston and cylinder
surfaces can cut away material of the softer surface on a single actuator engagement.
The rate of wear will be proportional to the number of particles in contact with the
surfaces and the particle hardness. If the hardness of the piston is significantly less than
that of the cylinder, a hard particle, absorbed by the softer material causes severe
abrasive wear of the harder actuator surface.
(3) Surface Fatigue - Particulate contaminants interacting with the piston and cylinder
surfaces can dent a surface producing plastic deformation. Large numbers of dislocations
will increase the surface roughness and deteriorate the surface material. The result is an
accelerated rate of wear and a higher probability of leakage between the surfaces.
The deteriorating effects of contaminant particles on the reliability of an actuator must be equated
along with the probability of the contaminants entering the gap between the actuator surfaces. The
probability of contaminants entering this area will depend on the operating environment, the types and
numbers of particles expected to be encountered, and the filtering system to prevent the entrance of
particles. The typical actuator contains a bushing to wipe the piston on the return stroke. The life
expectancy and reliability of this device must be determined as part of the overall reliability estimate of
the actuator.
If the piston surface slides over a hard contaminant particle in the lubricant, the surface may be subject
to pitting. The abrasive particle has edges with a characteristic radius, denoted by r. When the depth of
penetration of the abrasive particle (d) reaches a certain critical value, the scratching produces additional
wear particles by pitting. This elastic/plastic deformation process occurs when the maximum shear stress
9-9

ACTUATORS

in the complex stress distribution beneath the contact surface exceeds the elastic limit. This maximum
shear stress occurs beneath the contact at a depth equal to one half the contact radius. The value of this
critical depth is given by (Ref. 49).

d.
**
Where:

(1 ~ 2./U N

(9-14)

Fv

fs max = Maximum shear stress, lbs/in 2

r = Characteristic radius of particle, in
Fsy = Yield strength of material, lbs/in2

If this type of wear should occur, it is so severe that actuator performance would be immediately
effected and failure would occur. Actuators are designed to prevent particles of sufficient size to cause
this type of failure and the probability of failure from this type of pitting is extremely low. The failure
mode is presented here as a design evaluation check on the sealing technique for the piston assembly.
Fatigue wear on the microscopic wear due to contaminants is similar to that for pitting just described
except that it is associated with individual asperity contacts rather than with a single large region. The
additional material lost due to contaminant wear process can be estimated in the same way as the adhesive
wear process was explained earlier in this chapter, the volume 5V removed on an individual piston stroke
proportional to a3 where a is the radius of the individual area of contact. Similarly, the sliding distance
5L is proportional to A.

^ - id
6L

(9 -, 5 )

3
A = Area of contact, in2

Where:

Summing for all contacts provides the following equation:

LXN

Where:

1
-K.A
3 '

K w

x
= - 3H
1
V

(9-16)

V = Volume of material lost due to contaminant wear, in3

L, = Sliding distance of the piston, in
N = Number of actuations
9 - 10

ACTUATORS

K,
A
W
Hv

=
=
=
=

Wear coefficient
Area of contact, in2
Transverse load on the actuator, lbs
Vickers hardness of the piston, lbs/in2

This expression can be rewritten in the form to include a contaminant multiplying factor, CCP:

CCT WL, N
V =

(9-17)

The effect of the additional wear due to contaminant particles may be expressed as an additive term
in the basic wear relationship. It will be noted from the derivation of equations for the effect of
contaminant particles on actuator surface wear and the possibility of stiction problems that a probability
of damaging particles entering the gap between the piston and cylinder must be estimated. The
contaminant factors involved are as follows:
Hardness - The wear rate will increase with the ratio of particle hardness to actuator
surface hardness. It will normally be the hardness of the piston that will be of
concern. If the ratio is less than 1, negligible wear can be expected.
Number of particles - The wear rate will increase with a concentration of suspended
particles of sufficient hardness.
Size - For wear of the piston or cylinder to occur, the particle must be able to enter
the gap between the two surfaces. The particle must also be equal to or greater than
the lubrication film thickness. With decreasing film thickness, a greater proportion
of contaminant particles entering the gap will bridge the lubrication film, producing
increased surface damage.
Shape - Rough edged and sharp thin particles will cause more damage to the actuator
surfaces than rounded particles. As the particles remain in the gap, they will become
more rounded and produce less wear. It is the more recent particles being introduced
into the gap that cause the damage.
C CP can be estimated by considering these variables and their interrelationship. The following factors
can be used to estimate a value for CCP:

9 - 11

ACTUATORS

Where:

CP = C H * C s * C N

(9-18)

CH = Factor considering ratio of particle to piston hardness (See Table 9-1)

C s = Factor considering particle size entering gap between piston and
cylinder (use filter size/10 micron)
CN = Factor considering the number of particles meeting hardness, size
and shape parameters entering the gap (See Table 9-2)

9.3.3 Temperature Multiplying Factor

The effect of the temperature of the surface on the wear rate is a complicated phenomena, because
the corrosion of the wear debris at different temperatures produces different oxidation products. Chemical
interactions with the metal surfaces result in different wear rates as the temperature of the surface is
changed (Ref. 51). For example, the formation of Fe304 is likely to predominate when steel is subject
to wear in the temperature range between 570 T and 930 T (300 C to 500 C).
Wear of metals has been related to the heat of absorption of molecules of debris (Ref. 52). The basic
relationship in this treatment is:

^1 ^ ^

V =
Where:

a IT

C0 e e / T

(9-19)

C0 = Arrhenius constant
8 = Activation energy constant, K
T = Operating temperature, K

Values for the parameter 8 are in the range between 1200 K and 6000 K.
The effect of variation of temperature may be determined by eliminating the Arrhenius constant in
terms of the value of the exponential at ambient temperature T. Making this substitution into Equation
(9-19), the following is obtained:

CT K, WL,(NV = J_!
Li
H

AM

9 - 12

(9-20)

ACTUATORS

From reference 45, the temperature factor, CT, is given by:

T
*
CT _
= eJI"'[1-(TJT>]

Where:

(9-21)

Ta = Ambient temperature, 298.2 K

T = Operating temperature, "K

It is noted that the ratio 9/Ta is in the range between 4.0 and 20.0.

9 - 13

ACTUATORS

Table 9-1. Material Hardness

(Use ratio of hardest particle/cylinder hardness for CH)
MATERIAL

HARDNESS (Hv)

Plain Carbon Steels

Low strength steel
High strength steel
Low-alloy Steels
4320
4340
Stainless Steels
303
304
631 (17-7 PH hardened)
631 (17-7 PH annealed)
Austenitic AISI 201 (annealed)
Martensitic 440C (hardened)
630(17-4 PH hardened)
Nickel Alloys
201
Nickel-copper Alloys
Monel (annealed)
Monel K-500 (annealed)
Ni-Cr-Mo-Fe Alloys
Inconnel 625
Hastelloy
Aluminum
AISI 1100 (annealed)
AISI 1100 (cold worked)
AISI 2024 (annealed)
AISI 2024 T4 (heat treated)
AISI 6061 (annealed)
AISI 6061 T6 (heat treated)

9 - 14

140
220
640
560
170
160
520
170
210
635
470
100
120
162
140
200
25
45
50
125
32
100

ACTUATORS

Table 9-2. Typical Component Generation Rates

COMPONENT
Gear Pump
Vane Pump
Piston Pump
Directional Valve
Cylinder

EXPECTED RATE OF
CONTAMINANT GENERATION
7.5
25.0
6.8
0.008
3.2

g/gpm rated flow

g/gpm rated flow
g/gpm rated flow
g/gpm rated flow
g/in2 swept area

cN
*

* Add total grams of contaminants expected per hour/100 to determine C,

Table 9-3. Values of Wear Coefficient (K) In The Severe-Wear Region (Ref. 45)

MATERIAL

4130 Alloy Steel (piston)

4130 Alloy Steel (cylinder)

0.0218
0.0221

17-4 PH Stainless Steel (piston)

4130 Alloy Steel (cylinder)

0.0262
0.0305

9310 Alloy Steel (piston)

4130 Alloy Steel (cylinder)

0.0272
0.0251

THIS PAGE INTENTIONALLY LEFT BLANK

10

CHAPTER

PUMPS
10.1 INTRODUCTION
Pumps are one of the most common types of mechanical components used by today's society,
exceeded only by electric motors. Not surprisingly, there are in existence today, an almost endless number
of pump types that function in systems with dissimilar operating and environmental characteristics. Since
there are so many different pump types, one tries to organize and classify them. It is possible to organize
these components by their use, the materials used to construct them, or even by the type of fluid they
move. However, these categories tend to overlap for many pump types. Therefore, a system to
differentiate between all types of pumps is necessary. This system uses the way or means by which
energy is added to the fluid being pumped, and is unrelated to application, material type, or outside
considerations involving the pump. As seen by Figure 10.1, the pump is classified into two general
classes: Centrifugal and Displacement.

PUMPS

CENTRIFUGAL
|

Axial Flow

SingleStage Multistage

Closed Impelleri- Open Impeller.

L- Fixed Pitch
Variable Pitch

Mixed Flow
Radial Flow

Single Suction '

Double Suction.
Self-Priming Nonprinting
Single Stage
Multistage J
Open Impeller
Semiopen Impeller
Closed Impeller

DISPLACEMENT
Peripheral

Reciprocating

Single Stage
Multistage

Piston
Plunger

Sell-Priming
Nonprinting
Steam-Double
Acting
Simplex
Duplex
Power

Diaphragm
Simplex
Multiplex
Fluid
Operated
Mechanically
Operated

ling J
Single Acting
Double Actiling J
Simplex
Duplex
Triplex
Multiplex

Figure 10.1 Pump Configurations (Ref. 26)

10- 1

Rotary

Single
Rotor

Multiple
Rotor

Vane
Piston
Flexible Member
Screw
Peristaltic

Gear
Lobe
Circumferential
Piston
Screw

PUMPS

These classes represent the two ways in which energy is added to the fluid. With centrifugal pumps,
the energy is added continuously by increasing the fluid velocity with a rotating impeller while reducing
the flow area. This arrangement causes an increase in pressure along with the corresponding movement
of the fluid. Displacement pumps, on the other hand, have energy added to the fluid periodically by the
movement of control boundaries with fluid volumes being displaced causing an increase in pressure.
Displacement pumps can be subdivided into the reciprocating and rotary types. These category
breakdowns can then be addressed individually. The reliability models will be developed to address the
difference between pump types.
Due to the physical design differences between centrifugal and displacement pumps, some pump types
have advantages over others. Figure 10.2 shows the basic advantages and disadvantages between several
pump types. For example, the centrifugal pumps are limited by pressure but can supply almost any
amount of capacity desired. Some custom designed centrifugal pumps have been known to reach almost
3,000,000 gpm in capacity.

100,000 P
's.
N

's.
's
X

10,000

RECIPROCATING
CENTRIFUGAL
. _ . _ . . _

.^
CO

s.

ROTARY

_i

s.

s.

1000

CO
CO
UJ
T

100
10

'

'

10

i im

100

I I ill

1000

I li I III

10,000

CAPACITY, GAUM IN

Figure 10.2

Approximate Upper Limit of Pressure

and Capacity by Pump Class (Ref. 26)
10-2

i I Ml

100,000

PUMPS

Displacement pumps lose capacity as the pressure increases due to the increase in slip which occurs
with an increase in pump pressure. The amount of slip can vary from pump to pump depending on the
actual manufactured clearances in the pump chamber. The slip can also increase with time as wear
increases. Equation (10-1) shows that since slip "S" increases as the pressure requirements increase, the
value of capacity "Q" is thus decreased:
Q = 0.00433 DN - S
Where:

(10-1)

Q = Capacity, gpm
D = Net fluid transferred or displaced by one cycle, ft3
N = Rotation speed, revolutions/minute
S = Slip, ftVmin (The quantity of fluid that escapes the full rotor cycle
through clearances or other "leak paths")

Therefore, high pressure designs are somewhat limited to the amount of capacity, although slip can
be reduced. For example, the slip can be reduced by decreasing the tolerances to the extent that the
interference will not occur between moving parts. Interference can cause an extremely rapid reduction
in pump performance.
10.2 PUMP FAILURE MODES

Due to the large number of pump types and applications, some failure modes are more prevalent than
others for a specific category of pump. For example, with displacement pumps there is a much greater
chance for cyclic fatigue to have an effect on the system than with centrifugal pumps. This is due to the
inherent difference in designs. Displacement pumps have pressure transients which cause temporary
unbalanced forces to be applied to the pump and its system. The displacement pump and driver shafting
can experience much higher stresses during operation due to the uneven torque loading caused by this
natural imbalance. On the other hand, the centrifugal pumps are more balanced and aren't as susceptible
to large stress variations.
10.2.1 Cavitation

The formation of bubbles and then the later collapse of these vapor bubbles due to the pumps's
dynamic motion is the basic definition of cavitation. In order for cavitation to occur, the local pressure
must be at or below the vapor pressure of the liquid. When a fluid flows over a surface having a
curvature, there is a tendency for the pressure near the surface to be lowered. There is a separation of
fluid flow lines where there are different velocity regions. Between these fluid regions, turbulence can
form which may cause bubbles to occur if the pressure is low enough. The collapsing of these bubbles
10-3

PUMPS

can cause noise and vibrations. Sometimes, these pressure changes can be very dramatic and cause
extensive damage to impellers, casings or shafts. If exposed for a sufficiently long time, pitting or severe
erosion can occur. In some instances impeller vanes have experienced 3/8 inch of material loss. This type
of damage can cause catastrophic failures.
Cavitation generally occurs in the first stage of a multistage centrifugal pump, although second stages
have also been found to be effected when the suction head is substantially reduced. With displacement
pumps like the rotary screw, cavitation can also occur. For these pumps it is important to understand the
characteristics of entrained and dissolved air with respect to the vapor pressure of the fluid medium. The
rotary screw pump shows a greater tendency for cavitation when the total available pressure at the pump
inlet is below atmospheric pressure. With both displacement and centrifugal pumps, cavitation can be
identified and easily remedied. Many times the inlet piping arrangement can be modified which will cause
flow patterns that alleviate the problem.
10.2.2 Interference
For rotary displacement pumps, the interference problem must be seriously addressed since very small
distortions of rotors will decrease the clearance causing rubbing or direct impact between the moving parts
of the rotary displacement pump. Thermal expansion can also pose a threat if there is no care taken in
the proper selection of materials. Improper installation can also lead to interference problems. With
centrifugal pumps, cavitation significantly increases the interference problem because cavitation causes
vibration and imbalance. Interference can be avoided by designing the parts with appropriate elastic and
thermal properties so that excessive load or temperature won't significantly deflect internal parts.
Manufacturing tolerances must be carefully maintained.
12.2.3 Corrosion
Consideration must be made for other possible failure modes such as erosion corrosion and
intergranular corrosion. Erosion corrosion is dependent on the rate of liquid flow through the pump and
also the angle of attack at which the fluid impinges on the material. Much of the knowledge for this type
of corrosion is documented. Generally, the way in which materials should be selected is to first determine
whether there are abrasive solids in the fluid. If there are, then the base material should be selected for
abrasive wear resistance; if not, then the pump must be designed for velocity/corrosion resistance.
Intergranular corrosion is the corrosion of the grain boundaries of the material. For austenitic stainless
steels, intergranular corrosion can be limited by keeping the carbon content below 0.03 percent.

10-4

PUMPS

10.2.4 Material Fatigue

This failure mode, which cycles the material with unequal loadings over time, can be countered by
good material selection. Material fatigue occurs with all types of pumps, but may have more of an effect
on displacement pumps, which have higher fluctuating stresses.
10.2.5 Pump Bearing
The shutdown of essential equipment can be an expensive undertaking. Although bearings are
relatively inexpensive, they can cause costly shutdowns of complete systems. Short bearing life for centrifugal pumps, for example, can be caused by a number of problems including the following:
misalignment, a bent shaft, a rotating part rubbing on a stationary part, a rotor out of balance causing
vibration, excessive thrust caused by mechanical failure inside the pump, excessive bearing temperature
caused by lack of lubrication, dirt or other contaminant in the fluid, excessive grease or oil in an antifriction bearing housing, and rusting of bearings from water in housing. Most of these problems can be
classified by the following failure modes: fatigue, wiping, overheating, corrosion, and wear.
Fatigue occurs due to cyclic loads normal to the bearing surface. Wiping occurs from loss of
sufficient lubrication film thickness and the resulting surface to surface contact. This can occur from
under-rotation or from system fluid losses. Overheating is shown by babbitt cracking or surface
discoloration. Corrosion is frequently caused by the chemical reaction between the acids in the lubricants
and the base metals in the babbitt. Lead based babbitts tend to show a higher rate of corrosion failures.
10.3 MODEL DEVELOPMENT
The impellers, rotors, shafts, and casings are the pump components which should generally have the
longer lives when compared to bearings and seals. With good designs and proper material selection, the
reliability of impellers, rotors, shafts and casings should remain very high. In order to properly determine
total pump reliability, failure rate models have been developed for each pump component.
Pump assemblies are comprised of many component parts including seals, shaft, bearings, casing, and
fluid driver. The fluid driver can be further broken down into the various types common to pumps
including the two general categories for centrifugal and displacement pumps. For displacement pumps,
it will be broken down into two further categories: reciprocating and rotary. For reciprocating pumps the
fluid drivers can be classified as piston/plunger type or diaphragm type. For rotary pumps the fluid drive
is a vane type for single rotors and for multiple rotors it is common to find a gear, lobe, or screw type
of fluid driver. The failure rate of a pump is determined using Equation (10-2). The total pump failure
rate is a combination of the failure rates of the individual component parts:
10-5

PUMPS

^P =

Where:

SE

^SH

^BE

CA

(10"2)

^PD

X,SE = Total failure rate for all pump seals, failures/million operating hours
(See Chapter 3)
X,SH = Total failure rate for the pump shaft, failures/million operating hours
(See Section 10.4)
X,BE = Total failure rate for all pump bearings, failures/million operating
hours (See Chapter 7)
X,CA = Total failure rate for the pump casing, failures/million operating
hours (See Section 10.5)
X,FD = Total failure rate for the pump fluid driver, failures/million operating
hours (See Section 10.6)

10.4 FAILURE RATE MODEL FOR PUMP SHAFTS

The reliability of the pump shaft itself is generally very high when compared to other components.
Studies have shown (Ref. 26) that the average failure rate for the shaft itself is about eight times less than
mechanical seals and about three times less than that of the ball bearings. The possibility that the shaft
itself will fracture, or become inoperable is very unlikely when compared to the more common pump
failure modes. Usually the seals or bearings will cause problems first. The effect of the shaft on
reliability of other components is of greater importance than the reliability of the shaft itself.
The pump shaft reliability model is shown by the following equation:

^SH = ^ S H 3 '

Where:

f '

T '

C '

DY

TLF

X,SH = Pump shaft failure rate, failures/million cycles

X,SHB = Pump shaft base failure rate, failures/million cycles (See Section
10.4.1)
Cf = Shaft surface finish mulyiplying factor (See Section 10.4.2)
CT = Material temperature multiplying factor (See Section 10.4.3)
C c = Contaminant multiplying factor (See Section 10.4.4)
CDY = Shaft displacement multiplying factor (See Section 10.4.5)
CTLF = Thrust load multiplying factor (See Section 10.4.6)

10-6

(10"3)

PUMPS

10.4.1 Base Failure Rate

In a typical fatigue test, the test specimen is stressed to some value and the number of stress
fluctuations to fracture noted. The applied stress is then plotted against the number of cycles to failure.
For many ferrous metals and thermosetting plastics the S-N (stress vs cycles) curve approaches an
asymptotic value at some stress level called the endurance or fatigue limit. Figure 10.3 shows an example
of fatigue data for a mild steel subjected to reversed stresses with an endurance limit of 27,000 lbs/in2.
For many materials there is no definite endurance limit and a value is determined at a selected number
of cycles, usually 108 cycles. The base failure rate, XSH B, is estimated from the material endurance factor
by the following relationship:

Where:

SH3

106
N

(10-4)

N = Number of cycles to failure at stress level, SED

SED = Material endurance limit, lbs/in2

The endurance limit, SED, for some common steels and alloys is shown in Table 10-2.

9 10

N, CYCLES X 10*

Figure 103 Typical S-N Curves and Endurance Limits

The multiplying factors account for environmental conditions that vary from the normal operation.
The base failure rate represents values that can be expected if all conditions during normal operation are
those of the original design. The following discussion explains the values for each multiplying factor.

10-7

PUMPS

10.4.2 Shaft Surface Finish Multiplying Factor

Cf is the shaft surface finish factor that adjusts the base failure rate by an amount depending on the
type of manufactured finish. If the design calls for a particular finish, then a variation from this finish
during the manufacturing process will alter the reliability of the shaft. Table 10-3 shows the values and
equations for the various finishes versus material tensile strength.
10.4.3 Material Temperature Multiplying Factor
Typical material fatigue data are acquired at 160 F. To compensate for the decline in static and
dynamic strengths, creep, and thermal expansion at high temperatures, the temperature factor, CT,
represented by Equation (10-5) is applicable for temperatures greater than 160 T.

620
460 + 7AT

CT = 1.0
Where:

for

for

AT

>160oF

(10_5)
v

'

TAT < 160 F

TAT = Operating temperature, T

10.4.4 Contaminant Multiplying Factor

The contamination factor, C c , was developed from research performed for the Naval Air Warfare
Center in Warminster, Pennsylvania on the effect of contamination andfiltrationlevel on pump wear and
performance. The contamination factor equation is based on the filtration level as follows:
C c = 0.6 + 0.5 FAC
Where:

(10-6)

FAC = Filter size, microns

10.4.5 Shaft Displacement Multiplying Factor

The shaft displacement factor, CDY, will vary with the amount of load the shaft will see. Shaft
misalignment and excessive deflection have a significant influence on the reliability of the pump bearings
and seals. The estimate of shaft deflection depends on the weight of the shaft, its physical dimensions
and any unbalance force caused by fluid flow. The basic equation for determining the shaft displacement
multiplying factor is:
10-8

PUMPS

III

'DY

(10-7)

EI
Where:

F
1
E
I

= Fluid radial unbalance force or shaft weight, lb

= Shaft length, in
= Modulus of elasticity of shaft material, lbs/in2
= Moment of inertia (nd4/64), in4

The shaft diameter may be stepped up several times from the end of the coupling to its center to
facilitate impeller mounting. Starting with the maximum diameter at the impeller mounting, there is a
stepdown for the shaft sleeve and another for the external shaft nut, followed by several more for the
bearings and the coupling. Therefore, the shaft diameter at the impeller exceeds that required for torsional
strength at the coupling by at least an amount sufficient to provide all intervening stepdowns.
A typical pump shaft assembly is shown in Figure 10.4. Equation (10-8) (Ref. 8) can be used to
determine the shaft deflection for this design.

Thrust bearing

Radial bearing

Shaft

Impeller

Figure 10.4 Typical Pump Shaft Assembly (Ref. 8)

DY

F
3E

..

N3

jN

M3-N3
jM

L3-M3

10-9

jL

X3

jX

(10-8)

PUMPS

Because operational and maintenance costs tend to rise with increasing shaft deflection, new pump
designs try to decrease possible shaft deflection. For centrifugal pumps, there is a large difference in
deflection among the types of pump casing design. In a single volute casing, there are varying amounts
of fluid pressure distributed about the casing causing unequal distributions of forces on the pump shaft.
This imbalance causes shaft deflection and greater seal and bearing wear.
The amount of radial thrust will vary depending on the casing design and on the amount of the
operating flow. The thrust load will increase from normal operation for any type of casing design when
the pump is not run at its optimum flow rate speed. When the pump is not operating at its optimum rate,
then the type of casing design will have a significant effect on the radial load.
The single volute type shows the greatest pressure imbalance and hence, the greatest deflection. Pump
designers have learned to decrease this imbalance through different casing designs. The modified
concentric casing and the double volute casing both have lower relative radial thrust because they cause
a more even pressure distribution across the face of the impeller. The double volute is the most balanced
and the design with the least amount of radial thrust. The maximum deflection recommended for a shaft
design is approximately 0.001 inches.
10.4.6 Thrust Load Multiplying Factor
Shaft deflection changes as a function of the fluid flow rate through the pump. As a pump's capacity
increases or decreases, moving away from the point of maximum efficiency, fluid pressures around the
impeller become unequal, tending to deflect it. Special casings, such as diffusers and double-volute and
concentric casings can greatly reduce the radial thrust and, hence, the deflection. The possibile effect on
reliability of operating a pump too far from its maximum efficiency point is shown in Figure 10.5.
The thrust load multiplying factor, CTLF, is dependent upon the casing type and pump capacity
percentage. The pump capacity percentage is the actual operating flow divided by the maximum pump
specification flow. Values for CTLF are shown in Figure 10.5 and related equations are included in Table
10-1.
10.5 FAILURE RATE MODEL FOR IMPELLERS, CASINGS, AND ROTORS
The pump casing is a very reliable component. Defined as XCA, the casing failure rate will have a
greater effect on total pump reliability from the standpoint of how it affects other less reliable components.
For instance, for an ANSI pump, the casing may have an average life expectancy of 10 years where a seal
or bearing may have only one or two years. However, the type of casing used in the pump can have a
large effect on the lifetime of the bearings and seals. This is due to differing loads placed on the pump
10- 10

P*"**

PUMPS

shaft by the fluid flow pattern. The fluid flow patterns are a function of the casing design. The failure
rate of the pump casings (XCA) themselves can be estimated at 0.001 failures/million cycles.
10.6 FAILURE RATE MODEL FOR FLUID DRIVER

All pumps require some vehicle to move the fluid from the intakes and expel it through the volutes
to the exhaust opening. The means by which pumps do this is what differentiates most of today's
numerous types of pumps. The reliability of these fluid drivers will vary from pump to pump. Impellers
will wear out long after the seals. Pump gears for rotary gear pumps will have a lower reliability than
impellers due to the nature of the contact between gears and the speed they attain.
Piston-plunger displacement pumps will generally have larger wear rates for the piston walls and rings
than for the impellers of centrifugal pumps. The average failure rates in Table 10-4 have been determined
from data base information developed from the Navy 3M system.
The equations that describe thefluiddriver wear rate may vary drastically since the fluid driver varies
greatly in design and application. Other chapters of this Handbook can be used to estimate the failure
rates for slider-crank mechanisms, mechanical couplings, valves and other components and parts unique
to the particular pump design.

10- 11

PUMPS

10.0

Ontoway V sluts Cbasing

6.0

<

"2.
"3
2

4.0

2.0

Modif edCo ncsntr cCasI no^

. /

DoulWoVo utoCiulng

0.0
20

40

1
60

80

100

120

140

160

Pump Capacity Percentage, Q/Qr x 100

Q = Actual operating flow, gpm

Qr = Maximum pump specification flow, gpm
(See Equations in Table 10-1)

Figure 10.5 Thrust Load Multiplying Factor as a Function of Pump

Capacity Percentage and Casing Design

10- 12

180

Table 10-1. Equations for Figure 10.5, Thrust Load Multiplying Factor

Ordinary volute casings:

For 10 < Q/Qr < 100:
C ^ = 9.94 Where:

0.009^ -0.001 -2.] + 7.77x10"*

C^p = Thrust Load Multiplying Factor

Q = Actual operating flow, gpm
Qr = Maximum pump specification flow, gpm

For 100 < Q/Qr < 110:

Cm, = 1.0
For 110<Q/Q r < 170:
C ^ = -31.6

<Q' -0.45x10

f*\*
Q

.fQ
2.20x10* -5-

Modified concentric casings:

For 10<Q/Q r < 170:

r
On, = 5.305 - 0.0055 - ^
TLF

0.0012

1<?J

* 1.26x10-'

+ 6.77x10"

Double volute casings:

For 10 < Q/Qr < 150
C ^ = i.029 - 0.003 -5-1 +4.11x10*

1<?J
10- 13

_cy

4.63x10*

(<?r
i<v

PUMPS

Table 10-2. Average Values of Endurance Limits (Ref. 39)

MATERIAL

ENDURANCE LIMIT (SED)

Steel, aT ull < 200 kpsi

0.50 oTiUlt

Steel, aT ult > 200 kpsi

100 kpsi

Magnesium

0.35 o Tult

Nonferrous Alloy

0.35 aT U|t

Aluminum Alloy (wrought)

0.40 oTutt

Aluminum Alloy (cast)

0.30 a Tull

Note: Alloys are heat treated, hot worked; specimens are smooth, subjected to long life rotating beam
tests

Table 10-3. Pump Shaft Surface Finish Factor

c,

FINISH
Polished

1.0

Ground

0.89

Hot Rolled

0.94 - 0.0046TS + 8.37 x 10"6 (TS)2

Machined or Cold Drawn

1.07 - 0.0051 TS + 2.21 x 10 5 (TS)2 - 3.57 x 10"8 (TS)3

As Forged

0.75 - 4.06 x 10'3 + 7.58 x 10 * (TS)2

Note: TS = Tensile Strength of Material in kpsi

10- 14

Table 10-4. Failure Rates for Pump Fluid Drivers (X^) (Ref. 26)
PUMP TYPE
Centrifugal

Displacement

FLUID DRIVER MODE

MODEL TYPE

BASE RATE*

- Axial Flow Impeller

- Closed/Open Impellers-

0.1 - 0.3

- Mixed Flow/Radial Flow Impeller

- Open/Semi- Open/
Closed Impellers

0.1 -0.14

- Peripheral

- Single Stage/MultiStage

0.1 - 0.3

- Reciprocating
- Reciprocating
- Rotary (Single Rotor)
- Rotary (Single Rotor)
- Rotary (Multiple Rotor)
- Rotary (Multiple Rotor)
- Rotary (Multiple Rotor)

- Piston/Plunger
- Diaphragm
- Vane
- Piston
- Gear
- Lobe
- Screw

1.0- 1.35
0.4 - 0.75
0.2 - 0.6
0.9 -1.2
0.6 - 0.9
0.4 - 0.5
0.2 - 0.95

* Failures/million hours of operation

10- 15

fiNl*'

THIS PAGE INTENTIONALLY LEFT BLANK

CHAPTER

FILTERS
11.1 INTRODUCTION
Fluid filtration equipment is unique in that the reliability of this equipment is more concerned with
the effects of the filter on associated equipment than on the lifetime of the filter itself. This is due to
severe wear of fluid system components which can occur when these components are operated with poorly
filtered fluid. This chapter will review the conditions which can lead to degradation or failure of the
filter. The effects of contamination on the wear of various components is also discussed. A basic failure
rate model with correction factors will also be developed.
11.1.1 Filtration Mechanisms
Filters are constructed of a porous filter media through which fluid is passed. The filter media is
typically corrugated to increase the amount of filtration area in the filter volume. Filtration of gases is
accomplished by absorption and direct interception of the suspended particles. Filtration of liquids is
primarily accomplished by direct interception of the suspended particles.
11.1.2 Service Life
The porous structure of afiltermedia presents a resistance to fluid flow which causes a pressure drop
across the filter. This filter differential pressure increases as captured particles or contaminants are
collected and plug the porous media. Every system has a maximum differential pressure at which the
filter must be cleaned or replaced. The filter service life is the time it takes the filter to reach the
maximum allowable differential pressure. Use of the filter beyond its service life could result in
catastrophic failure of the filter due to the high differential pressure or it could result in unfiltered fluid
bypassing the filter (Ref. 33).
11.1.3 Filter Failure
A filter is considered to have failed when it releases previously captured contaminants, when it allows
unfiltered fluid to pass throughout the filter media, or when the filter collapses and contaminates the fluid

11 - 1

FILTERS

with filter media. Plugging of the filter with contaminants, with a resulting increase in filter differential
pressure, is a normal consequence of operation and is not considered a failure even if it occurs
prematurely. Failure of thefiltercan be caused by operating conditions such as high differential pressures,
cyclic flow, vibration, system startups when cold, and even the fluid being filtered, if the fluid is
incompatible with the filter.
11.2 FILTER FAILURE MODES
Typical failure modes and causes for filter assemblies are summarized in Table 11-1.

Table 11-1. Failure Modes of Filters

FAILURE MODE

FAILURE CAUSE

FAILURE EFFECTS

Channeling

- High differential pressures

- Cyclic flow

- Release of contaminants
- Circulation of unfiltered fluid

Fatigue Cracks

- Cyclic flow

- Circulation of unfiltered fluid

- Release of filter media

Media Migration

- Vibration
- Cyclic flow
- Cold starts

- Release of filter media

Filter disintegration

- Embrittlement
- Cold starts
- High differential pressures

- Substantial contamination of fluid

with filter media

Plugging

- Condensed moisture
- Oil saturated with
contaminants
- Absorption of oxidation
products
- Absorption of coolant
- Accumulation of wear
debris

- Increase in filter differential

pressure. Definition of failure
dependent on system design and
maintenance schedule

11 - 2

FILTERS

Some of the more common failure modes can be described as follows:

Channelling: Excessively high differential pressures can cause filter media pores to enlarge, allowing
large amounts of unfiltered fluid to bypass the filter media. Enlargement of the media pores also allows
previously captured contaminants to be released. Channelling can also be the result of media fatigue
caused by cyclic flow conditions.
Fatigue Cracks: Cyclic flow conditions in the fluid system can cause fatigue cracks in the filter media.
Such cracks may occur at the roots of pleats in corrugated filters or within the volume of loose packed
media. The cracks will allow the release of contaminants from the filter and will allow some of the fluid
to bypass the filter. Media fatigue can result from cyclic flow conditions such as varying system flow
requirements, pump ripple, or cold system startups.
Media Migration: Improper bonding of the media fibers or deterioration of the bonding can result in the
down stream release of media fibers. This downstream release of the filter media is termed media
migration. Media migration during vibration of the filter may result from an improper fit of the filter in
the filter housing or may result from the filter media abrading against the filter casing. Media migration
can also occur in conjunction with fatigue cracks in the media, as caused by cyclic flow conditions.
Media migration can also occur during cold temperature start-ups due to potential large differential
pressure generated as a consequence of increased fluid viscosity.
Filter Disintegration: Complete disintegration of the filter can occur as a result of extremely high
differential pressures. Disintegration can also be the result of embrittlement of the filter media from
exposure to incompatible fluids or cold temperatures.
Plugging: Plugging of the filter media can be either a normal consequence of operation or failure,
depending upon when plugging occurs. Failure due to premature plugging can be attributed to several
causes other than just the accumulation of wear debris. As an example, Hudgens and Feldhaus (Ref. 24)
have found that lubrication oil filters in diesel engines can plug by any one of six mechanisms. While
some of these are particular to internal combustion engines, the mechanisms may be applicable to any
oil-based fluid system. The six mechanisms can be summarized as follows:
(1) Absorption of water in the oil from condensed moisture and/or coolant leakage can cause
insoluble contaminants, normally dispersed into the lubricating oil, to dump out of
suspension. This condition can also arise when there is a combination of moderate soot
load, low pH and a high level of oxidation produced in the oil. A filter plugged under
these circumstances will be marked by a sticky, shiny, adherent sludge with wavy pleats
and the filter will have accumulated from 1/3 to 1/2 of its total contaminant capacity.
11 - 3

FILTERS

(2) Saturation of the oil with excessive amounts of combustion contaminants, due to engine
problems or overextended oil drain internals, can also cause filter plugging. The filter will
appear to have a thick, loosely-held sludge. The filter will have accumulated from 1/3
to 1/2 of its total contaminant capacity typically but it can accumulate up to 100 percent
in extreme cases.
(3) Absorption of oxidation products such as degraded fuel and oil will also cause the filter
to plug and the filter will have accumulated 40 percent to 50 percent of its contaminant
capacity. The filter does not appear to have sludge buildup but it does appear to have a
brown tint and to be covered by blown snow. The problem occurs most often with API
CC spec lubricating oils where overheating or fuel dilution is a problem.
(4) Moisture condensation or coolant leakage into the oil reservoir can cause filters to plug
as a result of oil additive precipitation. Plugging of the filter can occur at 8 percent to
30 percent of the filter's contaminant capability. The filter will have a gray coloration
but no sludge build up.
(5) Coolant or moisture can also combine with oil additives to form thick,filter-plugginggels.
The filter media in such circumstances will be wavy with a sticky feel but will usually
look clean. Filters plugged due to gel formation usually reach only 3 percent to 6 percent
of their contaminant capacity before plugging.
(6) Accumulation of wear debris also causes filters to plug. In this failure mechanism, the
filter plugs by retention of 100 percent or more of its full contaminant capacity. The filter
will appear to have a buildup of visible wear particles on the filter media.
11.3 FLUID CONTAMINATION EFFECTS

Fluid system component failures related to particulate contamination of the operating fluid are usually
either catastrophic or deterioration failures. Catastrophic failures occur when the system components are
operated under intolerable conditions. Catastrophic failures may also be the result of wear occurring over
a long period of operation. Failures due to component deterioration typically involve a fairly rapid change
in component performance, falling below a satisfactory level after a period of normal operation.
Contamination of the operating fluid with hard particles can cause progressive performance
deterioration through an abrasive wear mechanism. This type of wear is characterized by a particle
penetrating a softer surface and cutting away material. The rate of wear and thus the rate of performance
degradation is dependent on the number of particles and the particle hardness. Particle contamination can
11 - 4

FILTERS

also cause cumulative performance degradation where a rapid decline in performance follows an extended
period of apparently normal operations. This type of degradation failure is caused by the creation of
surface defects during operation. These surface defects may be caused by abrasion, surface fatigue or
adhesion wear processes.
Fluid systems requiring filtration typically include components such as pumps, gears, control valves,
ball bearings, roller bearings, journal bearings, and seals. Their potential effect on contamination of the
fluid system can be described as follows (Ref. 7):
Pumps: In displacement-type piston pumps, the piston face can be damaged by cavitation or
corrosion. Contaminant particles can enter the lubricant film between the piston and cylinder and plough
the surface several times before being ejected. In swashplate controlled devices, such as variable
displacement pumps and hydraulic motors, the piston shoes can cause abrasion-wear-type degradation
failures as the shoes are highly loaded and are in sliding contact with the swashplate. Similar
abrasive-wear-type degradation failures can occur to the sliding contact surfaces of the rotating cylinder
block and the mating valve pressure plates.
Gears: Gear failures are primarily failures of the gear tooth surface. This surface is damaged by
rubbing wear, scoring, pitting, and plastic flow. Rubbing wear occurs when the lubricant film is
insufficient to separate the tooth surfaces and is generated by both adhesive and abrasive wear
mechanisms. Scoring of the tooth surface is generated by the adhesive wear type mechanisms under
intense local frictional heating. Pitting and plastic flow both occur as a result of tooth surface fatigue
wear.
Valves: Particle contamination can cause increased leakage in control valves by severe cutting or by
milder abrasive wear mechanisms. Synthetic phosphate ester fluids have been found to cause servo valve
erosion by a streaming-potential corrosion process. A brittle corrosion layer is formed on the valve and
is abraded by fluid-borne particles, adding additional particulates to the fluid and exposing base metal,
allowing further corrosion. Deterioration failures of relief valves can occur from particle contamination
caused by erosion. Contamination of hydraulic fluid by water has been shown to cause rust inhibitor
additive to attach to servo valve spools and prevent movement of the valve spool within its housing.
Bearings: Hard particle contamination of ball and roller bearing lubricants is the cause of two types
of abrasive wear of the rolling surfaces. Hard particle contamination causes rolling surface damage that
dominates the fatigue life of ball bearings under typical operating conditions. In severe circumstances,
hard particle contamination causes indentations and pits which cause rapid failure of the rolling surfaces.
Abrasive wear, increasing with particle concentration and hardness, can remove material from the sliding
edges of a tapered rolling bearing, reducing the bearing width and allowing increased misalignment. Wear
11 - 5

FILTERS

of this type does not stop until the contaminant size is reduced to less than the lubricant film thickness.
The performance of new journal bearings improves with use initially due to better surface conformity
caused by wear during boundary lubrication conditions. As wear in the contact region progresses, the
performance begins to gradually deteriorate. Wear of the journal bearings is caused by both abrasive and
adhesive wear due to the sliding motion in the contact region. Contamination of the lubricant with water
can cause the formation of a metal oxide boundary layer on the bearing which can inhibit adhesive wear.
However, abrasion of this film can cause bearing failure due to rapid increases in wear, bearing corrosion,
and the number of abrasive oxide particles. Maximum bearing life can be achieved by selecting a filter
to filter out all particles larger than the minimum lubricating film thickness.
Seals: Seal failures are typically caused by fatigue-like surface embrittlement, abrasive removal of
material, and corrosion. Elastomeric seals are more sensitive to thermal deterioration than to mechanical
wear. However, hard particles can become embedded in soft elastomeric materials and sliding contact
metal surfaces, causing leakage by abrasive wear of the harder mating surfaces. Abrasive particles can
also plug lubricant passages which causes seal failure from the lack of lubricant. Seal failures can be
reduced by reducing the amount of contamination through filtration and concern for the operating
environment.
11.4 FILTER RELIABILITY MODEL

A basic filter reliability model can be developed by modeling the fluid system incorporating the filter.
By modeling the flow of particulates through the system, an expression for the rate of retention of
particulates by the filter may be developed. This expression, a function of the system and filter
parameters, can then be integrated to a form which can be used to calculate the mass of particulates stored
within the filter at any time, t. The amount of stored mass at any time, t, can be compared with the filter
capacity, typically a known parameter, to determine the filter reliability.
In order to simplify the development of an initial filter model, the following assumptions must be
made:
(1) The rate of generation of contaminate particulates by system components and the rate of
ingestion of environmental contaminates do not vary with time and the particulates are
evenly mixed within the system fluid. Furthermore, the rates of generation of contaminant
particulates by system components may be modeled using Table 3-5.
(2) The system fluid volume and flow rates do not change with time.

11 - 6

FILTERS

(3) The system fluid volume may be represented as one lumped sum so that the individual
components and fluid lines need not be modeled.
(4) The filter will not plug or become unusually restricted prior to reaching its maximum
capacity.
A typical hydraulic system consists of a reservoir, pump, filter, one or more control valves, and one
or more fluid motors. Such a system can be simplified using the above assumptions to resemble the
diagram in Figure 11.1.

FILTER
PARTICLE
CONCENTRATION
DOWNSTREAM (Cd)

PARTICLE
CONCENTRATION
UPSTREAM (Cu)

PARTICLE MASS
FLOW RATE OUT

PARTICLE MASS
FLOW RATE IN

SYSTEM
FLOW RATE (O)
TOTAL SYSTEM VOLUME (V)
INITIAL CONCENTRATION (C 0 )

PARTICLE MASS FLOW RATE, SYSTEM GENERATED

PARTICLE MASS FLOW RATE, INGESTED FROM ENVIRONMENT

Mci

Figure 11.1 Simplified Fluid System with Filter

The complete filter failure rate model should use adjustments, or correction factors, to modify the base
failure and to account for potentially degrading effects of off-design operating conditions. Considering the
causes of failures as earlier discussed, the failure rate model is:

^F

Where:

^FJJ * ^DP * ^CF * ^ V * ^ T * ^CS " ^ E

A.F = Failure rate of the filter in failures/million hours

A.F B = Base failure rate of the filter in failures/million hours (See Section
11.4.1)
11 - 7

(11-D

FILTERS

CDP = Multiplying factor which considers the effects of the filter

differential pressure on the base failure rate (See Section 11.4.2)
CCF = Multiplying factor which considers the effects of cyclic flow on the
base failure rate (See Section 11.4.3)
C v = Multiplying factor which considers the effects of vibration on the
base failure rate (See Section 11.4.4)
CT = Multiplying factor which considers the effects of temperature on the
base failure rate (See Section 11.4.5)
C c s = Multiplying factor which considers the effects of cold start-up
conditions on the base failure rate (See Section 11.4.6)
CE = Multiplying factor which considers the effects of incompatible fluids
and materials on the base failure rate (See Section 11.4.7)
11.4.1 Base Failure Rate

Using a diagram similar to that of Figure ll.l, Hubert, Beck and Johnson (Ref. 23) developed an
expression for the concentration of contaminant particulates upstream of the system filter at any time, t,
as a function of system fluid volume, flow rate, filter efficiency and total contaminant ingestion rates.
This equation is written as follows:
/

CAt) = Co
Where:

MA
eQ)

M.

v^
+

-2.
eQ

(11-2)

Cu(t) = Concentration of contaminant particulates upstream of the system filter

at any time, t, ug/ml
C0 = Initial concentration of contaminant particulates, ug/ml
Mci = Generation rate of contaminant particulates from all sources and of
all sizes, ug/min
= Overall filter efficiency
Q = Volumetric fluid flow rate through filter, ml/min
V = Volume of fluid, ml
t = Time, min

The concentration of contaminant particulates downstream of the filter can be calculated knowing the
filter efficiency and the concentration upstream:

11 - 8

FILTERS

CM)

=(l-e)C(t)

(11-3)

The mass of contaminate particles retained by the filter over a time period, t, is then:

" . - / . ' [ C . W - C , <!)]<?<*

(11^)

Substituting Equation (11-3) into Equation (11-4) yields:

" - CuC) Q*

(11-5)

and substitution of Equation (11-2) into Equation (11-5) yields:

eQt
vV

*w = /; (eQC -M )e
0

ci

Afcij dt

(11-6)

This is then integrated to yield the following expression of the retained mass as a function of time:
eQt
MfiJter =

VC_

(11-7)

Afcir

Knowing the system parameters and the filter contaminant capacity, the filter lifetime can be
calculated on a trail-and-error basis using the following equation (note the presence of the variable t on
both sides of the equation):

ln(Af d r-Af f i l ( J-ln

t =

cQ

In

eQt

11 - 9

VM. ^
VC

eQ

(H-8)

FILTERS

Where:

t = Lifetime in minutes

Solution of Equation (11-8) for t yields a base service life, t, which can be used to calculate the base
failure rate for the filter.

^ . MJL^
Where:

(11.9)

\ F B = Base failure rate of a filter in normal operation (failures/million hours)

11.4.2 Filter Differential Pressure Multiplying Factor

Assuming that the filter may be modeled as a thick-walled cylinder, the correction factor for filter
differential pressure (CDP) may be developed from the following equation for radial stress (Ref.39).

P a - Pb
or =

a2 b2

(P-Plt)
-

Where:

i_2

(11-10)

b - <r
ar
a
b
Pi
P0
r

Radial stress, lbs/in2

Inside radius, in
Outside radius, in
Inside pressure, psi
Outside pressure, psi
Radius corresponding to maximum stress, in

=
=
=
=
=
=

For most filters, the equation for radial stress can be used to model the effects of high differential
pressure on the filter media by developing a ratio of off design stresses to design stresses. By indicating
the off design inside and outside pressures by P,' and P0', and by dividing the corresponding off design
stress by the design stress, the following equation for CDP can be derived:

P.'a

- P'b

a2b2 ( P ' - Pl ' )

+

c' nDPP =

T-^~
2,.2
2

2 2

P,a - PJ> + a b (P20 - P.)

r

11 - 10

<1M1>

FILTERS

Where:

P ; ' = Off design inside pressure, psi

P 0 ' = Off design outside pressure, psi

In most filter installations, the flow of fluid through the filter is from the outside to the inside. In this
case, the maximum stress will be found at the outer radius, i.e., r = b. Substitution of this into Equation
(11-11) results in:

C DP - - -

(H-12)

11.4.3 Cyclic Flow Multiplying Factor

Cyclic flow, pressure surges, and pump ripple have been shown as having significant effects on filter
lifetimes. The multiplying factor for the effects of cyclic flow on filters with outside to inside flow is:

MeuVLP.-MP,^)
*~t

CT

__

Where:

i mm

i mm

~ 0.7Po(a2
o nm

+ b2) - 0.3 P.(a2

v

1.4 ST (b2 - a2)

'

o nun

+ b2)
'

/11

1W

P ; max = Maximum inside pressure, psi

Pi min = Minimum inside pressure, psi
P 0 max = Maximum outside pressure, psi
P 0 mm = Minimum inside pressure, psi
ST = Tensile strength of filter media, lbs/in2

11.4.4 Vibration Multiplying Factor

Most filters are tested for media migration caused by vibration. A typical test is performed with the
filter immersed in the system fluid and the filter is exposed to low amplitude, high frequency vibrations
for about 100,000 cycles. As a result, most filters will not degrade due to vibration. However, in aircraft
environments, failure of the filter housing and seals due to vibration accounts for 80 percent of the total
filter failure rate (Ref. 15). Thus it appears that in most systems vibration is not a problem, but in aircraft
systems excessive vibration can cause filter failure. As a result:
C v = 1.25 for aircraft and mobile systems
C v = 1.00 for all other systems

11 - 11

FILTERS

11.4.5 Temperature Multiplying Factor

The normal operating temperature of the system fluid can also influence the filter reliability by
affecting the differential pressure across the filter. The correction factor, developed from a curve for flow
vs. differential pressure at various temperatures (Ref. 24) is:
1.97

CT =

For 150 T < T < 250 T

200

(11-14)

11.4.6 Cold Start Multiplying Factor

The correction factor for cold start degradation can be calculated using a ratio of the cold start fluid
viscosity to the normal operating fluid viscosity. This is:

Ccs =

cold start

(11-15)

nonnal

Where: vcold stan = Viscosity at cold start temperature, lb-min/in2

v
normai = Viscosity at normal operating conditions, lb-min/in2
x = Exponent which varies with types of fluid
Values for v and x may be obtained from Table 11-2.

Table 11-2. Cold Start Data (Ref. 24)

FLUID

EXPONENT x

VISCOSITY, v

SAE 10W-30

0.20

17.4 - 0.5T + 0.0060T2 - 0.000036T3 + 1.07E-07T4

-1.25E-10T5

KEROSENE

0.46

0.04 - 3.86E-04T + 1.80E-06T2 - 3.04E-09T3

T = Fluid temperature, F

11 - 12

FILTERS

11.4.7 Fluid Contaminant Multiplying Factor

The correction factor for the effect of incompatible fluids and materials increases the failure rate to
compensate for the possibility of failure due to premature plugging. This factor is given in Table 11-3
for various system fluids and contaminants.

Table 11-3. Correction Factors for Contaminants (Ref. 24)

SYSTEM FLUID

cE

CONTAMINANTS

Kerosene

Water

1.0 + 0.61 (percent water volume)

Hydraulic Oil

Water

1.0 + 2.64 (percent water volume)

11 - 13

THIS PAGE INTENTIONALLY LEFT BLANK

CHAPTER

12

BRAKES AND CLUTCHES

12.1 INTRODUCTION
The principal function of a brake or clutch assembly is to convert kinetic energy to heat and then
either to absorb or dissipate heat while simultaneously (through energy transfer) reducing the relative
movement between the friction material and the part to which it is engaged. Reliability models for brakes
and clutches are presented together in this Handbook because of similar design and operational
characteristics; and because one of the most important functional parts of each of these components is the
friction material. Section 12.2 addresses the brake model, which includes actuators, springs, friction
linings, bearings, seals and housings. An analysis of the energy transfer materials which are common to
both brakes and clutches is included in the brake model. Section 12.3 outlines and describes the reliability
model for clutches, which includes the following components: actuators, bearings, friction linings, seals
and springs.
12.2 BRAKES
12.2.1 Brake Assemblies
The reliability of a brake system is dependent on the reliability of its component parts, which may
include: actuators, bearings, friction linings, housings, seals, and springs. With the exception of friction
linings, all these component parts are addressed in earlier sections of this handbook. The characteristics
of these parts that are peculiar to the braking environment will be discussed in this chapter. Because
friction materials are unique to brake and clutch components, an in-depth analysis of these mechanical
parts is presented in this chapter.
In brake systems the rubbing elements include the friction material and a countersurface. The friction
material is the sacrificial element, although the essence of good brake design is to minimize wear. The
countersurface is usually metallic, to provide structure and to dissipate the frictional heat. Most
countersurfaces are a cast iron drum or disc. In a few applications, steel rubbing surfaces are used. The
countersurface is also nominally a non-wearing surface. Countersurfaces typically wear from one to
twenty percent of the total volume worn from the friction interface (Ref. 16).
12- 1

BRAKES AND CLUTCHES

Brakes are called upon to convert large amounts of kinetic energy to thermal energy in a very short
time. The life of currently used brake lining materials is determined by wear, which in turn is strongly
dependent on the temperature experienced by these materials during sliding. This temperature dependence
is due largely to softening of the metal binder (usually copper or iron) present in brake lining composite
materials.
Some of the systems which use brakes include passenger cars, light trucks, tractors, buses, agricultural
equipment, construction equipment, industrial equipment, railroad trains and aircraft. Brake lining
materials used in passenger cars and light trucks fall into two categories: drum brake segments, which are
less than 3/4" thick, and disk brake pads.
Brake systems used by trucks, truck tractors and trailer combinations are air assisted hydraulic (air
brake) systems. The braking systems used by buses are similar to the conventional air brake system used
by large trucks.
Agricultural, construction and industrial equipment each have different brake requirements.
Agricultural equipment includes all equipment used in farming and forestry, such as tractors, harvesters,
and log skidders. Construction equipment is used for the construction of roads, homes and buildings and
includes wheeled tractors, rollers, scrapers, dozers, power truck cranes, hoists and shovel loaders.
Industrial equipment encompasses all equipment used in fixed facility or buildings such as overhead cranes
or hoists. Hydraulic brake systems used in agricultural and construction equipment are of either the dry
or the wet brake type. Dry brakes are the conventional types of drum or disk system. Wet brakes use
drum and disk brake assemblies but the friction material is in a fluid environment. This type of brake
exhibits decreased heat build up and subsequently less fade, reduced lining and drum or rotor wear and
improved reliability.
Industrial equipment normally uses the conventional drum brake systems with organic binder/asbestos
linings. In industrial equipment, such as cranes and hoists, wet brake systems are not used. As a result,
an improved friction material with longer wear is needed in such systems. One of the major costs for
overhead cranes in industrial use is lining maintenance. Lining replacement is required every three to four
weeks.
Most railroad trains rely on two braking systems, a dynamic brake and a friction brake. Most
self-propelled rail cars have a dynamic brake, which is used either independently or together with the
trains friction braking system down to about 5-10 mph, using complete friction braking for the last
distance to a complete stop.

12-2

BRAKES AND CLUTCHES

The use of organicfrictionmaterials in aircraft brakes is currently limited primarily to small general
aviation aircraft. The trend in larger aircraft brake materials has been toward higher energy absorption
per unit mass of brake materials. On larger aircraft organicfrictionmaterials have been replaced by more
expensive copper and iron-based metallics. Disk brakes, with one brake for each of the main landing gears
is common.
12.2.2 Brake Varieties

There are numerous brake system types, each with its own parts and reliability characteristics:
Band Brakes - Simpler and less expensive than most other braking devices. Component
parts include friction band element and the actuation levers. Characterized by uneven
lining wear and poor heat dissipation.
Externally and Internally Pivoted Drum Brakes - Simple design requiring relatively little
maintenance. May become self-locking with extreme wear if not properly designed.
Component parts include friction materials, springs, actuators, housings, seals, and
bearings. Internal types offer more protection from foreign material.
Linearly Acting External and Internal Drum Brakes - These brakes are fitted with shoes
that, when activated, approach the drum by moving parallel to a radius through the center
of the shoe. Springs between the friction materials may separate both shoes when the
brake is released. Lining wear is more uniform in comparison with internal drum brakes.
Component parts include friction materials, springs, actuators, seals, housings, and
bearings.
Dry and Wet Disk Brakes - Disk brakes have two main advantages over drum brakes:
better heat dissipation and more uniform braking action. However, disk brakes require
a larger actuation force due to the absence of either a friction moment or servo action.
Both annular and pad type disk brakes are modeled here, and include friction materials,
springs, actuators, housings, seals, and bearings. Wet disk brakes may operate in an oil
bath. Thus, these brakes are isolated from dirt and water, and the circulation of the oil
through a heat exchanger usually provides greater heat dissipation than direct air cooling.
Magnetic Particle, Hysteresis, and Eddy-Current Brakes - In all three of these brake
types the braking torque is developed from electromagnetic reactions rather than
mechanical friction, and therefore requires a source of electrical power.

12-3

BRAKES AND CLUTCHES

The various types of brake systems and methods of actuation are listed in Table 12-1. There are
numerous brake lining materials, manufacturing processes, brake types and systems in use today.

Table 12-1. Methods Of Actuation (Ref. 32)

TYPE

ADVANTAGES

DISADVANTAGES

Mechanical

- Robust, simple operation provides

good control

- Large leverage needed

- Potential frictional losses at pins
and pivots

Pneumatic

- Large forces available

- Compressed air supply needed

- Brake chambers may be bulky

Hydraulic

- Compact
- Large forces available
- Quick response and good control

- Special fluid needed

- Temperatures must not be high
enough to vaporize fluid
- Potential seal problems

Electrical

- Suitable for automatic control

- Quick response

- On-off operations

For example, there are at least six basic methods of making brake linings: Dry process, extruded
process, wet board process, sheeter process, sintered metal process and woven process. An analysis of
typical linings indicate many common constituents. Chrysotile asbestos is found in most linings at roughly
50 percent (by weight). Rubber, resin, or a combination of both are used as lining binders. Brake lining
fillers and friction modifiers include many metals, metallic compounds, graphite, coal rubber and resins.
The specific choice of such materials results from controlled test type experimentation in the development
of a friction material to meet specific performance goals. In addition to actual vehicle testing of a brake
lining material, the industry uses several dynamometer laboratory test machines to characterize friction
materials (Ref. 43).
Friction Material Test Machine - This apparatus attempts to record the brake lining
performance by subjecting it to controlled conditions of pressure and temperature.
Friction Assessment Screening Test Machine - The rate of energy dissipation is
controlled on a disk while temperature gradually increases.

12-4

BRAKES AND CLUTCHES

Single End Inertial Dynamometer - An actual brake mechanism is incorporated.

Dual End Inertial Dynamometer - This uses the same instrumentation as the single end,
but it is operated with one front and one rear brake assembly.
12.2.3 Failure Modes of Brake Assemblies

A list of failure modes for a typical brake system is shown in Table 12-2. The brake system friction
materials are sacrificial replacements, and they account for most of the "failures". Because friction linings
are designed to wear out before the life of the vehicle, service life may be a better measure of their
durability than failure rate.

Table 12-2. Failure Modes of a Mechanical Brake System (Ref. 9)

FAILURE MODE

FAILURE CAUSE

FAILURE EFFECT

Sticking piston

Contamination

Low output pressure

Leaking cylinder

Contamination

Low output pressure

Broken/weak spring

Fatigue activation

Unable to adjust pressure

Sticking bleeder valve

Contamination

Inadequate dissipation of air

Deteriorated lining

Aged/Heat

Exposed metal-on-metal contact

reduces arresting capability

Worn bearing

Lack of lubrication

Low rotary motion

Worn seals

Aged

External leakage

Cracked housing

Vibration, fatigue

External leakage

For the purpose of compatibility with the other models developed for mechanical components, the
lining life will be converted to a rate of failure. Use of the brake system beyond the life of the friction
material results in catastrophic failure of the brake system caused by a loss of braking force due to a
drastic reduction in coefficient of friction. Descriptions of the countersurface failure characteristics are
included in Table 12-3.

12-5

BRAKES AND CLUTCHES

Table 12-3. Metal Countersurface Failures (Ref. 32)

FAILURE

CHARACTERISTICS

Heat Spotting

Often cracks are formed in these regions

owing to structural changes in the metal

Friction material not sufficiently

conformable to the metal member

Crazing

Randomly oriented cracks

Overheating and repeated stress

cycling

Scoring

Scratches in the line of movement

Metal too soft for friction material.

Abrasive debris embedded in the
lining material

CAUSES

12.2.4 Brake Model Development

The brake system will be reduced to its component parts. Brake systems will normally contain some
combination of the following components:
Actuators
Springs
Brake friction linings
Bearings
Seals
Housings
Components such as brake shoes, which are primarily structural, should be modelled using Finite Element
Analysis Techniques. The total brake system failure rate is the sum of the failure rates of each of the
above component parts in the system:

BR

Where:

"~

^BR
^AC
V

SP

FR

Ark * f

AC

=
=
=
=

" **!>

"SP

" T7D

PR

"l D D

BE

" CE

"SE

"

"HO

Total failure rate for the brake system, failures/million hours

Total failure rate for actuators, failures/million hours (See Chapter 9)
Total failure rate for springs, failures/million hours (See Chapter 4)
Total failure rate for brake friction materials, failures/million hours
(See Sections 12.2.5 and 12.2.6)

12-6

(12-1)

BRAKES AND CLUTCHES

^BE

^SE

^HO

Total failure rate for bearings, failures/million hours (See Chapter 7)

Total failure rate for seals, failure/million hours (See Chapter 3)
Total failure rate for brake housing, 3.0 failures/million hours, from
Navy Maintenance and Material Management Information System

In the hydraulic drives of brake systems, seals are used to prevent leakage of brake fluid. The
hardness and swelling of the seals, when exposed to brake fluid, must remain within limits such that the
seals will give reliable operation.
The reliability of springs associated with brake systems is generally very high when compared to other
components. Some of the spring assemblies in a brake system may be static, maintaining a constant
tension on a part, other springs may be cyclic or dynamic depending on their function.
Severe performance requirements may affect the reliability of the bearings if there is a path of heat
conduction from thefrictionsurface to the bearings. This conduction may cause a decrease in the bearing
lubricants operating viscosity and, consequently, a reduction in bearing life. A lubricant with a higher
temperature rating should prevent leakage or excessive wear.
The reliability of brake actuators normally is very high. Under severe brake performance, conditions
of increased temperature and excessive vibration may decrease the reliability of these components. Refer
to the appropriate sections of this Handbook for the reliability models for individual parts comprising the
brake assembly. In some cases the result in failure/million cycles will have to be converted to
failures/million hours by multiplying by the number of cycles per hour.
12.2.5 Friction Materials

As stated in the introduction, the major functional components of brake equipment and clutch
equipment are the friction materials. The reliability of brakes and clutches is concerned with the wear of
these friction materials. For brake assemblies, the friction lining provides the friction necessary to slow
down or stop a vehicle. Friction materials used in clutches are placed in the power-transmission system
to couple it together so it rotates as one unit.
Friction materials that are used in brake and clutch linings have severe performance requirements. The
necessary energy conversion must be accomplished with a minimum of wear on the contacting parts. For
a particular type of brake or clutch, the amount of heat and friction generated varies according to 5
conditions: (1) the amount of pressure applied between the sliding surfaces, (2) the operating environment,
(3) the roughness of the surfaces, (4) the material from which the surfaces are made, and (5) the frequency
of application.
12- 7

BRAKES AND CLUTCHES

The reliability of these high energy components is important for a variety of reasons: Economy,
operational readiness and, most important, safety. In today's modern machinery and equipment, a vast
number of friction materials have become available to fulfill the very diverse requirements of this
equipment group. However, a material which is exceptional in all areas of friction material criteria does
not yet exist.
In design it is necessary to have equations for the prediction of the wear life of clutches and
brakes. Lining wear properties are generally considered in terms of system life under several different
conditions of use severity. Consequently, lining life is often the last performance character to be
quantified. Thus a knowledge of lining wear behavior from laboratory testing can be of great value.
Friction modifier additives, such as cashew resin, graphite, etc. have been used for many years in order
to control friction properties in brake and clutch composites. Friction composites are composed of a
balanced mixture of resin plus additives and generally contain over a dozen ingredients in order to achieve
desired characteristics.
In the past, materials such as wood, leather and felt were used, but it was found that the usable
temperature range was inadequate to cope with the ever increasing demands made upon them by the
industrial world. Today, friction materials can be divided into five main groups:
1. Woven cotton
2. Solid-woven asbestos
3. Rigid molded asbestos, Semi-flexible molded asbestos, Flexible molded asbestos
4. Sintered metal
5. Cermets
Refer to Table 12-4 for a summary of friction material types and applications.
Friction material manufacturers are usually very reluctant to disclose the composition or formulation
of their products. Some basic information is, however, necessary to properly analyze and carefully select
the friction material for a given application. Formulation of a lining is defined as a specified mixture of
materials from which the lining is made and the corresponding sequence of production processing which
together determine the characteristics of the lining.

12-8

BRAKES AND CLUTCHES

Table 12-4. Friction Material Types And Applications (Ref. 32)

TYPE

APPLICATION

MANUFACTURE

Woven cotton

Closely woven belt of fabric is

impregnated with resins which are
then polymerized

Industrial drum brakes, mine

equipment, cranes, lifts

Woven asbestos

Open woven belt of fabric is

impregnated with resins which are
then polymerized. May contain wire
to scour the surface

Industrial band and drum brakes,

cranes, lifts, excavators, winches,
concrete mixers, mine equipment

Molded flexible
semi-flexible rigid

Asbestos fiber and friction modifiers

mixed with thermo-setting polymer
and mixture heated under pressure

Industrial drum brakes; heavy duty

brakes, excavators, tractors, presses

Sintered metal

Iron and/or copper powders mixed

with friction modifiers

Heavy duty brakes and clutches,

press brakes, earth moving
equipment

Cermets

Similar to sintered metal pads, but

large portion of ceramic material
present

Heavy duty brakes and clutches,

press brakes, earth moving
equipment

Organic linings are generally comprised of six basic ingredients:

(1)
(2)
(3)
(4)
(5)

Asbestos for heat resistance and high coefficient of friction

Friction modifiers such as the oil of cashew nutshell to give desired friction qualities
Fillers such as rubber chips for controlling noise
Curing agents to produce the required chemical reactions in the ingredients
Materials such as powdered lead, brass chips, and aluminum powders for improving
the overall braking performance
(6) Binders such as phenolic resins for holding the ingredients together
Organic linings designed for heavy-duty use generally have higher inorganic contents to improve their
high temperature wear resistance and fade resistance. Abrasives are generally added to achieve a higher
friction coefficient.
Friction materials containing conventional organic binding agents exhibit poor frictional stability under
varying temperature conditions. The thermal degradation of such binders results in inferior frictional
characteristics, giving rise to fade and often resulting in increased wear. Furthermore, organic materials,
12-9

BRAKES AND CLUTCHES

particularly resins, tend to have a short shelf life, and are not always easy to reproduce.
In an attempt to overcome the deleterious effects of poor thermal resistance in a friction material
having an organic binder, various sintered metal and ceramic materials, in which the sintering affects the
bonding, have been developed. In comparison with friction materials produced with organic, resinous
binding agents, sintered friction materials have the primary advantage of being able to withstand
considerably higher thermal stresses. They are produced from an intimate mixture of powdered metals
and nonmetals by pressing and sintering.
These friction materials commonly consist of sintered lead bronzes and iron powders with additions
of dry lubricants and so-called friction reinforcers. Graphite and molybdenum disulfide, for example, are
suitable as dry lubricants; on the other hand, ceramic additives and minerals, such as quartz and corundum,
may be used to increase the coefficient of friction. By appropriate variation in the additives it is possible
to make adaptations for all applications, particularly concerning the coefficient of friction.
Semi-metal lies rely heavily on iron, steel, and graphite substitutions for the organic and asbestos
materials. Some organic components are, however, used to obtain desirable properties. The use of
abrasives must be minimized to maintain acceptable mating surface compatibility. Semi-metallics have
distinct advantages over conventional organics such as:
Improved frictional stability and fade resistance
Excellent compatibility with rotors and high temperature wear resistance
High performance with minimal noise
The cost of raw material mix represents the major factor in the premium prices of semi-metallics, and
as such, widespread use of semi-metallics is not yet found. Metallic linings withstand more severe loads,
higher temperatures, and have less tendency to fade. Sintered metallic-ceramic friction materials have
successfully been used for specialized applications such as jet aircraft. See Table 12-5 for a summary of
the brake friction material surface failures.
12.2.6 Brake Friction Material Reliability Model

The accumulated energy of a vehicle while in use may be expressed by the sum of the difference
between the square of the brake application speed and the square of the brake release speed, multiplied
by one-half times the mass. Thus the energy dissipated by the brakes is given by Equation (12-2)
(Ref. 29).

12- 10

BRAKES AND CLUTCHES

*B = T Z(VA?
Where:

EB
m
VA
VR
i

(12_2)

~^

= Accumulated energy, ft lbf

= Mass, slugs
= Brake application speed, ft/s
= Brake release speed, ft/s
= Number of brake applications
(i = 1, 2, . . . . n)

Table 12-5. Brake Friction Material Failure Modes (Ref. 32)

PROBLEM

CHARACTERISTICS

CAUSES

Heat Spotting

Heavy gouging resulting in rapid lining wear

Material rubbing against a

heat spotted metal member

Crazing

Randomly oriented cracks on the friction material,

resulting in a high wear rate

Overheating of the braking

surface

Scoring

Grooves formed on the friction material, resulting

in a reduction of life

Metal member needs

regrinding

Fade

Material degrades or flows at the friction surface,

resulting in a temporary loss of performance

Overheating caused by
excessive braking

Metal Pick-Up

Metal from the mating member embedded in the

lining

Unsuitable combination of
materials

Grab

Lining contacting at ends only giving high servo

effect and erratic performance

Incorrect radiusing of lining

Strip Braking

Braking over a small strip of the rubbing path

giving localized heating and preferential wear at
those areas

Distortion of the brake path

Neglect

Material completely worn off the shoe reducing

performance

Failure to provide any

maintenance

Misalignment

Excessive grooving wear at preferential areas of

lining surface

Lining not fitted correctly to

the shoe platform

Applying the calculation method developed by Newcomb (Ref. 34), it is assumed that the pad wear
rate is proportional to the absorbed energy and to the specific wear rate of the friction material. This

12- 11

BRAKES AND CLUTCHES

expression is given by the following equation:

104 Wj\ (Wt AV2 Nbu Y' tb

,'

Where:

2A p
Wp
Wb
Ap
Wt
AV
Nb
Yb
g

<8

(12-3)

= Pad wear per 10,000 miles, in

= Specific wear rate of friction material, in3/ft-lbf
= Lining area, in2
= Weight of the vehicle, lbf
= Average change in velocity per brake action, ft/sec
= Frequency of brake applications per mile
= Proportion of total braking effort transmitted through the lining
= Acceleration due to gravity, 32.2 ft/sec2

Therefore, if the effective thickness is d (inches), pad life is commonly given by Equation 12-4:

Life =
Where:

(12-4)

Life = Total distance before friction material is completely worn, in units of

10,000 miles
d = Lining thickness, in
Wp = Pad wear per 10,000 miles, in

By normalizing Equation (12-4) to those values for which historical failure rate data is available, the
following failure rate model can be derived:
***

= >lt.
C
n C
n CT
'BT * C
'SR
"PR^
'RD

Where:
^FR,B

CBT

CRD

= Failure rate of the brake friction material in failures/million hours

= Base failure rate of the brake friction material, failures/million hours
(See Section 12.2.6.1)
= Multiplying factor which considers the effect of brake type on the
base failure rate (See Section 12.2.6.2)
= Multiplying factor which considers the effect of dust contaminants
on the base failure rate (See Section 12.2.6.3)

12- 12

(12-5)

BRAKES AND CLUTCHES

CSR = Multiplying factor which considers the effect of countersurface

surface finish on the base failure rate (See Section 12.2.6.4)
CT = Multiplying factor which considers the effect of ambient temperature
on the base failure rate (See Section 12.2.6.5)
12.2.6.1 Base Failure Rate for Brake Friction Material

The brake friction material base failure rate, X^B, may be provided by the lining manufacturer. If not,
then the base rate can be calculated from the expression devised by Minegishi, et al. (Ref. 29). This
expression is given in Equation (12-6).

v,
Where:

3X103 Wu Wt AV2 M. MPY K

iA K

("-)

Specific wear rate of the friction material, in3/ft-lbf

Weight of the vehicle or aircraft, lbf
Average change in velocity per brake action, ft/s
Number of brake applications per mile
The number of miles travelled per year
Proportion of weight carried by lining during braking action. For a
four wheel vehicle, each front brake will typically carry 3/10 of the
braking load
d = Lining thickness, in
Ap = Lining area, in2

Wb
Wt
AV
Nb
MPY
Yb

=
=
=
=
=
=

12.2.6.2 Brake Type Multiplying Factor

Most brake tests involve either disk or drum brakes. A typical disk brake will wear better than a drum
type due to the disk brakes ability to dissipate heat more quickly. Several types of disk brakes are used
in the development of this model (Ref. 20). The friction material for the annular brake is in the shape of
an annulus and is bonded to both sides of the rotor disk. The slotted annular brake is nearly the same as
the annular brake described above. The only exception is the presence of slots cut through the friction
material on both sides of the rotor. The purpose of the slots is to decrease surface temperature and wear
rate during braking. The pad brake configuration employs pads of friction material on the brake stators. As
a result (Ref 20):
CBT = 1.25 for drum type brakes
CBT = 1.25 for slotted annular disk type brakes
12- 13

BRAKES AND CLUTCHES

CBT = 1.00 for pad disk type brakes

CBT = 0.90 for annulus disk type brakes
12.2.6.3 Dust Contaminant Multiplying Factor
Operating conditions with high amounts of dust contaminants affects lining wear depending on the
binder resin used in formulating the friction material. The correction factor for dust conditions is shown
in Table 12-6 (Ref. 42).

Table 12-6. Dust Contaminant Multiplying Factor (Ref. 42)

Binder Resin

CRD

Phenolic

3.5

Oil-modified phenolic

1.2

Rubber phenolic

1.1

Cashew

1.1

Oil-phenolic

1.1

12.2.6.4 Surface Finish Multiplying Factor

The surface finish of the countersurface can be critical in the wear of the friction material. CSR can
be expressed as (Ref. 37):

SR

n^jsoo
3000

Where: u = Surface roughness of the countersurface, uin

12.2.6.5 Temperature Multiplying Factor
Wear of the friction material will be influenced by the ambient temperature in which the vehicle is
operating. The correction factor for temperature is (Ref. 3):

12- 14

BRAKES AND CLUTCHES

CT = 1.42 - 1.54 E-3X + 1.38 E-6X2

(for sintered metallic linings)
CT = 1.09 E-2X + 1.24 E-5X2
(for resin-asbestos linings used in light duty automotive and moderate duty
industrial brakes)
CT = 3.80 - 7.59 E-3X + 5.07E-5X2
(for carbon-carbon linings)
CT = 17.59 - 6.03 E-2X + 5.34 E-5X2
(for resin-asbestos truck linings)
Where:

X = 590 + T
T = Ambient temperature, T

12.3 CLUTCHES

12.3.1 Introduction
The reliability of a clutch system is generally very high and is the result of the low failure rate of its
parts, which may include actuators, bearings, clutch friction linings, seals and springs. With the exception
of clutch friction linings, these component parts are addressed earlier in this handbook. The general
characteristics of friction materials are also addressed in the first part of this chapter. Those characteristics
of friction materials peculiar to clutches will be discussed in the following paragraphs.
The principal function of friction clutches is to convert kinetic energy to heat and then either to absorb
or otherwise dissipate the heat while simultaneously, through friction, reducing the relative movement
between the friction material and the part to which it is engaged. In order to achieve these objectives the
necessary energy conversion must be accomplished with a minimum of wear on the contacting parts.

12- 15

BRAKES AND CLUTCHES

12.3.2 Clutch Varieties

Clutches are made up of two basic components - the pressure plate and disc. The pressure plate
supplies sufficient force or pressure to the disc so enough friction is developed to transmit torque to the
driveline.
Friction clutches, although available in many different forms tend to be of the axial or rim type. Axial
clutches operate where the movement is parallel to the axis of the shaft. Rim types operate where the
movement is radial. Examples of the former are the plate and cone clutches. Examples of the latter include
coil or wrap spring and chain clutches.
Plate clutches are divided into two designs - single and multiplate. The single plate design is the type
favored by automotive designers for transmission and light to medium power applications. The single plate
is normally provided with a friction lining on each side of the disc. Multiplate designs employ a number
of discs lined on both sides which serve to distribute the load over a large area. These types are used for
high torque and high load applications. They required only moderate clamping pressures, and are suitable
for high speed operation because their relatively small size generates lower centrifugal forces.
Cone clutches are used for smaller, medium power, low speed transmission systems which may be
subjected to rough usage. These devices cope well with such treatment because of their simple robust
construction, and due to the fact that beat is dissipated more readily than with plate clutches.
Rim and block clutches employ various means of engaging the stationary half of the assembly through
radial movement against the rim of the driving member. The action is similar to that of an internally
expanding brake shoe.
Centrifugal clutches are often used with squirrel cage motors. The fabric facing may be fitted to shoes
or blocks mounted to a spider which is keyed onto the driving shaft. The shoes or blocks are thrown
outward by centrifugal force, engagement being automatic when a predetermined speed is reached from
starting.
Coil or wrap spring clutches operate on the principle of a spring mounted on a drum being
tightened. The action is much like that of a rope tightening around a revolving capstan. The design is
compact, simple in construction and is used where high torques are required from low power. For this
reason the clutches have found applications in small equipment such as plain paper copiers and, in their
larger versions, for haulage gears and rolling mills and presses.

12- 16

BRAKES AND CLUTCHES

Chain clutches employ inner and outerfrictionrings in an oil filled housing actuated by cams bearing
on chain toggles which force the rings together.
Sprag clutches consist of a number of specially shaped steel springs or wedges which jam inner and
outer races in one direction only. This action leads to their use for applications in over-running (where
the clutch acts as a free-wheel) and back-stopping. This design is particularly useful for intermittent rotary
motion involving, for example, indexing or inching (Ref. 34).
Materials classification divides the friction materials into organic and metallic groups. The organic
group includes all materials composed of both asbestos and non-asbestos fibers and bound by some resin
binder. The metallic group consists of all friction materials containing iron, copper, ceramic bronze,
graphite, carbon or other metallic material as the base material.
12.3.3 Clutch Failure Rate Model

The clutch system reliability model will contain the following component parts:
Actuators

Bearings
Clutch friction linings
Seals
Springs

The total clutch system failure rate is the sum of the failure rates of each of the above component
parts in the system:

^CL

Where:

^AC + ^BE + ^CF + ^SE

^SP

(12-8)

kCL
kAC
kBE
kCf

= Total failure rate for the clutch system, failures/million hours

= Total failure rate for actuators, failures/million hours (See Chapter 9)
= Total failure rate for bearings, failures/million hours (See Chapter 7)
= Total failure rate for clutch friction materials, failures/million hours (See
Section 12.3.4)
XSE = Total failure rate for seals, failures/million hours (See Chapter 3)
ksp = Total failure rate for springs, failures/million hours (See Chapter 4)

The failure rates obtained from other chapters of the Handbook may have to be converted from
failures/million cycles to failures/million hours by multiplying by the number of cycles per hour. The
12- 17

BRAKES AND CLUTCHES

failure rate model for clutch friction materials is presented in the following paragraphs.
12.3.4 Clutch Friction Material Reliability Model
A list of failure modes for clutch friction materials is shown in Table 12-7. Use of the clutch system
beyond the life of the friction material results in catastrophic failure of the clutch caused by a drastic
reduction in coefficient of friction.

Table 12-7. Clutch Friction Surface Failure Modes (Ref. 32)

PROBLEM

CHARACTERISTICS

CAUSES

Dishing

Clutch plates distorted into a

conical shape

Lack of conformability. The temp, of

the outer region of the plate is
higher than the inner region.

Waviness or Buckling

Clutch plates become buckled into

a wavy platter

Lack of conformability. The inner

area is hotter than the outer area.

Banding Crushing

Loss of friction material at the ends

of a band

Crushing and excessive wear of the

friction material

Material Transfer

Friction material adhering to

opposing plate, often giving rise to
excessive wear

Overheating and unsuitable friction

material

Bond Failure

Material parting at the bond to the

core plate causing loss of
performance

Poor bonding or overheating, the

high temperature affecting bonding
agent

Burst Failure

Material splitting and removed from

the spinner plate

High stresses on a facing when

working at high speeds

Grooving

Grooving of the facing material on

the line of movement

Material transfer to opposing plate

Reduced
Performance

Decrease in coefficient of friction

giving a permanent loss in
performance

Excess oil or grease on friction

material or on the opposing surface

Distortion

Facings out of flatness after high

operating temperature

Unsuitable friction material

Under normal operating conditions, the friction materials used in clutches are reliable mechanical
components. Like brake friction materials, the wear of clutch materials is dependent on the amount of
accumulated energy dissipated by the mechanical component. The rating of the clutch friction material,
12- 18

BRAKES AND CLUTCHES

R, is given in Equation (12-9) (Ref. 16).

Ec
2
550tA

R =

(12-9)

R = Rating of friction materials, hp/in2

Ec = Average energy dissipated per application, ft lbf
t = Slipping time, sec.
Ac = Area of clutch friction material, in2

Where:

As noted previously, clutches can be divided into two design groups: single and multiple plate.
Multiplate designs use a number of discs which distribute the load, and will therefore increase the
reliability of the system. The failure rate of the clutch friction material can be written as follows:

Where:

XcFB = Base failure rate of the clutch friction material, failures/million hours
(See Section 12.3.4.1)
C w = Multiplying factor which considers the effect of multiple plates on the
base failure rate (See Section 12.3.4.2)
C,- = Multiplying factor which considers the effect of ambient temperature
on the base failure rate (See Section 12.3.4.3)

12.3.4.1 Base Failure Rate for Clutch Friction Material

The life of the friction material, L, is given by Equation (12-11) (Ref. 12):

L -

3600dWV

(12-11)

Rt n
Where:

L
d
WV
n

= Life of clutch friction material, hours

= Effective thickness of lining, in
= Average wear value of the material, hp-hr/in3
= Number of applications per hour

The average wear value, WV, should be supplied by the friction material manufacturer for each
material type. Combining Equation (12-9) with Equation (12-11) yields:
12- 19

BRAKES AND CLUTCHES

2xl06 dWVAc
L=

En

(12-12)

The clutch friction material base failure rate, XCF,B, may be supplied by the clutch lining
manufacturer. The base failure rate can also be calculated from Equation (12-12) as:
En
'WB =
CT,B

(12-13)
2dWVAc

Where: kCT B = Base failure rate of the clutch friction material in failures/million hours.

12.3.4.2 Clutch Plate Quantity Multiplying Factor

The correction factor for the number of plates is given by:
CNP = Number of disks in the clutch
12.3.4.3 Temperature Multiplying Factor

Because the temperature of the friction material affects the wear of the material, the ambient
temperature to which the clutch is exposed will affect the wear of the friction lining (Ref. 3). As a result:
CT = 1.42 - 1.54 E-ZX + 1.38 E-6X2
(for sintered metallic linings)
CT = 2.79 - 1.09E-2X + 1.24E-5X2
(for resin-asbestos linings used in light duty automotive and moderate duty
industrial brakes)
CT = 3.80 - 7.58 E-ZX + 5.07E-6X2
(for carbon-carbon linings)

12-20

BRAKES AND CLUTCHES

CT = 17.59 - 6.03 E-2X + 5.43 E-5X2

(for resin-asbestos truck linings)
Where:

X = 590 + T
T = Ambient temperature, T

12-21

THIS PAGE INTENTIONALLY LEFT BLANK

CHAPTER

13

COMPRESSORS
13.1 INTRODUCTION

The compression of a gas by mechanical means, and the raising of it to some desired pressure above
that of the atmosphere, is usually characterized by an approximate adiabatic process. Industrial and
commercial uses of compressed air are exceedingly numerous. Ideal adiabatic compression of air, relating
pressure and volume can be given by:
PVXA = C

(13-1)

A compression of this nature could heat the air to temperatures which would interfere with the reliable
action of an air compressor and introduce lubrication difficulties, if there were no provisions for cooling
the walls of the compression chamber. The extraction of heat from a compression cycle modifies the
conditions of compression from the ideal to some change more nearly represented by:
PVn = C

(13-2)

Where the value of n is usually between 1.35 and 1.40.

If the heat of compression is removed by cooling as rapidly as it is formed, an isothermal compression
will result. Less work is needed for compression of a pound of gas to the same discharge pressure.
Although isothermal compression is desirable, it is not possible to achieve in fast-moving compressors.
As a result, finned or jacketed cylinder compression is more nearly adiabatic than isothermal.
Compressors can be classified, in their broadest sense, in two categories: (1) positive-displacement and
(2) centrifugal machines. The positive-displacement classification can generally be described as "volume
reducing" types. In essence, an increase in gas pressure can be achieved by simultaneously reducing the
volume enclosing the gas. The centrifugal classification refers to centrifugal velocity increases. These
machines impart energy to the gas, then stationary diffusors convert the velocity head into pressure. The
classification tree in Figure 13.1 further defines the subcategories of compressors.
13- 1

COMPRESSORS

COMPRESSORS |

POSITIVE
DISPLACEMENT

CENTRIFUGAL

1
Rotary

Reciprocating
-

Alr-Cooled
Water-Cooled
Single Stage
Multistage
Integral Gas-Engine
Driven
L separate Gas-Engine
Driven

Radial Bow

- Two-Lobe
- Three-Lobe
Screw (Dry)
- Screw (Oil-Flooded)
- Vane
L
Liquid-Ring

- Single Stage
Multistage

Modular
Horizontal
Split
Barrel
Interceded

Axial Flow
- Multistage
Multistage with
Variable Stator
Vanes

Figure 13.1 Most Common Classifications for Compressors

The positive-displacement (volume reducing) machines can be further defined by two
subclassifications; rotary and reciprocating. Both types generally feature steep characteristic curves of
performance. A nearly-constant capacity coupled with varying discharge pressure is typical, reflecting a
machine capable of slight variations in flow over a wide pressure range.
Reciprocating machines can be modeled as adiabatic pressure generating devices. Systems requiring
higher pressures and lower volumetric flow rates usually employ these machines. Typical operating ranges
for this type of machine are presented in Figure 13.2. In compression to high pressures, the temperature
rise may be too great to permit the compression to be carried to completion in one cylinder, even though
it is cooled. In such cases, the compression is carried out in stages, with a partial increase of pressure in
each stage, and cooling of the gas between stages. Two and three-stage compression is very common
where pressures of 300-1000 psi are needed. In determining the number of stages (pistons) within a
reciprocating compressor, the change in temperature across a stage, the frame or rod loading, and the
change in pressure across a stage are among the parameters taken into consideration. The ratio of the
temperature before and after compression can be expressed from a form of the Ideal Gas Law:

\T2]
[Ti\

n-l

- \

V l

f?2l

(13-3)

13-2

COMPRESSORS

Where T, and T2 are expressed in R.

Rotary positive displacement machines incorporate some type of rotating element that displaces a fixed
volume during each machine revolution. The characteristics performance curve is basically the same as
a reciprocating machine. Typical operating ranges for this type of machine are presented in Figure 13.2.

100000

Reciprocating
10000 -

Centrifugal

'_ 1000
3
CO

&

Rotary
100 +

10^-

1I

<I I I I I II

I I I I l|

10

I I I II I

100

HI

I I II I

1000

Inlet Capacity, cu. fl/min x 1000

Figure 13.2

Operating Range of the Most Widely Used Compressors

for Process Use (Boundaries are not absolute)

The rotary lobe compressor is typically constructed with two or three figure eight-shaped rotors,
meshed together, and driven through timing gears attached to each shaft. It is a relatively low pressure
machine (5 to 7 psig, and up to 25 psig for special types) and is well suited for applications with vacuum
pressures. Its performance is notable for a greater throughput capability, with little or no flow pulsation.

13-3

COMPRESSORS

The rotary screw compressor yields considerably higher pressures and speed. Again, its performance
is characteristic of a greater throughput capability with little or no pulsation.
The sliding vane rotary compressor has a rotor construction which is offset, containing slots for vanes
to slide in and out during each revolution. These vanes gradually reduce the volume of a trapped gas,
raising its pressure. This machine is used for relatively low pressure operations (up to 50 psig per stage).
A liquid ring (or piston) rotary is constructed of circular vanes, turning inside a casing sealed with
a liquid. Centrifugal forces cause the liquid to form a ring around the periphery of the casing interior,
while forcing the gas inward toward the center of the vaned rotor. The gradual decrease in volume
increases the pressure of the gas. Any liquid entrained in the gas is separated out. This type of machine
is characteristically used in low pressure and vacuum applications.
Centrifugal compressors can be divided into two subcategories based on the direction of flow of the
product gas: radial flow and axial flow machines. The characteristic curves of these machines offer a wide
range in flow with a corresponding small change in head. Flow is smooth and pulsation-free beyond the
surge point on the performance curve. The lack of rubbing parts in the compressed gas stream is a
particularly desirable feature of these machines from a designer's standpoint.
In radial compressors, velocity is imparted to a gas stream through centrifugal forces acting in a radial
direction to the shaft. The simplest style of radial centrifugal compressor is the single-stage overhung
design. The conventional closed or shrouded impeller is used for adiabatic heads to about 12,000 ft-lb/lb.
The open, radial-bladed impeller develops more head for the same diameter and speed.
In axial flow machines, the gas flow remains parallel to the shaft, without a direction change. These
machines are typically used for higher capacities than radial flow machines, but generate much lower head
per stage. As a result, these machines are usually built with many stages. The characteristic performance
curve is steeper than the radial flow machines, with a more narrow stability range.
13.2 COMPRESSOR FAILURE MODES

Some failure modes are more prevalent than others as a direct result of the variety of compressor types
and differing environmental conditions of operation. Certain compressor parts will fail more frequently
than others. An analysis of various failure modes for compressors and certain compressor parts is
presented in Table 13-1.

13-4

COMPRESSORS

Table 13-1. Compressor Failure Modes

FAILURE CAUSE

FAILURE EFFECT

Reduction of Internal
Clearances

Distortion of Rotor due to

Cyclic Loading; Improper
Material Selection for
Thermal Expansion

Rubbing, Increased Wear

Increased Vibration

High Fluctuating Stresses

Material Fatigue

Increased Friction
and Wear

Contaminants

Decreased Performance,
Increased Vibration

Valve Sticking

Over Lubrication, Moisture

in Oil

Overheating, Increased
Wear

Low Flow Pulsation

Thrust Reversal, Vibration

Bearing Failure,
Overheating

Corrosion or Cracking
of Diaphragm

Contaminants

Decreased Performance

Accelerated Curing,
Embrfttlement of
Diaphragm

Extreme High or Low

Temperature

Decreased Performance

FAILURE MODE

13.3 MODEL DEVELOPMENT

Any compressor, taken as a complete operating system, can be reduced to the following series of
models of each of its component parts. Each of these parts will sum to the total compressor failure rate:
^ C ~ ^SH

^BE

^CA

^VA

^SE

"*DC

Where: Xc = Total failure rate of compressor, failures/million cycles

Xsu = Total failure rate for the compressor shaft(s), failures/million cycles (See
Chapter 10)
XBE = Total failure rate for all compressor bearings, failures/million cycles (See
Chapter 7)
kCA = Total failure rate for the compressor casing, failures/million cycles (See
Section 13.4)
A.VA = Total failure rate for any valve assembly, failures/million cycles (See
Chapter 6)

13-5

(13-4)

COMPRESSORS

^SE

Total failure rate for all compressor seals, failures/million cycles (See
Chapter 3)
X^Q = Total failure rate due to design configuration, failures/million cycles (See
Section 13.5)
The failure rate, X, for each part listed above must be known or calculated before the entire
compressor assembly failure rate, XQ, can be determined. Failure rate values for each part will incorporate
expected operational and environmental factors that exist during normal compressor operation.
13.4 FAILURE RATE MODEL FOR CASING
The compressor casing, normally a very reliable component, can have a large effect on the life of
other components in the compressor assembly (especially seals and bearings). The value of reliability of
compressor casings, through the experience of many different manufacturers, can generally be equated to
a XCA value of 0.001 failures/million cycles.
13.5 FAILURE RATE MODEL FOR DESIGN CONFIGURATION
Various reliabilities are inherent in specific designs (types) of compressors. For example, it is
expected that reliability due to wear will be different in a rotary screw compressor compared to a
centrifugal compressor due to the nature of metal-to-metal contact and rotor speeds. The various chapters
of this handbook can be used to estimate the failure rates of the individual component parts. The
parameter X^, can be approximated by data presented in Table 13-4 for various types of fluid drivers,
developed from information collected by the U.S. Navy. For example:

Where XDl = Total failure rate of the diaphragm assembly

The following example is a method of estimating the failure rate of a compressor diaphragm.
The configuration diaphragm compressor failure rate model can be described by:

13-6

COMPRESSORS

Where:

XBFD
Cp
C AC
CLC

=
=
=
=

Compressor diaphragm base failure rate, 0.58 failures/million hrs.

Factor for effects of axial loading (See Section 13.5.1)
Factor for effects of atmospheric contaminants (See Section 13.5.2)
Factor for effects of liquid contaminants (See Section 13.5.3)

Cj- = Factor for effects of temperature (See Section 13.5.4)

13.5.1 Axial Load Multiplying Factor
Diaphragms, in general, are round flexible plates which undergo an elastic deflection when subjected
to an axial loading. In the application of compressors, this axial loading and elastic deflection creates a
reduction in volume of the space adjacent to the diaphragm. The gas is compressed and a pressure builds.
The diaphragm can be designed in many different ways. The designer can change materials, size, shape,
etc. The model developed for a compressor diaphragm is shown in Figure 13.3. It has a passive area in
the center which is rigid. This area transmits a force from the push rod to the diaphragm. To be
effective, the thickness of the rigid center should be at least 6 times the thickness of the diaphragm.

HOUSING

DIAPHRAGM
RIGID CENTER

PUSH ROD

MAIN SHAFT

Figure 13.3 Compressor Diaphragm Model

The characteristic equations describing the compressor diaphragm are given in Equations (13-6)
through (13-11) and are based on the following restrictive assumptions:
(1) Diaphragm is flat and of uniform thickness.

(2) Diaphragm material is isotropic and homogeneous.

13-7

COMPRESSORS

(3) All forces, loads, and reactions are applied normally to the plane of the plate.
(4) Diaphragm thickness not greater than 20% of its diameter.
(5) The effects of shearing stresses and pressures on planes parallel to the surface of the
diaphragm have not been taken into account. They are considered insignificant in
diaphragms with thickness to radius ratios (h/a) of less than 0.15.
(6) The stresses created in a diaphragm due to bending and tensile loading may be
combined by summing their values (method of superposition).
The characteristic equation of a rigid center diaphragm loaded by a force for any magnitude of
deflection is given by Equation (13-6). It is applicable for (b/a) ratios greater than 0.05.

TIE h3y0

F=

Where:

(13-6)

hyJB

Force applied to rigid disk of diaphragm, lb

Modulus of elasticity, lbs/in2
Radius of diaphragm, in
Diaphragm thickness, in
y 0 = Vertical deflection at center of diaphragm, in
Modified Stiffness Coefficient based on diaphragm bending loads,
F
E
a
h

=
=
=
=

= 3(1

-V )

ln 2 c

(13-7)

4c2

B = Stiffness coefficient based on diaphragm tensile loading, as follows:

7-i?

1 + b2

[(3-T?)2]fe2

b<)

[l-f]]a2
,4> I

ci-*>

ii--

(13-8)

i-ha2

r\ - Poisson's ratio
c = Ratio of radii (diaphragm-to-disk), alb, in/in
b = Radius of rigid center plate of diaphragm, in
The maximum radial stress for a force-loaded diaphragm with rigid center occurs at the inner
perimeter of the diaphragm (b):
13-8

COMPRESSORS

FKVBV
^
h2*
Where: aT - Maximum radial stress, lbs/in2
BF = Modified stiffness coefficient, based on diaphram tensile loading
aT =

c2(2c2lnc-c2
+ l)
2
2 2
2 2
r] (c -l)
- 4c ]n c

(13-9)

(13.10)

At equilibrium, where the force transmitted by the push rod in Figure 13.3 generates a maximum
pressure in the chamber above the diaphragm (i.e., the rod has completed its stroke), a balance of forces
in the vertical direction is established.
If the increased performance of a compressor is to be evaluated and the change in shaft power
requirements are known, the following equation, in combination with Equation (13-9), will yield the
maximum induced stress in the diaphragm:

=
Where:

396,000 hpKvBv
*Ll_E
2nLah2*

(13-11)

hp = Shaft output horsepower

L = Offset of eccentric shaft, in
(o = Output shaft speed, rpm

The maximum stress is calculated from Equation (13-11) for the compressor rated condition. Then the
maximum stress for the actual operating condition is calculated in the same manner.
Empirical studies show that for moderate to high strains, a mechanical tearing of rubber, referred to
as "mechanical-oxidative cut growth", can be the mechanism of failure for rubber diaphragms. The cut
growth may greatly increase in the presence of oxygen. For this mode of failure, the fatigue life is
inversely proportional to a power of the strain energy of the rubber. The strain energy is a characteristic
of each type of rubber, and in turn, inversely proportional to the strain experienced by rubber under cyclic
stressing. Figure 13.4 shows the stress-strain relationship for natural rubber compounds. Unlike many
other engineering materials, rubber can be manufactured with a wide range of elastic moduli. Stiffness
variations can be attained with no dimensional changes by varying the incorporation of fillers (reinforcing

13 - 9

COMPRESSORS

carbon blacks). This "hardness" variable is essentially a measurement of reversible elastic penetration
(International Rubber Hardness degrees or IRHD).

Strain, %

Figure 13.4 Tensile Stress-Strain Curves for Four Natural

Rubber Compounds of Different Hardness
The stress developed in a rubber diaphragm can be calculated from Equation (13-11). Although
rubber is flexible, (i.e., has low elastic and shear moduli), it is highly incompressible in bulk and its
Poisson's ratio, r| can be approximated as 0.5. This will facilitate the use of these equations. From the
stress calculated, Figures 13.4 and 13.7 provide a corresponding load multiplying factor, CP.
The value for strain obtained from Figure 13.4 must exceed 75%. Below this strain, the mechanicaloxidative cut growth mode of failure does not apply, and the Cp factor becomes 1.0.
13.5.2 Atmospheric Contaminant Multiplying Factor

The very small concentration of ozone in the atmosphere, normally a few parts per hundred million
at ground level, may cause cracking in strained rubber components. Under cyclic conditions of strain
13- 10

COMPRESSORS

below about 75%, ozone cut growth is the major factor in determining fatigue life.
Experimental data presented in Figure 13.8 illustrates that fatigue life is proportional to the
concentration of ozone. The stress developed in a rubber diaphragm can be calculated from Equation
(13-9). Poisson's ratio, r|, can be equated to 0.5.
Table 13-2 can be used to determine the strain by dividing the value of stress obtained from Equation
(13-9) by Young's modulus. Figure 13.8 and this strain value are then used to determine the contaminant
air performance multiplying factor, CAC.

Table 13-2. Hardness and Elastic Moduli

HARDNESS,
IRHD

YOUNG'S MODULUS,
E, lb/in2

30
35
40
45
50
55
60
65
70
75

130
168
213
256
310
460
630
830
1040
1340

13.5.2.1 Adjustment to Atmospheric Contaminant Multiplying Factor

In ozone-dominant failure potentials, the use of chemical anti-ozonant (coating) on the surface of the
rubber diaphragm can reduce crack growth by a factor of 3. If a coating is used, the multiplying factor,
CAC, obtained from Figure 13.8 should be multiplied by 1/3.
13.5.3 Liquid Contaminant Multiplying Factor

Water absorption does not usually cause any significant deterioration of rubber, but the absorption of
oil and solvents cause rubber to swell with a consequent deterioration in certain properties. Thin

13 - 11

COMPRESSORS

components can be expected to fail rapidly if the major surfaces are exposed to oil. Thick components
are effectively protected by their bulk. Such components can last many years in an oily environment.
Diffusion theory predicts that the mass of liquid absorbed per unit area of rubber (in the early stages of
swelling) is proportional to the square root of the time taken for the absorption.
The rate of movement of the boundary between swollen and unswollen rubber is calculated from:

PR =

(13-12)

it
Penetration rate, in/sec0'5
Depth of the swollen layer, in
Time that a given mass of liquid is absorbed by a given surface, sec

PR
L
t

Where:

Figure 13.5 reveals that the penetration rate into natural rubber decreases as the viscosity of the swelling
liquid increases.

10 -3
\

jlj

r IIni

HI

j|~rffl
1 llll

mi

Hill

"1

nfl
llll

--flDi
i tin

llll

JV

I'll

iH

'\
10'

..

c
o

-4

'is
^
"Hi
II

jlj

HI
TH

a
u

ci-

lO

-5

10 *

1
10"'

10

Hill

IIIII

11
10 :

1
10

1
10

Viscosity, v, lb-min/in2
Figure 13.5 Effect of Liquid Viscosity on the Penetration
Rate of Liquids into Natural Rubber
The failure rate for a rubber diaphragm is dependent on the presence of liquid contaminants and the
viscosity of the liquid in contact with it. Typical penetration rates are shown in Figure 13.5.

13 - 12

COMPRESSORS

An adjustment for various types of rubbers can be made using the multiplying factors presented in
Table 13-3. These factors should be multiplied by the penetration rate obtained from Figure 13.5 prior
to using the nomograph in Figure 13.6.
Table 13-3. Adjustment Factor for Various Rubbers
RUBBER

Natural
Cis polybutadiene
Butyl
SBR
Neoprene WRT
Nitrile (38% Acrylonitrile)

1.0
1.3
0.7
0.7
0.4
0.1

-0.01
-J

cto

a 10"

"

R)

10"'

Thi
lira

& -

10"

lO"1

9
.2
_
D _
3

10"

0.1

>^

-10-4

u*
DO

m.

g
&
a
o

.y =

O
_
jy =
=.

Mul tipl

10

minant

=
~

-1.0

.3

c
o

T3
3

= 10.0

cr
J
lO"5
100.0

Figure 13.6 Nomogram for the Determination of Liquid

Contaminant Multiplying Factor

13- 13

COMPRESSORS

13.5.4 Temperature Multiplying Factor

The variations in ambient temperature commonly occurring in practice are unlikely to greatly affect
fatigue behavior. Experiments over a range from -32 to 212 T show very slight effects of temperature
on the fatigue life of crystallizing natural rubber. In general, rubbers become weaker as the temperature
is raised. There is a steady fall in strength up to a critical temperature at which an abrupt drop occurs.
For natural rubber, this temperature is about 212 T.
A temperature multiplying factor, CT, can be developed as follows:
For:

-32T < T < 212T, CT = 1.0

and for T > 212T, CT = 6.7

13 - 14

O
3

Axial Loading Multiplying Factor, Cp

COMPRESSORS

50 100 150 200 250 300 350 40

0 450 500 550 600 650 700 750 800 85
0

Maxinium Strain, %

For S < 75%:

Cp = 1.0

For S > 75%:

1.8

[75)

Where: S = Strain, %
Figure 13.7 Axial Loading Multiplying Factor as Function of Strain
13- 15

Atmospheric Contaminant Multiplying Factor, CAC

COMPRESSORS

tymnet 7 5 nnhm

Ozone = 0.3 pphnn

- (Lab atmosphere)

/
i/

20

30

40

50

60

70

80

Maximum Strain, %

For ozone 0.3 pphm:

1.1

CAC

[ioj

For ozone 7.5 pphm:

C

AC = |

1 0

Where S = Strain, %
Figure 13.8 Atmospheric Contaminant Multiplying Factor
13 - 16

90

100

COMPRESSORS

Table 13-4. Failure Rates for Fluid Drivers (A,FD) (Ref. 26)
COMPRESSOR TYPE
Centrifugal

Displacement

FLUID DRIVER MODE

MODEL TYPE

BASE RATE*

Axial Flow Impeller

Closed/Open Impellers

0.1 - 0.3

Mixed Flow/Radial Flow

Impeller

Open/Semi-Open/
Closed Impellers

0.1 -0.14

Peripheral

Single Stage/MultiStage

0.1 - 0.3

Reciprocating

Piston/Plunger

1.0-1.35

Reciprocating

Diaphragm

0.4 - 0.75

Rotary (Single Rotor)

Vane

0.2 - 0.6

Rotary (Single Rotor)

Piston

0.9-1.2

Rotary (Multiple Rotor)

Gear

0.6 - 0.9

Rotary (Multiple Rotor)

Lobe

0.4 - 0.5

Rotary (Multiple Rotor)

Screw

0.2 - 0.95

* Failures/million hours of operation

13 - 17

THIS PAGE INTENTIONALLY LEFT BLANK

CHAPTER

ELECTRIC MOTORS
14.1 INTRODUCTION
Electric motors play a very important part in supplying power for all types of domestic and industrial
applications. Their versatility, dependability, and economy of operation cannot be equaled by any other
type of a power unit. It is estimated that over 90 percent of industrial motive power applications utilize
electric motors. Many types are available, therefore motors are classified in various ways. There are
general purpose, special purpose, and definite purpose types of motors. They are also classified according
to the type of electricity they require; a motor may operate on direct current (DC) or alternating current
(AC). If AC, it may be single or polyphase.
This chapter contains failure rate models that apply to all electric motors which can be used to support
the development of mechanical equipment and provide a reliability estimate for a new design, proposed
design modification, or application other than verified specification parameters. The models are intended
to focus attention on further design analysis which should be accomplished to assure the allocated
reliability of the motor in its intended operational environment.
14.2 CHARACTERISTICS OF ELECTRICAL MOTORS
14.2.1 Types of DC Motors
DC motors are classified as either series-wound, shunt-wound, or compound-wound. In the
series-wound motor, field windings which are fixed to the stator frame, and the armature windings which
are placed around the rotor, are connected in series so that all current that passes through the field
windings also passes through the armature windings. In the shunt-wound motor, the armature and field
are both connected across the main power supply (in parallel) so that the armature and field currents are
separate. The compound-wound motor has both the series and shunt field windings. These may be
connected so that the currents are flowing the same direction in both windings, called "cumulative
compounding", or so that the currents are flowing in opposite directions, called "differential
compounding".

14- 1

ELECTRIC MOTORS

14.2.2 Types of Polyphase AC Motors

The most extensively used polyphase motors are the induction type. The "squirrel cage" induction
motor has a wound stator connected to an external source of AC power and a laminated steel core rotor
with heavy aluminum or copper conductors set into the core around its periphery while being parallel to
its axis. These conductors are connected together at each end of the rotor by a heavy ring, providing
closed paths for currents induced in the rotor to circulate. The rotor windings are not connected to the
power supply.
The wound-rotor type of induction motor has a squirrel cage and a series of coils set into the rotor
which are connected through slip-rings to external variable resistors. By varying the resistance of the
wound-rotor circuits, the amount of current flowing in the circuits, and therefore the speed of the motor,
can be controlled. Induction motors are manufactured with a wide range of speed and torque
characteristics.
The synchronous motor is the other type of polyphase AC motor. Unlike the induction motor, the
rotor of the synchronous motor is connected to a DC supply which provides a field that rotates in step
with the AC field in the stator. The synchronous motor operates at a constant speed throughout its entire
load range, after having been brought up to this synchronous speed. This speed is governed by the
frequency of the power supply and the number of poles in the rotor.
14.2.3 Types of Single-Phase AC Motors
Most of the single-phase AC motors are induction motors distinguished by different arrangements for
starting. Single-phase motors are used in sizes up to about 7 1/2 horsepower for heavy starting duty,
chiefly in home and commercial appliances for which polyphase power is not available.
The series wound single-phase motor has a rotor winding in series with the stator winding as in the
series-wound DC motor. Since this motor may also be operated on direct-current, it is called a "universal
motor". The series wound motor has a high starting torque and is used in vacuum cleaners, sewing
machines, and portable tools. In the capacitor-start single-phase motor, an auxiliary winding in the stator
is connected in series with a capacitor and a centrifugal switch. During the starting and accelerating
period the motor operates as a two-phase induction motor. At about two-thirds full-load speed, the
auxiliary circuit is disconnected by the switch and the motor then runs as a single phase induction motor.
In the capacitor-start, capacitor-run motor, the auxiliary circuit is arranged to provide high effective
capacity for high starting torque and to remain connected to the line, but with reduced capacity during the
running period. In the single-value capacitor or capacitor split-phase motor, a relatively small
14-2

ELECTRIC MOTORS

continuously-rated capacitor is permanently connected in one of the two stator windings and the motor
both starts and runs like a two-phase motor.
In the repulsion-start single-phase motor, a drum-wound rotor circuit is connected to a commutator
with a pair of short-circuited brushes set so that the magnetic axis of the rotor winding is inclined to the
magnetic axis of the stator winding. The current flowing in this rotor circuit reacts with the field to
produce a starting and accelerating torque. At about two-thirds full load speed the brushes are lifted, the
commutator is short circuited and the motor runs as a single-phase squirrel-cage motor. The repulsion
motor employs a repulsion winding on the rotor for both starting and running. The repulsion-induction
motor has an outer winding on the rotor acting as a repulsion winding and an inner squirrel cage winding.
As the motor comes up to speed, the induced rotor current partially shifts from the repulsion winding to
the squirrel cage winding and the motor runs partly as an induction motor.
In the split-phase motor, an auxiliary winding in the stator is used for starting with either a resistance
connected in series with the auxiliary winding (resistance-start) or a reactor in series with the main
winding (reactor-start). The split-phase motor is used in refrigerators, air conditioners, freezers, and other
compressors involving high starting loads.
14.3 FAILURE MODES

Failure rate models included in this section are based upon identified failure modes of the individual
parts. Typical failure modes and their failure causes and effects are listed in Table 14-1. Failure rate
models or estimates for the following component parts are discussed or referenced in this section:
1. Bearings
2. Windings
3. Brushes
4. Armature (shaft)
5. Stator Housing (casing)
The models developed in this chapter will be based on an AC fractional horsepower (FHP) type motor,
although it will be general enough to be applied to most motors. Therefore, a specific motor being
analyzed may not need to include all the failure rates due to its lack of certain parts (e.g., brushes).

14-3

ELECTRIC MOTORS

Table 14-1. Electric Motor Failure Modes

FAILURE CAUSE

FAILURE MODE

FAILURE EFFECT

- Worn bearing:
spalling
creeping or spin

- Poor lubrication
- Contamination
- Overloading or high
temperature

- Noisy
- Heat build-up
- Armature rubbing stator
- Seized

- Open winding
- Shorted winding

- Excessively high
temperature

- Motor won't run

- Sparking at brushes

- Cracked housing

- Fatigue
- External shock
- Vibration

- Leakage of dust into

motor
- Shorted or seized

- Sheared armature shaft

- Cracked rotor laminations

- Fatigue
- Misalignment
Bearing failure

- Seized
- Armature rubbing stator

- Worn brushes

- Excessive sparking
- Chatter or hissing noise
- Motor runs too fast or too
slow under load

- Worn sleeve bearing

- Excessive load (belt

tension)
- Frequent starts and stops
under heavy loads
- Poor lubrication

Improper maintenance
Contamination
High temperature
Low atmospheric humidity
Improper contact pressure

- Seized
- Noisy
- Heat build-up
- Armature rubbing stator

14.4 MODEL DEVELOPMENT

The model developed is based on a fractional or integral horsepower AC type motor, although it will
be general enough to be applied to most motors.
The reliability of an electric motor is dependent upon the reliability of its parts, which may
include: bearings, electrical windings, armature/shaft, housing, and brushes. Failure mechanisms
resulting in part degradation and failure rate distribution (as a function of time) are considered to be
independent in each failure rate model. The total motor system failure rate is the sum of the failure rates
of each of the parts in the system:

14-4

ELECTRIC MOTORS

^M

^ B E + ^ W I + ^ B S + ^ A S + ^ S T + ^GR

(14-1)

Where: XM = Total failure rate for the motor system, failures/million hours
X,BE = Failure rate of bearings, failures/million hours (See Chapter 7)
X,w = Failure rate of electric motor windings, failures/million hours (See Section
14.5)
X,BS = Failure rate of brushes, 3.2 failures/million hours/brush (Ref. 74)
X,AS = Failure rate of the armature shaft, failures/million hours (See Chapter 10,
Section 10.4)
X,ST = Failure rate of the stator housing, 0.001 failures/million hours (Ref. 74)
X,GR = Failure rate of gears, failures/million hours (See Chapter 8)

14.5 FAILURE RATE MODELS FOR MOTOR WINDINGS

The electric motor windings failure rate, X,w is derived by Equation (14-2):

*m ' ^WIJ ' CT C v C *

(14-2)

Where: XwlB = Base failure rate of the electric motor windings, failures/million hours
(See Section 14.5.1)
CT = Multiplying factor which considers the effects of ambient temperature on
the base failure rate (See Section 14.5.2)
C v = Multiplying factor which considers the effects of electrical source voltage
variations (See Section 14.5.3)
Ca = Multiplying factor which considers the effects of operation at extreme
elevations (See Section 14.5.4)
14.5.1 Base Failure Rate
XWiB is the base failure rate of the specific motor winding as supplied by the motor manufacturer. The
winding will usually be specified in terms of expected life. The base failure rate is then:

lxlO6

14-5

ELECTRIC MOTORS

Where:

Lj = Expected winding life, hours

If a manufacturer's winding life is not available, a base failure rate of 5.65 failures/million hours can
be used for A,WI B (Ref. 28).
The multiplying factors for Equation (14-2) are described in the following paragraphs.
14.5.2 Temperature Multiplying Factor
Heat is the primary limiting factor of motor windings. Heat causes the windings to age and
deteriorate, so after time they break down and lose their insulation quality. When this happens the related
electrical components "short" and the motor burns out or blows a fuse.
Under normal operating conditions, the insulation material used in the windings of electric motors is
generally reliable, thereby making the windings themselves a reliable component. The life of any given
insulation material depends on the degree of heat to which it is exposed.
The winding temperature is determined by measuring both the ambient and the hot temperature
resistances of the windings. The resistance measurement gives an average temperature which is more
representative than spot measurements with a thermometer. This method has become standard because
of the dimensional restrictions of so many motor designs, which prevent the use of thermometers.
The correction factor for the motor winding temperature is given by:

2357

CT = kxlO
Where:

T +273

T + 273

(I'M)

T0 = Ambient temperature rating of windings, C

T = Ambient temperature during operation, C
k = 12.5 when manufacturer's rated life is not available (A,W1B = 5.65
failures/million hours)
k = 1.0 when manufacturer's rated life is available

14.5.3 Voltage Multiplying Factor

The motor horsepower rating on the nameplate may not necessarily indicate the motor's maximum
capacity. The motor is often designed with extra capacity built in to allow for variations. A motor will
operate successfully when the variation in voltage does not exceed 10% of normal. A failure rate
14-6

**.

ELECTRIC MOTORS

multiplying factor can be established for those situations when the actual voltage exceeds rated voltage:
For VA >
^ VRV

(14-5)

C v = 1 + 0.5
Where:

VR = Rated Voltage
VA = Actual Voltage

For VA <
- V
RT

(14-6)

C v = 1.0

14.5.4 Altitude Multiplying Factor

The influence of altitude on the life of a fan-cooled motor may be tabulated based on a 50% reduction
in life for every 10C increase in sea level motor temperature rise. Table 14-2 is a tabulation of failure
rate multiplying factor, C,,,, for altitude/temperature conditions applicable to fan-cooled motors which are
not enclosed. For totally enclosed motors, altitudes to 60,000 feet will not influence life as compared to
sea level and Cal in this case, will be equal to 1.0.

Table 14-2. Multiplying Factor, C,, for the Influence of Altitude

on Motor Life for Fan-Cooled Motors
ALTITUDE
(ft x 1000)

SEA LEVEL MOTOR TEMPERATURE RISE

20C
30'C
40*C
50'C
60'C

Sea Level
25
30
40
50
60

1.0
1.0
1.0
1.0
4.0
16.0

1.0
1.0
1.0
1.0
8.0

14-7

1.0
1.0
1.0
4.0

1.0
1.0
1.0
8.0

1.0
1.0
2.0
16.0

THIS PAGE INTENTIONALLY LEFT BLANK

CHAPTER

15

ACCUMULATORS, RESERVOIRS
15.1 INTRODUCTION
An accumulator is a device used to store energy in such applications as:
fluid supply
pump delivery pulsation damping
system pressure surge damping
leakage and thermal expansion compensation
emergency and standby power source
In a hydraulic system the energy is stored as a fluid under pressure and often used to smooth out the
delivery flow of pumps. A reservoir is a device for collecting and storing a fluid under ambient
conditions. This chapter includes a discussion of the reliability of these and other vessels which may
include boiler assemblies, gas pipes, gun tubes and other containers subject to environmental stress.
Typical accumulator designs are shown in Figure 15.1. A dead load accumulator is comprised of a
single acting vertical cylinder which raises a heavy load or weight.

, _ J f Z *Charging
^
Valve
Breather
- 3

^.1

Gas

Breather

Fluid
Uoder
Pressure

J:(
DEAD LOAD

;#CT.
SPRING LOAD

Figure 15.1 Typical Accumulator Designs

15- 1

GAS LOAD

ACCUMULATORS

A dead load accumulator can be designed for large volumes but correspondingly heavy weights are needed
resulting in a large physical size. The advantage of this type of accumulator design is the constant
discharge pressure, whereas all other types exhibit a variation in pressure with respect to volume of fluid
stored.
A spring loaded accumulator contains a spring which moves within a cylinder. As the volume of fluid
in the accumulator is increased, the spring is compressed and the spring force is increased. The minimum
pressure in the accumulator depends on the designed spring preload. The advantage of this design is its
simplicity. The piston stroke and, therefore, the volume of fluid which can be stored is limited by the
physical characteristics of the spring.
A gas loaded accumulator is designed to utilize a compressed gas such as nitrogen or air to pressurize
the stored fluid. A piston or bag is used to separate the fluid and gas. Gas loaded accumulators can be
very large. As discussed in the next section, accumulators are usually designed to be operated in the
vertical position. The fluid pressure as a function of fluid volume in a gas loaded accumulator depends
upon many factors such as the gas being used, the temperature of the gas and its pressure-volume
characteristics.
15.2 FAILURE MODES

In any type of accumulator utilizing a piston the cylinder bore has to be machined, and wear will
occur between the piston and cylinder body. Seals are built into the piston and these are subject to wear
and leakage. Depending on the accumulator application, response time may be a factor. The response
of the dead load accumulator will be somewhat slow due to the high inertia of the load and piston. The
response of spring loaded accumulators will depend on the age of the spring and its modulus of rigidity.
A response of a piston type accumulator will be adversely affected by the inertia of the piston and the
effect of seal stiction. Typical accumulator failure modes are listed in Table 15-1.
Although a piston type accumulator can be used inclined to the vertical, the rate of wear will be
increased due to the additional side load. Failure of a piston type accumulator tends to be gradual caused
by deterioration of piston seals and wear in the cylinder bore. Failure of a bag type gas loaded
accumulator will be more sudden caused by the rupturing of the bag or diaphragm. The failure rate of
a bag type accumulator may also depend on its physical characteristics.
A spring loaded accumulator must be evaluated closely for reliability to verify compatibility between
the spring material and the surrounding medium. Any leakage past the seal could have a deteriorating
effect on the spring material and its compression properties or fatigue life.

15 - 2

ACCUMULATORS

Table 15-1. Failure Modes of Accumulators

FAILURE MODE

FAILURE CAUSE

FAILURE EFFECT

Seal leakage

- Embrittlement
- Wear
- Distortion
- Incompatibility with medium

- Leakage past piston

- Internal leakage at valve
- External leakage

Worn cylinder bore or

piston surface

- Contaminants
- Interaction with fluid medium

- Poor system response

- Leakage
- Loss of pressure

Loss of spring tension

- Corrosion
- Fracture
- Spring misalignment

- Poor system response

- Inoperative accumulator

Piston stiction

- Surface wear
- Corrosion

- Poor system response

Loss of pressure

- Ruptured gas bag

- External leakage

- Poor system response

- External component damage

Leakage of charge
gas into fluid system

- Leakage past piston or bag

- Sudden discharge of fluid
from accumulator

- Poor system response

- Contaminated fluid system

Inoperative
accumulator

- Jammed output valve

- External component damage

One of the main applications of an accumulator is the damping of fluid system pulsations or surges.
The system effects of these pulsations must be evaluated as part of any reliability analysis. In some
applications the pulsations are unimportant as they are partially smoothed by pipes upstream of the pump.
A critical element of the reliability analysis is the effect of an accumulator on the probability of failure
of other system components. For example, a failed valve assembly within the accumulator which prevents
fluid discharge may not be immediately detected and damage to other components may occur due to
pressure transients. Shock waves produced as a result of the sudden closing of a downstream valve, for
example, travels through the system fluid to the far end of the system and a decompression wave is
formed which travels back to the valve. These waves travel back and forth until the energy is expended.
The more rapid the valve closure, the more severe the pressure transient generated. Without detection of
an accumulator failure, severe degradation and damage to system components could be occurring without
operator or maintainer knowledge.

15-3

ACCUMULATORS

15.3 FAILURE RATE MODEL

The failure rate of an accumulator or reservoir is dependent on the sum of the failure rate of its
component parts:
X A = X SE + X s p + X p c + X VA + X
Where:

XA
XSE
XSP
^.pc

CT

(15-1)

=
=
=
=

Total failure rate of accumulator, failures/million hours

Failure rate of seals, failures/million hours (See Chapter 3)
Failure rate of springs, failures/million hours (See Chapter 4)
Failure rate of piston/cylinder interface, failures/million hours (See
Chapter 9)
A.VA = Failure rate of control valve, failures/million hours ( See Chapter 6)
XCVJ = Failure rate of cylinder wall, failures/million hours (See Section 15.4
for thin walled cylinders and Section 15.5 for thick walled cylinders)

15.3.1 Seals

Specific failure modes of seals and procedures to determine their failure rates under different operating
environments are discussed in Chapter 3. Of particular interest in the design evaluation of accumulators
and other pressure vessels is the compatibility of the fluid medium and the seal material. The position
of the accumulator in the fluid system must also be known to determine the side load on the piston and
corresponding stress on the seal.
15.3.2 Springs

Specific failure modes of springs and procedures to determine their failure rates under different
operating environments are discussed in Chapter 4. For most accumulators the failure rate equations for
static springs can be assumed. The reliability of a spring is very sensitive to corrosion and the
compatibility of the fluid and spring material must be considered.
15.3.3 Piston/cylinder

The wear rate of the piston surface and cylinder bore will be sensitive to the position of the
accumulator in its operating environment. Tilting of the accumulator from its vertical position will alter
the side load of the piston. This parameter and others effecting the reliability of the piston/cylinder are
included in the reliability equations contained in Chapter 9.

15-4

ACCUMULATORS

15.3.4 Valves

The reliability of valve assemblies which may be contained within the accumulator is determined using
the equations contained in Chapter 6. One particular failure mode to be considered in the design
evaluation is the possibility of a sudden discharge of fluid causing the output valve to operate without
fluid and creating an air lock.
15.3.5 Structural Considerations

The fluid contained within an accumulator under pressure creates stresses in the walls as shown in
Figure 15.2. The state of stress is triaxial. A longitudinal or meridional stress acts parallel to the
meridian; a circumferential, or hoop stress acts parallel to the circumference; and a radial stress acts
outward at the surface. If the walls of the accumulator are relatively thin (thickness t is less than onetenth the radius r) and of uniform shape, longitudinal and circumferential stresses will be uniform
throughout the thickness of the wall and the radial stress, although varying from zero at the outside surface
to a value equal to the internal pressure at the inside surface can be considered negligible. Section 15.4
provides equations for determining the stress levels of thin walled pressure vessels.

Figure 15.2 Stresses created in walls of accumulator

15 -5

ACCUMULATORS

15.4 THIN WALL CYLINDERS

The shell thickness is designed to keep the maximum stresses below the yield strength of the material.
The design thickness is the minimum required thickness computed by code formula plus an allowance for
corrosion.
The walls of the accumulator will tend to expand in the radial direction when pressurized, causing the
walls to stretch circumferentially. As a result of this radial expansion, stresses will occur acting in the
circumferential direction. For thin walled cylinders, the circumferential strains are approximately the same
at the inside and outside of the cylinder. Consequently, the circumferential stresses will be very nearly
uniform throughout the wall thickness. The circumferential stresses can be related to the internal pressure
of the accumulator by considering the equilibrium of a half cylinder shown in Figure 15.2. For
equilibrium to occur, the resistive force due to circumferential stress acting on the cylinder wall must equal
the force acting on accumulator wall as a result of applied fluid pressure. This equilibrium is shown with
the following equation:
Fc = 2nactL
Where:

Fc
P
r(
L
ac
t

- 2nPriL

=0

(15-2)

= Circumferential force, lbs

= Internal pressure, lbs/in2
= Internal radius, in
= Cylinder length, in
= Circumferential stress, lbs/in2
= Wall thickness, in

Solving for a c , the circumferential stress, in the cylinder results in the following equation:

ac = i

(15-3)

Similarly, the equilibrium of forces in the longitudinal direction provides the following equation:

Fj = nPr*

- 2izrxtox

=0

(15-4)

15-6

ACCUMULATORS

Where:

F, = Longitudinal force, lbs

and the corresponding longitudinal stress is:

a, = +
Where:

(15-5)

o, = Longitudinal stress, lbs/in2

The effects of end plates and joints on the accumulator is a reduction in strength of the accumulator
due to riveted joints, welding and other fabrication techniques. This reduction is accounted for by
including a joint efficiency parameter in the circumferential and longitudinal stress equations:
minimum strength of joint
strength of solid material
Where:

r\ = Joint efficiency parameter

The addition of r\c as a circumferential joint efficiency parameter provides the following equation:

Pr

i
ac = L
tr
>c

(15-6)

and addition of TJ, as a longitudinal joint efficiency factor provides the following equation:

Pr

ox - 2trix

(15-7)

The relative strength (efficiency) of a joint depends upon its design and type of joint. Table 15-2
provides values of r\c and r), based on joint efficiencies that may be expected in the various types of joints
if they are well designed. The actual value for the efficiency parameters, r\c and r| from Table 15-2 can
be adjusted depending on the confidence level in manufacturing techniques and quality control.

15 -7

ACCUMULATORS

Table 15-2. Approximate Efficiencies of Joints (Ref. 57, 58)

TYPE OF JOINT
Riveted Lap Joint

Riveted Butt Joint

Welded Butt Joint

DESIGN
(Number of Rows)

^C'7!!

Single

.55

Double

.65

Triple

.75

Single

.65

Double

.75

Triple

.85

Quadruple

.90

Single

.75

Double

.85

The ends of the accumulator are often hemispheres. The internal pressure in a thin spherical shell will
create two mutually perpendicular circumferential stresses of equal magnitude and a radial stress. Again
a thickness/radius ratio of less than 1/10 provides a minimal value of radial stress. The resistive force due
to circumferential stress, a c , acting on the accumulator wall to achieve equilibrium must equal the force
on the hemisphere due to internal pressure, P:

*Prh2

Fhc
P
rh
th
ahc

Where:

=
=
=
=
=

*Vhhc

(15-8)

Circumferential force of the end section, lbs

Internal fluid pressure, lbs/in2
Radius of the end section, in
Thickness of the end section material, in
Circumferential stress in the end section, lbs/in2

Solving for ahc, with the addition of a joint efficiency parameter, provides an equation for maximum stress
at the hemispherical ends.

"he

(15-9)

15 - 8

ACCUMULATORS

It will be noted that for the same wall thickness, the spherical ends of the accumulator provide twice
the strength. The hemispherical ends, therefore, are sometimes thinner than the cylindrical section.
Equations for various shapes of accumulators can be found in standard textbooks.
The failure rate of the cylinder is determined by a base failure rate for the cylinder multiplied by stress
level factors:

Where:

A^ = Failure rate of cylinder for use in Equation (15-1), failures/million

hours
=
^CW,B
B a s e failure rate of cylinder, 0.001 failures/million hours
Cc = Multiplying factor for compressive stress (See Section 15.6)
C, = Multiplying factor for longitudinal stress (See Section 15.6)

15.5 THICK WALL CYLINDERS

If the wall thickness of the pressure vessel is more than one-tenth the radius, the circumferential and
longitudinal stresses cannot be considered uniform throughout the thickness of the wall and the radial
stress cannot be considered negligible. Reference 38 provides the equations for different shapes of thick
walled containers:

Pr.

Where:

= Longitudinal stress, lbs/in2

2
P = Internal pressure, lbs/in
r, = Internal radius of the cylinder, in
r = External radius of the cylinder, in

Pr*(

Where:

(15-11)

'o

(15-12)

ac = Circumferential stress, lbs/in2

r = Average radius of the cylinder, in

15 - 9

ACCUMULATORS

Pr2{r2-r2)
rT = !-i
2-i
Where:

(15-13)

or = Radial stress, lbs/in2

The failure rate of the cylinder is determined by a base failure rate for the cylinder multiplied by stress
level factors:

Where:

A-cw = Failure rate of cylinder wall for use in Equation (15-1),

failures/million hours
=
^-CW.B
Base failure rate of cylinder, 0.001 failures/million hours
Cc = Multiplying factor for circumferential stress (See Section 15.6)
C, = Multiplying factor for longitudinal stress (See Section 15.6)
Cr = Multiplying factor for radial stress (See Section 15.6)

15.6 FAILURE RATE CALCULATIONS

The structural aspects of the accumulator failure rate depend on the stress/strength relationships of the
materials. The standard definition of reliability includes the probability that the strength random variable
will exceed the stress random variable as shown in Figure 15.3.
R = P(S>s)
Where:

R
P
S
s

= P(S-s)>0

(15-15)

= Reliability
= Probability
= Strength random variable
= Stress random variable

The stress variable includes any parameter that tends to introduce a failure of the accumulator while
the strength variable indicates any parameter resisting failure. Failure is defined to have occurred when
actual stress exceeds actual strength for the first time. The ratio of strength to stress provides a safety
factor:

15- 10

ACCUMULATORS

Where:

(15-16)

= Factor of safety
= Material yield strength, lbs/in2
= Mean value for the stress, ac, a or ar, lbs/in2

Strength

S, s
Interference
Area
Figure 15.3 Stress Strength Relationship
The designer/analyst must estimate the tail probabilities for stress and strength variables based on
previous experience and intimate knowledge of the design and operating environment. The lower and
upper limits on these probabilities quantify the uncertainty of the estimates. The probability distributions
of yield strengths for steels are found to be normally distributed.
The standard normal variable of (S - s) will be equal to:

Ps " /*,

(15-17)

r
15- 11

ACCUMULATORS

Where:

= Mean value of Fy, lbs/in

2
Ms = Mean value of ax, lbs/in
s = Standard deviation of strength
a, = Standard deviation of stress
Us

The relationship between the standard normal variable of z and the multiplying factors for Cc, C and
Cr is shown in Figure 15.4.

i.u -

no.
u.y

U
no

c
b

torC

cd

n-7

Mult plyin

60

i
u.u

0.5 0.0

1.0

2.0

3.0

4.0

Standard Normal Variable, z

Figure 15.4 Stress Level Multiplying Factor as a Function of z

15- 12

5.0

CHAPTER

16

THREADED FASTENERS
16.1 INTRODUCTION

Methods of fastening or joining components include threaded fasteners, welding, brazing, soldering,
and various adhesive bonding systems. One advantage of threaded fasteners is that they permit
disassembly of the equipment for maintenance and repair. Threaded fasteners also allow the use of
automated as well as standard manual tools for assembly and installation procedures even under restricted
conditions. And significantly, the multitude of available sizes, materials, finishes, and strength levels of
mechanical fasteners provides a strong design support system for optimum structural compatibility, even
under wide environmental extremes. The reliability of threaded fasteners in a given operating environment
depends on the strength of materials, methods of fabrication and assembly, and the stress levels created
by fatigue loads and environmental conditions. This chapter considers the reliability performance of
externally and internally threaded fasteners.
16.1.1 Externally Threaded Fasteners

Bolts and screws are fasteners with a formed head on one end and an external thread on the other end.
Studs are fasteners that incorporate external threads at each end. Structural bolts and screws are installed
through prepared holes in the material to be joined. Various lengths of bolts and screws are produced to
accommodate the thickness of the material to be fastened and the additional length of thread needed for
proper engagement with the nut or with the internal tapped thread. These fasteners are subjected to
tensile, shear, bending, and fatigue loads sensed by the joint. They also respond to the environment
imposed on the joint, which may include temperature extremes or exposure to various corrosive conditions.
Studs represent a special class of externally threaded fasteners, and a number of configurations have
found wide use in design. Double-end studs are threaded at both ends; they can be mated with two nuts,
or one end of the stud can be installed in a tapped hole and a nut employed on the other end to tighten
or secure the joint. Another configuration is the continuous-threaded stud, which has been utilized both
in general-purpose joining and in special classes for high-temperature and/or high-pressure bolting.

16- 1

FASTENERS

16.1.2 Internally Threaded Fasteners

Specific fastening devices which incorporate internal (female) threads include nuts and inserts. They
are intended to engage with the external threads of bolts, screws, and studs, and should be compatible to
develop the full rated strength of the external thread.
16.1.3 Locking Mechanisms
One aspect of threaded fastener performance that is of concern is the fastener's susceptibility to
loosening as a result of severe vibration or dynamic loadings acting on the joint. Since vibratory stresses
cannot be totally eliminated, several methods have been developed which have proven effective in
maintaining fastener integrity.
Self-locking nuts are integral fasteners which incorporate in the nut element a controlled
high-torque feature which is designed to prevent rotation off the external threads, even if
the initial tightening torque is completely relaxed. The same principle of an inherent selflocking feature is often extended to screws used in tapped holes.
Chemical thread-locking systems include anaerobic and epoxy adhesives which are
applied to the fastener threads before installation, and which cure and effect a permanent
bond after assembly.
Cotter pins are a supplemental locking device used with a slotted or castellated nut. They
are installed through a drilled hole in the bolt threads to prevent rotation or movement of
the nut after installation.
Safety lock wiring is also a supplemental locking system. Usually two or more fasteners
in series must be wired to prevent rotation in the "off' direction. The nut end can be
wired using slotted or castellated nuts and bolts with drilled holes. However, the
predominant use of safety wiring is to secure screw heads which have been drilled to
accommodate the wire where the screws have been installed in tapped or blind holes.
Lockwashers are used to resist the loosening effects of vibration, and come in a wide
variety of designs for various applications. Conical spring washers are typically made of
hardened and tempered steel that is slightly concaved. These washers deform when the
bolt is tightened, acting as a spring that compensates for small losses in bolt tension due
to thermal expansion or compression set of the gaskets. Helical spring washers employ
a single-coil helical spring that flattens under load. The spring action assists in
16-2

FASTENERS

maintaining the bolt load, while the split edges provide a locking action by biting into the
bearing surfaces. Toothed lockwashers provide a gripping action resulting from the teeth
biting into the material of the bolt head or nut, and being deformed axially, with the
application of tension from bolt torquing.
All locking systems should be compatible. For example, using an elastic stop nut (a nut with a
deformable plastic insert) on a male thread drilled for use with a cotter pin, may destroy the holding
capability of the nut because of damage to the insert.
16.1.4 Threads

Inch-series thread forms were developed and used by countries employing the English system of
measurement. In the United States, standards have been predicated on a 60 screw thread angle, originally
standardized as the American National thread. Since 1948, the accepted standard has been the Unified
thread form, which also specifies a 60 angle.
T,he relationship between nominal diameter and the number of threads per inch is referred to as the
"diameter-pitch combination". There are several prominent thread forms which cover the majority of
standards intended for general engineering use.
Coarse-thread series - This is perhaps the most widely used series of commercial and
industrial fasteners. The thread form is particularly advantageous for applications
requiring rapid assembly or disassembly, or for threading into lower-strength materials,
such as castings, soft metals, and plastics.
Fine-thread series - For the same nominal diameter, this series incorporates more threads
per inch. The result is a larger tensile stress area than that of the same size coarse thread,
contributing to the greater strength capability offine-threadfasteners. These fasteners are
normally used where the length of thread engagement is short, or where a smaller lead
angle is desired. Fine-thread-series fasteners are used extensively in aerospace and in
applications where coarse threads would not be suitable.
Other series include the extra-fine-thread, 8-thread, 12-thread, and 16-thread series.
In addition to establishing diameter-pitch combinations, the Unified screw-thread system also defines
the distinct profile and identification requirements for several screw-thread forms. The basic thread for
the bulk of commercial and industrial fasteners is the Unified form, identified as "UNC" for the coarsethread series and "UNF" for the fine-thread series.
16-3

FASTENERS

16.2 FAILURE MODES

16.2.1 Hydrogen Embrittlement
The phenomenon of hydrogen embrittlement in threaded fasteners has been mostly associated with
high-strength (over 160 ksi) steel parts which have been furnished with either zinc or cadmium
electroplating. During the plating process, atomic hydrogen can be trapped in or under the plating. Other
sources of hydrogen can be traced to material pickling or alkaline or acid cleaning. Unless the free
hydrogen is removed, when the fastener is used and stressed, as in a structural application, the hydrogen
can attack the grain boundaries. The result is rapid crack propagation and often catastrophic failure of
the steel fastener.
Two major ways to avoid the problems of hydrogen embrittlement are to (1) bake the fasteners in a
subsequent operation after plating to remove the excess hydrogen or (2) use mechanical plating processes
in lieu of electroplating. Mechanical plating is the process of using glass beads to cold-weld a ductile
metal (e.g., cadmium, zinc, etc.) onto a metal substrate by mechanical energy. Coating thicknesses are
more uniform than when the hot-dip process is used. However, hot-dip fasteners have more corrosion
protection built-in, due to the greater coating thickness. Usually, it is necessary to chase the hot-dip
coated threads with a die, since the coating is not uniform.
16.2.2 Fatigue
The importance of fatigue strength properties is associated with the fact that when failure is
encountered, it is invariably catastrophic in nature, and often occurs without warning. Research has
established that rolled threads exhibit higher fatigue life than machined or ground threads. Further, threads
rolled after heat treatment show better fatigue performance than comparable threads rolled before heat
treatment. In addition, factors such as proper bolt head design, cold work of the head-to-shank fillet,
quality control of the basic material used, and minimization of possible metallurgical defects all contribute
significantly to improved fatigue life.
With respect to fatigue performance, it has been observed that failures normally develop at stress
levels well below the static strength of the fastener. The two main types of joint fatigue loading are shear
fatigue and tension fatigue. For shear-loaded joints, fatigue failure normally occurs in the plate or sheet
material. The applied fatigue or dynamic stresses, hole preparation, hole clearance, amount of induced
bending, and fastener preload are some of the factors which influence shear joint fatigue life.

16-4

FASTENERS

16.2.3 Temperature
Both high-temperature and low-temperature (cryogenic) service exposures are experienced in practice
in nuclear systems, aerospace, electronics, transportation, energy systems, construction, and similar
applications. Characteristically, materials used at cryogenic temperatures will show an increase in tensile
strength, but may sacrifice ductility. Conversely, at elevated temperatures, tensile strength properties are
usually reduced, and above critical service temperature limits they may drop off dramatically.
16.2.4 Load and Torque
For every fastener system, there is an optimum torque range to develop the design clamp load. This
is normally referred to as the "torque-tension relationship". Over torquing can result in excessive bolt
yielding and possible subsequent relaxation, or even thread stripping and failure on installation. Too low
an initial torque can contribute to potential fatigue and/or joint loosening with extended service life.
There are a number of factors which affect and influence the nominal torque-tension relationship,
including condition of the threads, condition and squareness of the joint, method and equipment for
torquing, installation from the nut or bolt head end, and lubrication. Possibly the most influential factor
is the lubrication (plating and/or supplemental lubricant) on the fastener system, since the effective
coefficient of friction can alter the installation torque requirements by as much as 50 to 100 percent.
16.2.5 Bolt and Nut Compatibility
Particularly where high-strength bolts are used, critical attention must be given to specifying the
correct mating nut. Inadvertent specification of a lower-strength (grade) nut invites the possibility of nut
thread stripping under high tensile loading. But more significantly, a weaker nut will not adequately
develop the full clamp load capability of a high-strength bolt when subjected to the necessary installation
torque. As a rule of thumb, the thickness (height) of a nut should approximate the diameter of the
equivalent mating bolt to develop the full tensile strength properties of the bolt, if the bolt and nut
materials have the same strength.
16.2.6 Vibration
Whereas fatigue loading is presumed to be relatively high with respect to the strength of the threaded
fastener or the joint, vibration loads are relatively low, but may be associated with various ranges of cyclic
frequencies. Critical combinations of frequency, loading, and amplitude can force a structure into
resonance, often with catastrophic results. While the overwhelming majority of operating structures are
not subjected to conditions of resonance, the vibration forces present (including random and steady-state
16-5

FASTENERS

vibration, shock, and impact) are sometimes serious enough to drastically affect the threaded fastener
system.
Under repeated or extensive vibration, there is a tendency for the nut to rotate or loosen off the bolt
threads. Continued vibration can actually result in the nut completely disengaging from the bolt, with
subsequent loss of the bolt from the joint. Not as severe, but just as important, vibration loosening can
reduce or completely relax the original preload in the bolt, causing the bolt to sense increased fatigue loads
with continued exposure. What may have first started as vibration loosening may actually end as a fatigue
failure because of the complex stress mechanisms involved.
16.3 STRESS-STRENGTH MODEL DEVELOPMENT
16.3.1 Static Preload

The most important factor that determines the preload induced in a bolt is the torque applied to tighten
the bolt. There are several methods commonly used to apply a predetermined torque. The torque may
be applied manually by means of a wrench which has a dial attachment that indicates the magnitude of
torque being applied. Pneumatic air wrenches are also widely used. Another method is to tighten the nut
by hand and then use a wrench to give the nut a predetermined number of turns.
Figure 16.1 shows a typical bolt with commonly used symbols for the dimensions. An empirical
equation can be used to show the relationship between induced preload and applied torque:
T = dF:c
Where:

T
d
Fj
c

=
=
=
=

(16-1)

Applied torque, in-lb

Major bolt diameter, in.
Initial preload, lb
Torque coefficient, and is given by the relationship (Ref. 62):

2d
Where:

fil sec <p + tan iff

1 - (/i, sectf> tan tfr) ;

[2d)

Thread pitch diameter, in.

dc = Mean bearing face or collar diameter, in.
"i
= Bolt thread coefficient of friction
He = Coefficient of friction at bearing face of bolt or nut
= Thread half angle, 30 degrees
Thread helix angle, degrees
16-6

(16-2)

FASTENERS

=
Where:

tan"1
nNdm

N = Number of threads/in

Figure 16.1 Typical Bolt and General Symbols

For most applications, the value for the torque coefficient can be approximated by the values listed
in Table 16-3. The values presented are typical because of the wide range of values reported from coating
manufacturers. The user is cautioned to consult the noted reference in critical applications.
A simple bolted joint can also be dangerous unless it is properly designed for the loading and
assembled by a trained mechanic. In any fastening situation, the basic aim is to determine as accurately
as possible the least expensive fastener that, when properly tightened, will secure a joint during product
life. Properly applied assembly torque produces the wedging action of the fastener threads that elongate
the bolt to produce tension. Tension (or preload) induced in a fastener at assembly should always be
greater than any external load the joint will experience in service. A preload ensures optimum
performance if it prevents the clamped parts from separating in service. Thus a preload should always
exceed any external load or payload. The fastener generally remains unchanged until the external load
exceeds the preload. Therefore, the higher the preload, the greater potential there is for withstanding
larger external loads. This is applicable to perfectly rigid joints, which solid, metal-to-metal joints
approximate. A high preload also helps to retain friction at the joint interface, which is important when
shear loads are present.

16-7

FASTENERS

For the case of the fastener joint loaded statically, if the preload properly exceeds the external loading,
a joint will remain in service. However, there are instances mentioned previously in Section 16.2, that
can cause relaxation of the preload or an increase in the external loading, causing premature failure of the
fastener joint.
16.3.2 Temperature Effects of Fasteners in Clamped Joints

Changes in temperature must be considered in fastener joint design, in that they can act to change the
clamping force in joint and/or the tension (preload) in the fastener. If at any time during operation, the
external loading exceeds the preload of the fastener at operating temperature, the fastener is considered
to have failed. Therefore, the desired (room temperature) preload, with correction factors for temperature
effects can be modeled as follows:

imhwnt

Where:

f.w p w
E

4*1 (ALj - ALJ

(16-3)

Preload at ambient temperature, lb

Fi.oper
Fastener design preload at elevated operating temperature, lb
Modulus of elasticity at room temperature, lbs/in2 (See Table
E,
16-1)
Modulus
of elasticity at operating temperature, lbs/in2 (See
E, =
Table 16-1)
K-SR ~ Correction factor accounting for stress relaxation in the fastener
at elevated operating temperatures (See Figure 16.3)
2
A c = Fastener tensile stress area, in

i.ambient

0.9743 )2
N

= 0.7854

(Ref 60)

d = Major bolt diameter, in

N = Number of threads per inch
LE = Effective length (as defined in Figure 16.2) of fastener, in
AL, = Change in length or thickness of the joint, in
= L,G a,
"-J
oper
U = Thickness of clamped joint, in
a, = Thermal coefficient of linear expansion for joint material (See
Table 16-4)
l

16-8

(16-4)

FASTENERS

ALn = Change in grip length of the fastener, in

L G ' a B ' Toper

a n = Thermal coefficient of linear expansion for bolt (See Table 16-4)

L
Elevated operating temperature, F
oper
Table 16-1 presents values of material moduli of elasticity vs. various temperatures. It should be
noted that the equation above will have lower preloads at room temperature assembly, if the fastener joint
is designed to be operated at a lower temperature (lower temperatures increase the stiffness of a bolted
assembly). Designers must also be aware that the strength of most bolts decreases with rising
temperatures, as illustrated in Table 16-2.

LE = LG + 1/2 (fastener
head height + nut
thickness), in

Figure 16.2

Determining Effective Fastener Length (Lg)

Table 16-4 contains the values of coefficients of linear expansion for typical bolting material, a B , and
joint material, <Xj. These values are used in computing ALj and ALB of Equation (16-3). It is necessary
to note that the coefficients themselves, are temperature dependent. The values in the table are based on
room temperature. For evaluations of temperatures 400F and above, the noted reference should be
consulted. At elevated temperatures, with dissimilar joint/bolt materials, if the joint material expands more
than the bolt material, the bolt will develop more stress or preload (F; oper) than it was designed to
experience. To the contrary, if the bolt material expands more than the joint material at elevated operating
temperatures, this will act to lessen the design bolt preload. The correction term in Equation (16-3) is
therefore subtracted from the preload at assembly (Fsiambient) to account for these situations.

16-9

FASTENERS

It has been determined that at greatly elevated temperatures, many materials experience a slow increase
in length under a heavy, constant load. This phenomenon is called creep. A bolted joint assembly may
experience a slightly different phenomenon, under which a steady loss of stress in a heavily loaded part
whose dimensions are fixed or constrained, called stress relaxation. KSR in Equation (16-3) accounts for
this time/temperature dependent "stress relieving" when the bolted assembly is to be operated at extreme
temperatures. Figure 16.3 contains several plots of correction factors for various bolt materials, derived
from stress relaxation data over an elevated temperature range after 1000 hours exposure at each
temperature. From the fairly constant initial ranges of each curve in Figure 16.3, it is evident that the
stress relaxation effect is of concern only at the higher temperatures (i.e., 600F and above).

200

400

600

800

1000

1200

1400

Temperature, F

NOTES:

(1)

Equivalent Materials -

ASTM A193 = B7,B8M,B16

NIMONIC 80A - B80A
AISI 660 - B17
(2) Residual Stress Reduction for other materials can be derived via Gieske's Correlation (Ret. 63) (Given
creep data @ 1000 hrs & spec, temp); residual stress in a bolt - stress that produces 0.01% creep

Figure 16.3 Stress Relaxation Factor, KSR, for Various Operating

Temperatures & Materials (After 1000 Hours) (Ref. 63)
16- 10

FASTENERS

Stress relaxation losses are not repetitive in temperature cycling situations. The material stress value
stabilizes at some lesser value after some period of time. This is because the tendency to relax decreases
as the tensile stress (the driving force) in the bolt, decreases.
16.3.3 Corrosion Considerations
Corrosion is a problem often faced when dealing with bolted assemblies. Excessive corrosion can
eventually lead to a reduction in preload, or to the total loss of clamping force through destruction of
material. Several methods (Ref. 63) used to combat the onset of corrosion are as follows:
(1)

Select materials in the joint assembly (bolts, nuts, structure) that are identical, or as
close together as possible in the galvanic series, minimizing electrical potential
differences.

(2)

In a situation of dissimilar metals, the larger amount of material should act as an

anode, while the smaller amount of material behaves as the cathode.

(3)

Introduce a 'sacrificial' anode, that can be replaced from time to time. This can be
a block of material placed in the vicinity of the bolted joint, where material is
sacrificed in a galvanic reaction.

(4)

Minimize stresses and/or stress concentrations in fasteners and joints by providing

generous fillets, polishing surfaces, preloading bolts uniformly, etc. Stress tends to
make a material more anodic. Therefore, stress concentrations at the root of a crack
will make that portion of the bolt body more anodic, with respect to the adjacent
portion; this aids in the growth of fatigue cracks.

(5)

Various coatings can resist corrosion by:

(a) providing a barrier by isolating the bolt from the corrosive environment. Cadmium
is a common coating, which provides barrier protection.
(b) inhibiting the process of corrosion.
(c) provide galvanic/sacrificial protection of the anodic material. Zinc-coated, or
galvanized fasteners provide sacrificial protection, along with some barrier
protection.

(6)

Periodic replacement of the bolts, prior to failure, can be a practical solution. This
approach intensifies the need to be able to accurately predict the amount of life
remaining in a fastener, so that the bolted assemblies are not dismantled prematurely.
16- 11

FASTENERS

Stress corrosion cracking is one of the more serious reliability problems associated with bolting
applications. This condition is relatively common in many bolts, and may ultimately lead to sudden and
unexpected failure (See Figure 16.4). Although every metallic bolting material is susceptible to stress
corrosion cracking under certain conditions, carbon steel and low alloy quenched and tempered fasteners
with a hardness below about 35 HRC are generally immune (for environments such as humid air, aqueous
chloride, etc.) (Ref. 63).

Figure 16.4 Stress Corrosion Cracking

A mathematical model can be developed to make an approximate assessment of the useable life
remaining in a fastener through the manipulation of the empirical relationship (Ref. 63) for the
determination of safe levels of applied stress to resist stress corrosion cracking:

a -

MSCC

(*)

-0.5

(16-5)

'thd

Where:

2
a = Nominal stress, lbs/in
K,ISCC Threshold stress intensity factor for stress corrosion cracking,
ksi(in)05 (See Figure 16.5)
Cthd ~ Material shape factor, considered 1.5 for fasteners with threads
a = Maximum allowable material crack/flaw depth prior to exposure to
corrosive environment, in

16- 12

FASTENERS

Equation (16-5) can be rewritten to generate an expression for the maximum preload, Fijambien,, which
can be safely applied at the time of joint assembly and prevent failure from stress corrosion cracking:

AsKlscc

(Tra)- 0 - 5 . C ,Dii

' i,ffHlH*T>*

(16-6)

^thd

A s = Fastener tensile stress area, in2 [See Equation (16-4)]

CDia = Correction factor for varying bolt diameters & thread pitch (See
Table 16-5)

Where:

120
-

100

-\

c
o

80
-

J2

60

\o8.
\Soo
\ o

o0

to

o
o

40

0
e
O
0

c
C

\ _

20

o o o

o\

1()0

o \ o o e Qo o c
o \ o o* op0
o
\ ofc o
\
oo
\ o

1 50

l\

oo
%o
oo g o
"o og

c o

o
o

2C)0

250

300

Yield Strength, ksi

Figure 16.5 KISCC Factor vs. Material Yield Strength. (Low alloy, quenched
& tempered material, in humid environment) (Ref.63)
Much work has yet to be done in determining characteristics of the many fastener materials that aid
in the prediction of the onset of failure due to stress corrosion cracking. The estimation is, however,
subject to the following constraints, due to the limited experimental data available:
(1)

Susceptibility to stress corrosion cracking can increase significantly with elevated

temperatures; model estimation is limited to room temperature applications.

16- 13

FASTENERS

(2)

KISCC values shown in Figure 16.5 are limited to low alloy, quenched & tempered
fastener materials, such as:
- ASTM A193 B7, B16
- ASTM A490, A307, A540
- SAE J 429 GR.8
- AISI 4340

(3)

The corrosive environment used to derive the experimental data was based upon
humid air.

A correction term has been added to Equation (16-6), since there is a relationship between the depth
of the threads on a fastener and its sensitivity to stress corrosion cracking. Generally, the larger diameter
fasteners of a given material will have a lower threshold stress level than small bolts. For the same
reason, fasteners with fine pitch threads are less sensitive than those with coarse threads. Various
correction factors for bolt sizes are given in Table 16-5.
The line in Figure 16.5 represents the lower bound to the test points indicated. Therefore, KISCC can
only be determined empirically and is valid only for a tested material in a given temperature.
16.3.3.1 Estimating the Failure Rate of a Fastener in a Corrosive Environment

The following paragraphs illustrate an approach to the estimation of useable life remaining in a
fastener susceptible to the effects of corrosion (in the form of stress corrosion cracking).
Determine the desired design preload at ambient conditions to be developed by the
fastener.
Using this value, solve Equation (16-6) for the maximum crack depth, a. This value
should be between the limits, bolt surface finish tolerance < a > twice thread depth.
Once the value, a, has been solved for, and it has been checked to exist between proper boundaries,
it can be correlated to a plot of corrosion data. This corrosion data should include samples of the same
material, exposed to the same type of atmosphere used to compute the K1SCC factor. The weight loss per
area of specimen exposure can be computed using the following equation:
W = 1.18xl0-3 ya
Where:

(16-7)

W = Weight per unit surface area, lbs/in2

16- 14

FASTENERS

y = Bolt materia] density, lbs/in

a = Maximum bolt material crack/flaw depth prior to failure, in
After solving Equation (16-7) for W, the user may enter the graph in Figure 16.6 to estimate a useful bolt
life.

Time, years

Figure 16.6 Typical Coupon Corrosion Penetration Test

Results, (Low alloy steel in humid air) (Ref. 64)

16.3.4 Dynamic Loading

Machinery in operation is a dynamic situation. Fasteners used in many applications have a small
dynamic load superimposed on a much larger static preload. These dynamic or fluctuating loads are
augmented by stress concentrations and bending.
16.3.4.1 Determination of Base Failure Rate

Data available from fastener manufacturers that have performed extensive testing, can be used to
determine the base failure rate, XF B. However, since this data is somewhat specific to the conditions or
environment of the test, it is often difficult to locate data that will yield the base failure rate of a specific
16- 15

FASTENERS

type of fastener, under a particular set of loading conditions. This necessitates the development of a
procedure to estimate the base failure rate of a generic fastener, with various characteristics and loading
conditions.
Fatigue, as discussed in Section 16.2.2, can limit the useable life of a fastener in a dynamic loading
condition. Fatigue limit testing can be valuable in developing a model for fastener failure rates. A large
number of tests are necessary to establish the fatigue strength of a material due to the statistical nature of
fatigue. One of the most widely used fatigue testing devices is the R.R. Moore high speed rotating beam
machine (Ref. 62). Figure 16.7 illustrates the specimen and method. A motor spins a slender, round,
solid, polished test specimen, supported at each end but loaded in pure bending. The majority of
published fatigue strength data was obtained using this method (Ref. 61). The generated bending stress
and the number of stress reversal revolutions of the beam, required for failure, is recorded and graphed.

Pure bending
7.5 mm diameter
polished specimen

Pivot point
Bearings

Pivot point

Drive motor

Bearings

"o^zqjpnfo"
VMS/W/S>////.
Counter
for cycles
(f ' 3) Room temperature

Figure 16.7 Diagram of Rotating Beam Machine, with Detail of Specimen (Ref. 61, 62)
The stress values become less as the data is plotted against an increasing number of stress cycles. The
graph becomes horizontal in the case of ferrous metals and alloys after the material has been stressed for
a certain number of cycles. This is referred to as the 'endurance' or fatigue limit. Table 16-6 presents
endurance limit properties for several bolting materials. Aluminum, or other nonferrous materials do not
have a horizontal asymptote, hence limit. To develop a model to predict fastener failures under dynamic
loading, it is necessary to correlate the results of standard material fatigue tests to the geometry and
loading conditions of the fastener to be used. It must be noted that even when the material of the test
16- 16

FASTENERS

specimen and that of the mechanical fastener are identical, there will be significant differences between
the fatigue curves for the two. Therefore, although correction factors will be presented in an effort to
compensate for this. The user is cautioned that the analytical model developed will not yield absolutely
precise results.
If the shape of a fatigue curve is known, the statistical number of cycles to failure, N, or ultimately
the expected failure rate, X?B, can be found. If the S-N diagram is not available, there exists a means to
analytically determine it (Ref. 62). The equation of the S-N curve is given by:

(16-8)
a f = Fatigue stress at failure, lbs/in 2

Where:

N = Number of stress reversal cycles at failure

a,b = See Equations (16-10) & (16-11)
By taking the log of both sides of Equation (16-8) the following characteristics are noted:
The endurance limit occurs at N = 106
Low cycle fatigue terminates at N = 103
S-N curves terminate low cycle fatigue at a f = 90% of material ultimate tensile
strength (a T ult )
Then:
log a{ = log a + bQog N)

(16-9)

Where:

a =

(0.9<T T>ult ) 2

(16-10)

and:

b-

( log (0.9

aT.t)\

(16-11)

a e = Endurance or fatigue limit, lbs/in 2

Where:
CT

T,uit

Ultimate tensile strength, lbs/in 2

1 6 - 17

FASTENERS

The actual known fastener endurance limit value (Table 16-6) can be substituted for (ae) in Equations
(16-10) and (16-11) above. If the specific endurance limit is not known (which is generally the case) an
endurance limit for an S-N test specimen (of the same material) can be used. If this data is not readily
available, an approximation can be made using the relationships in Table 16-7.
16.3.4.2 Correction Factors for the S-N Test Specimen Data

The S-N test specimen must be corrected for the specific conditions and geometry of the fastener
under consideration. Correction factors have been established to account for the individual contributions
by surface finish, size differential, loading, temperature, etc. The following equation should be employed
when utilizing S-N data for fasteners based on rotating beam test specimen results:

* F = *?

Where:

'

SZ '

L '

SC

(16-12)

kF = Failure rate of fastener, failures/million hours

k FB = Base failure rate, failures/million hours = l/CTeS-N
ae S.N = Endurance or fatigue limit of S-N test specimen, lbs/in2 (See Table
16-7)
Csz = Multiplying factor considering the effects of size deviation from the
S-N test specimen (See Section 16.3.4.3)
CL = Multiplying factor considering the effects of different loading
applications (See Section 16.3.4.4)
CT = Elevated temperature multiplying factor (See Section 16.3.4.5)
C, = Multiplying factor considering for the severity of in-service cyclic
shock (impact) loading (See Section 16.3.4.6)
C sc = Surface coatings multiplying factor (See Section 16.3.4.7)
CK = Stress concentration multiplying factor for fastener threads (See Section
16.3.4.8)

It should be noted that rotating beam data generally carries with it, a great deal of scatter. Therefore,
any life determinations based on the data will be statistical at best. No attempt has been made in Equation
(16-12) to account for the statistical uncertainty. It has been suggested that rotating beam data reflects
a reliability in actual survival of only 50% confidence. A factor of 0.814, applied to Equation (16-12) is
encouraged by Reference 61, in order to introduce a 99% reliability confidence level in S-N endurance
test data and estimates.

16- 18

FASTENERS

16.3.4.3 Size Multiplying Factor

Smaller machine parts tend to exhibit greater fatigue strength than larger ones, all other configurations
and material properties being equal. Since larger surfaces have more defects overall, the probability of
failure is greater in larger parts. A correction factor is established to account for this, as well as the
bending of a solid circular material, without constant rotation (Ref 62):
For bending or torsional loading:

^"SZ

Where:

"

<""*""
0.3

(M.U,

d = Major diameter of fastener, 2 inches or less

For axial loading:

C sz = 1.0
16.3.4.4 Alternate Loading Multiplying Factor
Appropriate load factors for CL are presented in Table 16-8.
16.3.4.5 Temperature Multiplying Factor
Typical rotating beam data are acquired at room temperature. However, fasteners are often called
upon to clamp equipment at higher temperatures. Since a decline in static and dynamic strengths, creep,
and thermal expansion must all be taken into account at higher temperatures, the following factor should
be applied to the S-N test specimen data to achieve correction:
For steel operating above 160F:

ForT 0

> 160F, CT =

460 + 7V
opcr

ForTopCT<160F, CT = 1.0

16- 19

(16-14)

FASTENERS

Where:

Toper = Operating temperature of fastener, F

16.3.4.6 Cyclic Shock/Impact Loading Multiplying Factor

A correction factor, C(, must be applied when shock loads are present. In general, cyclic loads are
less severe than applied shock loading. The factors are presented in Table 16-9.

16.3.4.7 Surface Coatings Multiplying Factor

Surface treatments such as electroplating and spraying act to reduce the endurance limit. If any of
these operations are to be used, Table 16-10 provides the C sc multiplying factor.

16.3.4.8 Thread Correction Multiplying Factor

Observations of typical bolt failure pattern data from Ref. 62 have revealed that only about 15% of
failures occur under the head, due to the stress riser caused by the fillet. The risers found in the thread
area accounted for the other 85%. Therefore, Table 16-11 presents the multiplying factor, CK, for stress
risers caused by the introduction of threads. The effects of notch sensitivity and surface finish have been
incorporated.

16-20

FASTENERS

Table 16-1. Elasticity Modulus (106 lbs/in2) as a Function of Temperature (Ref. 63)

SPECIFICATION
ASTM
A193

GRADE
B5
B6
B7
B8-CL 1
B16

ASTM
A307

-325

TEMPERATURE , degrees F
-200
70
400
600

800

32.9
31.2
31.6
30.3
31.6

32.3
30.7
31.0
29.7
31.0

30.9
29.2
29.7
28.3
29.7

29.0
27.3
27.9
26.5
27.9

28.0
26.1
26.9
25.3
26.9

26.1
24.7
25.6
24.1
25.5

31.4

30.8

29.5

27.7

26.7

24.2

ASTM
A320

L7
L43
B8

31.6
31.6
30.3

31.0
31.0
29.7

.29.7
29.7
28.3

27.9
27.9
26.5

26.9
26.9
25.3

25.5
25.5
24.1

ASTM
A325

Type
1,2,3

31.4

30.8

29.5

27.7

26.7

24.2

ASTM
A354

31.2

30.8

29.3

27.5

26.5

24.0

ASTM
A449

31.2

30.6

29.3

27.5

26.5

24.0

ASTM
A453

30.3

29.7

28.3

26.5

25.3

24.1

ASTM
A490

31.2

30.6

29.3

27.5

26.5

24.0

ASTM
A540

B21.B22
B23.B24

31.6
29.6

31.0
29.1

29.7
27.6

27.9
26.1

26.9
25.2

25.5
23.0

SAE
J429

GR 1,2,4
GR 5,7,8

31.4
31.2

30.8
30.6

29.5
29.3

27.7
27.5

26.7
26.5

24.2
24.0

16-21

FASTENERS

Table 16-2. Bolt Yield Strength (ksi) as a Function of Temperature (Ref. 63)

SPECIFICATION
ASTM A193
ASTM A307
ASTM A320
Stainless Steel
Stainless Steel
ASTM A540

GRADE

70

B8-C1 1
GRB
L7,L43,L7A
17-4 PH
420
CL1
CL2
CL3
CL4
CL5

30
36
105
157
80
150
140
130
120
103

TEMPERATURE, degrees F
800
400
600
21
31
92
144
71
134
125
116
108
92

18
27
84
136
66
124
116
108
99
85

1000

17

73
...

...

...
...
...

93

...
...
...
...

...

Table 16-3. Typical Torque Coefficients (Ref. 63)

FASTENER MATERIAL/COATING

TORQUE COEFFICIENT

Aluminum on AISI 8740 alloy steel

Mild or alloy steel on steel
Stainless steel on mild/alloy steel
1" dia. A490
1" dia. A490 (rusty)
Black Oxide
Cadmium plate (dry)
Cadmium plate (waxed)
Galvanized A325
Galvanized, hot-dip A325
Gold on stainless steel or beryllium copper

0.52
0.20
0.30
0.18
0.39
0.18
0.20
0.19
0.46
0.09 - 0.37
0.40

Graphitic coatings
Machine Oil
Moly paste or grease
Solid film PTFE

0.09 - 0.28
0.21
0.13
0.12
0.29
0.30

Zinc plate (waxed)

Zinc plate (dry)

Exposed outdoors for two weeks

16-22

FASTENERS

Table 16-4. Thermal Coefficients, a, of Linear Expansion (10"* in/in/T) Evaluated

at 70T (Ref. 63) (See Table 13-5 for additional materials)

SPECIFICATION
ASTM A193

ASTM A307
ASTM A320

ASTM
ASTM
ASTM
ASTM
ASTM

A325
A354
A449
A453
A490

GRADE

70

B5
B6
B7
B8
B16

6.5
5.9
5.6
8.5
5.4
6.4
5.6
6.2
6.2
8.5
6.2
6.2
6.2
9.1
6.2

L7
L43
L7M
B8CL1

651

TEMPERATURE, degrees F
800
400
600
7.0
6.4
6.7
9.2
6.6
7.1
6.7
7.0
7.0
9.2
7.0
7.0
7.0
9.7
7.0

7.2
6.5
7.3
9.5
7.2
7.4
7.3
7.3
7.3
9.5
7.3
7.3
7.3
10.0
7.3

7.3
6.7
7.7
9.8
7.6
7.8
7.7
7.6
7.6
9.8
7.6
7.6
7.6
10.2
7.6

Table 16-5. Correction Factors for UNC Thread Bolt Sizes, (CDU)
Derived from Data (Ref. 63)
BOLT DIAMETER
(inches)
1.0 and below
1.5
2.0
2.5
3.0
4.0

BOLT MATERIAL HARDNESS*

22 HRC
31 HRC
38 HRC
1.0
0.93
0.87
0.84
0.84
0.84

1.0
0.92
0.87
0.82
0.82
0.82

1.0
0.95
0.88
0.85
0.85
0.85

Data based on max initial crack depth (a) equal to thread depth

16-23

FASTENERS

Table 16-6. Endurance Limit Properties for Various Bolting Materials (Ref.63)
MATERIAL GRADE

ENDURANCE LIMIT
SIZE RANGE

OR CLASS

1/4 - 1 in

SAE5

AT 106 CYCLES
18.6 kpsi

1 1 / 8 - 1 1/2 in

16.3 kpsi

1/4 - 1 1/2 in

20.6 kpsi

SAE8

1/4 - 1 1/2 in

23.2 kpsi

ISO 8.8

M16-M36

129 MPa

ISO 9.8

M1.6-M16

140 MPa

ISO 10.9

M5 - M36

162 MPa

ISO 12.9

M1.6-M36

190 MPa

Metric M16, CL 8.8

M16

10.2 ksi

Metric M14 x 1.5

M14X1.5

7.1 -11.4 ksi

SAE7

SAE J429, GR 8

18 ksi

Metric CL 10.9

M12X1.25

M10, grade 12.9

8 ksi
6.9-10.7 ksi

Table 16-7. Formulas for Estimating the Endurance Limit (aeS_N) of S-N Test Specimens (Ref. 61)
For Steels, where crT ult < 200,000 psi:
CT

e,S-N

-5

CT

T,ult

For Steels, where CTT ult > 200,000 psi:

CT

e,s-N =

00,000 psi

For Aluminum Alloys (wrought):*

e,S-N

-4

CT

T,ult

For Aluminum Alloys (cast):*

CT

e,S-N

-3

CT

T,ult

NOTE:The endurance limit for nonferrous alloys is taken to occur at

approximately 10 8 cycles.

16-24

FASTENERS

Table 16-8. Load Multiplying Factors (Ref. 62)

TYPE OF LOAD APPLIED

cL
0.923
1.0
1.0
0.577

Axial (aT utt < 220 kpsi)

Axial (aT'u)t > 220 kpsi)
Bending
Torsion & shear

Table 16-9. Multiplying Factor for Impact Loading (Ref. 61)

IMPACT CATEGORY

'i

LIGHT (rotating machinery - motors, turbines, centrifugal pumps)

MEDIUM (rotary & reciprocating motion machines - compressors, pumps)
HEAVY (presses for tools & dies, shears)
VERY HEAVY (hammers, rolling mills, crushers)

1.0
0.8
0.6
0.4

Table 16-10. Multiplying Factor for Surface Coatings (Ref. 61 & 62)
SURFACE TREATMENT

'SC

Electroplating (chromium, nickel, cadmium)

Electroplating (zinc)
Metal spraying

0.65
1.00
0.86

Table 16-11. Multiplying Factor for Threaded Elements, CK (Ref. 62)

SAE GRADE
BOLT

ROLLED
THREADS
CK

0-2
4-8

2.2
3.0

16-25

MACHINED
THREADS
CK
2.8
3.8

THIS PAGE INTENTIONALLY LEFT BLANK

CHAPTER

17

MECHANICAL COUPLINGS
17.1 INTRODUCTION

A coupling, typically, is a device which makes a semi-permanent connection between two shafts.
Various types of couplings have been developed, and can be classed according to the relative positioning
of the coupled shafts. Figure 17.1 illustrates common types of couplings. This chapter will examine the
collinear shaft coupling and the intersecting shaft centerline coupling, or "universal joint", to which it is
often referred.
Of the three basic designs of collinear shaft couplings shown in Figure 17.1, the most widely used
employ mechanical connections. These mechanically connected couplings can be further grouped into
either flexible or rigid types.

COUPLINGS""]
{ffelalivw haft position)
(CollinMr)
I
(BuicDign|

(PanMj
Hooka's
Schmidt
Fluid

(intwMding)
I

Mechanical
1

Electro-Mechanical

HooKe's
Bendix-Weiss
FUeppa, Tracts

(Function)

I
Flexible

Rigid

Flange

Collar

Compression

_C
Special

OverloadRelease

Brake
Flywheel

Standard

Belt.
Chain

Material
Flexibility

Mechanical
Flexibility

Elastomer

Chain & Gear

Metallic Grid

Combined
Mechanical and
Material Flexibility

Disc

Figure 17.1 Common Classifications for Shaft Couplings (Ref. 75)

17- 1

COUPLINGS

17.2 RIGID COLLINEAR SHAFT COUPLINGS

Rigid couplings are used when shafts have good collinear alignment. Although simple in design, rigid
couplings are usually restricted to relatively low speed applications where good shaft alignment or shaft
flexibility can be expected. Three major types of rigid couplings are shown in Figure 17.2.
(1) The clamp/compression type coupling relies on the clamping force developed from
the fasteners to connect the two shafts. Torsional forces are normally transmitted via
shaft keys.
(2) The sleeve type coupling is generally a single piece housing that transmits torque via
shaft keys or tapered bushings. Axial positioning of the coupling is maintained by
retaining rings or threaded shaft collars.
(3) The flange coupling mates two coupling halves together in a plane that is
perpendicular to the shaft centerline. Torque can be transmitted between shafts either
via the bolted fasteners in the flange, the frictional contact between flange faces, and
the key.

CLAMP/COMPRESSION TYPE

FLANGE TYPE

y///////////\

W////////.
SLEEVE/COLLAR TYPE

Figure 17.2 Rigid Couplings (Ref. 76)

17-2

COUPLINGS

17.3 FLEXIBLE COLLINEAR SHAFT COUPLINGS

Flexible couplings are used to connect collinear shafts subject to one or more kinds of misalignment,
while reducing the effect of shock and impact loads that may be transferred between shafts. Figure 17.1
indicates that these types of couplings can be further classified into tree groups: couplings employing
material flexibility, couplings employing mechanical flexibility, and couplings utilizing both types of
flexibility.
Figure 17.3 shows examples of flexible couplings. Flexible couplings employing rigid parts
(mechanical flexibility) transmit torque without backlash or angular play other than that due to
manufacturing tolerances and wear. These types of couplings are generally incapable of dampening the
transmittal of shock and impact loads. The bellows type coupling is used in applications involving large
amounts of shaft misalignment, combined with low radial loading. The disc-type coupling can
accommodate a smaller amount of angular misalignment than the bellows type, but by adding additional
metallic "disks", radial load (torsional) carrying capacity can be greatly increased.

CLAM* TYPC

BELLOWS TYPE

FLEXIBLE INSERT TYPE

DISC-TYPE

Figure 17.3 Flexible Couplings (References 66, 75, 76)

17-3

COUPLINGS

Flexible couplings containing resilient components (material flexibility) can accommodate shaft
misalignment, as well as dampen shock and impact loads. This type of coupling possesses torsional
flexibility, often acting as "detuning" devices by altering the vibration properties of the connected system.
The flexible insert type coupling shown in Figure 17.3 transmits torque through an oil resistant rubber
spider assembled between two pairs of axially overlapping rigid jaws.
Examples of the third type of flexible coupling type (material and mechanical flexibility) are the
metallic grid and the diaphragm coupling. The metallic grid coupling consists of two metal half-bodies
with slots cut into the peripheries to seat a serpent like spring steel alloy grid. The deflection of the
springs under load help to reduce shock loading, thereby utilizing the best characteristics of material and
mechanical coupling flexibilities.
Table 17-1 indicates the range of performance characteristics possible with flexible couplings. Due
to the varying ranges of performance, it is easy to see why some caution must be taken in selecting the
correct coupling for the operating conditions to be encountered. Diaphragm couplings are rated for high
speed operation, but accept only a small amount of misalignment. Although elastomeric and gear type
couplings can accommodate a fair amount of angular misalignment, in general, the gear coupling is rated
to accept heavier duty (horsepower). Again, a tradeoff must be made, since gear couplings require
periodic maintenance in the replenishment of lubrication and seals.

Table 17-1. Typical Flexible Coupling Performance Characteristics (Ref. 77)

TOLERABLE MISALIGNMENT
COUPLING
TYPE

ANGULAR

PARALLEL

tog)

(In)

MAXIMUM
SPEED
(rpm)

AXIAL
(In)

HP PER
100 RPM

TORSIONAL
RIGIDITY
(Ib-ln/deg)

Bellows

5-10

0.008-0.010

0.035-0.055

Diaphragm

0.17

0.166

0.127

34,300 - 12,300

14 - 4,270

.5/disc pac

0.06-0.2

21,250 - 7,000

1.2-170

Elastomeric

3.0

0.031

0.031

5,800 - 1,900

10-476.7

28 - 1,348

Gear

3.0

.034-145

5,400 -1,830

40 - 2,507

25,000-1.58M

Disc

Metallic Grid

.06-.25

.002-.02

.012-.05

2,618-35,989

10,000-540

0.67-11,900

A representative graphic comparison of flexible coupling types is shown in Figure 17.4. Figure
17.4(a) shows the clear superiority of an elastomeric material flexible coupling over the other two types
17-4

COUPLINGS

<

3.0

Radial1 Force

/Steel Disk or Grid

^lment, Degrees

when angular and parallel shaft misalignments are excessive. However, the mechanicalflexibilityof the
disk-type or metallic grid can carry a much greater load at smaller degrees of shaft misalignment. This
is illustrated in Figure 17.4(b).

X. Rubber Coupling

h.

1.

()

Rubber Coupling

N . Steel Disk or Grid

\

l
0.025

1
0.050

1
0.075

^S 1
0.010

Misalignment

Parallel Misalignment, inches

(a)

(b)

Figure 17.4 Coupling Characteristics

17.3.1 Failure Modes of Flexible Couplings

Table 17-2 lists various failure modes encountered when using flexible couplings. Many of these
failures can be avoided by properly selecting the correct type, size and rating for the intended operational
environment
Coupling reliability is affected by the method used to mount the coupling hub on the shafts of
connected equipment. The preferred procedure is to use an interference fit between hub and shaft of
approximately 0.005 inches per inch of shaft diameter. Although clearance fit connections work
satisfactorily for certain types of machinery, this practice should be avoided on any critical piece of
equipment, because the reliability of the system can be affected. The most common cause of failure in
this instance would be fretting of the coupling bore and of the shaft, and rolling of the key within the
keyway due to looseness in the connection.

17-5

COUPLINGS

Table 17-2. Failure Modes for Flexible Couplings (Ref 78)

FAILURE MODE

FAILURE CAUSE

Worn flexing element or shaft bushings

- Excessive shaft misalignment

Ruptured elastomeric flexing element

- Torsional shock overload

Sheared hub pins or teeth

- Torsional shock overload

Fatigue of flexing element, hub pins, or discs

- Excessive starts and stops

- Torsional vibration

Shaft bearing failures

- Lubricant failure
- Excessive shaft misalignment
- Operational temperature extremes

Loose hubs on shaft

- Torsional shock overload

- High peak-to-peak torsional overload

Worn gear teeth

- Lubrication failure
- High peak-to-peak torsional overload

High pitched, staccato, or clacking noise

- Excessive shaft misalignment

- High peak-to-peak torsional overload
- Lubricant failure

Swollen, distorted, or cracked elastomeric

flexing member, severe hub corrosion

- Chemical attack
- Excessive heat

Initial alignment of machinery is one of the most critical factors affecting coupling performance and
reliability; this is true regardless of the type of coupling employed. It should be remembered that flexible
couplings are basically in-line devices which are intended to compensate for small amounts of shaft
misalignment caused by bearing wear, foundation settling, thermal growth, etc. The more attention paid
to initial alignment, the larger the reserve margin that will exist for accomplishing the intended purpose
of the coupling. There are definite advantages to be gained from aligning equipment to more precise
values than those recommended by the manufacturer. The primary advantage, of course, is that the reserve
margin for accepting misalignment during the life of the machinery is thereby increased.
Another factor to be considered, and one which is most important to satisfactory performance, is
adherence to the manufacturer's bolt torquing recommendations. Loose bolts can induce fretting corrosion,
as well as hammering and pounding which will eventually destroy the bolts and coupling discs.
Equipment maintenance is probably the most important factor affecting the life of the operating
experience of gear couplings in the petroleum refining industry. Indications from the field show that at
17-6

COUPLINGS

least 75% of all coupling failures are due to lack of lubrication. It should be kept in mind that even a well
aligned gear type coupling requires periodic replenishment of the lubricant due to heat, oxidation, etc.
Some failure modes can be experienced with the accumulation of operating time. Specifically, shaft
misalignment can develop after many cycles of operation as a result of:
Settling Foundations - Once a coupled system's bed plate is grouted, it may experience
settling due to foundation conditions. During welding operations of the bedplate, residual
stresses may warp the base, causing difficulty during initial alignment.
Thermal Growth - Due to differences between component material thermal expansion
coefficients, at elevated operating temperatures, shaft centerlines may "grow" to be farther
apart than at room temperature. In situations where a system will normally operate at
elevated temperatures (i.e. steam turbine driven equipment, etc.), the zero misalignment
condition should be set at these elevated temperatures. In addition, total operational
scenarios must be considered. If the system has a substantial cool-down or warm-up
period of operation, then consideration must be given as to whether or not operations can
be sustained during these periods of misalignment.
Connecting Piping Reactions - If, during extended operation, piping braces loosen or fail,
the coupled components may have to support excessive reaction loads from connecting
pipes. This can put a severe strain on bearings and coupling alignment.
Vibration - Excessive vibration can act to bring about material fatigue, fastener loosening,
or stress corrosion cracking. After extended operation, component wear can open
clearances and augment vibration amplitudes. Increased vibration can act to worsen shaft
misalignment.
Bearing Wear - Lack of lubrication, contamination of the bearings, and wear can
deteriorate a bearings performance over a period of time. Bearing failure can increase
vibration, which can in turn, add to shaft operational misalignment.
17.4 CHARACTERISTIC COUPLING EQUATION

In machine design, it often becomes necessary to fasten or join the ends of two shafts axially so that
they will act as a single unit to transmit power. This transmission is characteristically described in
Equation (17-1):

17-7

COUPLINGS

396,000 Hmd
4itNI
Where:

(17-1)

oc = Yield strength of the coupling in shear, lbs/in2

H m = Input shaft horsepower ft-lbf/sec
d = Outside diameter of coupling, in
N = Shaft speed, rpm
I = Polar moment of inertia of coupling, in4

Calculated stress from Equation (17-1) can be converted to an expected failure rate for the coupling
through various empirical data developed by various manufacturers for different types of couplings. An
example of the type of data that coupling manufacturer's develop when testing their coupling designs is
shown in Figure 17.5. The data is also design specific and carries speed and load limitations. The stress
calculated from Equation (17-1), can be converted to a base failure rate using relationships such as those
shown in Figure 17.5.

Coupling
Shear Stress
(Measured)

No Failure

_L
103

10 4

1.03

10*

107

10'

10"

10'

Cycles to Failure

Figure 17.5 Stress as a Function of Cycles to Failure for a Disc-type Flexible Coupling (Ref. 71)

17.5 FAILURE RATE MODEL FOR COUPLING

In the event that manufacturer's data is not readily available, a base failure rate for a coupling can
sometimes be derived from the sum of its component parts. A typical gear coupling unit is shown in
Figure 17.6. In this example of a gear coupling unit, the failure rate is given by:

17-8

COUPLINGS

Where:

X^ = Failure rate of coupling, failures/million cycles

XGR = Failure rate of gears, failures/million cycles (See Chapter 8)
^-SE = Failure rate of seals, failures/million cycles (See Chapter 3)
^.H = Failure rate of coupling housing including hubs, failures/million
cycles (See Chapter 10)

Figure 17.6 Gear Coupling (Ref. 65)

17.6 UNIVERSAL JOINT (INTERSECTING SHAFT CENTERLINE COUPLING)

The universal joint, also known as the Cardan or Hooke Coupling consists of two yokes, connected
by a cross through four bearings. The universal joint can be used in place of couplings where the only
misalignment between shafts is angular and permanent. It cannot be used to compensate for parallel
misalignment of axial play. When this device, pictured in Figure 17.7, is operated at an angle, 5,
nonuniform motion is developed. When the driving yoke of the joint is operating at a uniform rotational
velocity, the driven yoke rotates non-uniformly with respect to angular displacement, velocity, and
acceleration.

17-9

COUPLINGS

Figure 17.7 Typical Universal Joint (Ref 74)

17.7 CHARACTERISTIC EQUATION FOR UNIVERSAL JOINT
A relationship for the output shaft velocity (cc^) as a function of the input velocity (co,), the angle
between shafts (8), and the angular displacement of the input shaft (9) is given by (Ref. 74):

o>j cos 6
<o2 =
Where:

(17-3)

1 - sin 2 sin2 6

co2 =
co, =
8=
6=

Output angular velocity, rev/sec

Instantaneous angular velocity, rev/sec
Joint angle, degrees
Instantaneous angular rotation, degrees

The characteristics of Equation (17-3) are plotted in Figure 17.8. The motion of the joint has the
following characteristics (Ref. 79):
The average angular displacement and velocity is uniform. That is, if the driving yoke
rotates one revolution, the driven yoke also rotates one revolution. However, during
this one revolution, the incremental angular displacement (6) and instantaneous angular
velocity (a>2) and acceleration are not transmitted uniformly through the joint.

17- 10

COUPLINGS

The angular displacement of the driven yoke (62) during one revolution lags and leads
the driving yoke twice.
Assuming constant input motion of the driving yoke, the driven yoke has a maximum
difference of output angular velocity (co2) with respect to the driving yoke when the
driving yoke lies in the plane described by the joint angle (8), and also, when the
driving yoke is normal or perpendicular to this plane. The driven yoke has the same
instantaneous angular velocity (co, = co2) as the driving yoke at approximately 45
degrees from the joint angle plane for small joint angles.
The maximum instantaneous angular acceleration and deceleration of the driven yoke
occurs when the angular velocity of the driven yoke is the same as the driving yoke
(co, = co2). Also, the maximum acceleration and deceleration coincide with maximum
lag and lead respectively.
The incremental angular displacement, velocity, and acceleration increase as the joint
angle (5) increases, but at an increasing rate.

r
>>
tH
u
o
J
u

Angles between driving

and driven shaft (6), deg

>
<

CONSTANT DRIVE SHAFT, u

o
z
<

20

40

60

80

100

120

M0

160

180

ROTATION OF DRIVE SHAFT (6), degrees

Figure 17.8 Velocity Characteristics of a Universal Joint

The principal advantages of the universal joint are its relatively low cost to manufacture as well as
simple and rugged construction, combined with long life and ease of serviceability. In addition to
providing the necessary torque capacity in a limited operating space, the joint has the thrust capability to
17- 11

COUPLINGS

withstand relatively high, externally imposed axial forces which may be produced, for example, by a
sliding spline when shaft length changes are required during vehicle suspension movements .
The universal joint becomes a much more useful coupling device when it is used in tandem with
another universal joint In such applications, a constant velocity ratio between input drive shaft and output
drive shaft is established. The restrictions for this to occur include:
The input and output shaft yokes must lie in the same plane
The angles between driver, driven, and connecting shafts must be equal
(See Figure 17.9)

Figure 17.9 Universal Joints Used in Tandem for Constant Speed Ratios

17.8 FAILURE RATE MODEL FOR UNIVERSAL JOINT

The failure rate of a universal joint can be presented as a sum of the failure rates of its individual
component parts:

17- 12

COUPLINGS

Where:

A-UJ = Failure Rate of Universal joint, failures/million cycles

A.BE = Failure Rate of bearings, failures/million cycles (See Chapter 7)
A.SE = Failure Rare of seals, failures/million cycles (See Chapter 3)
Xj, = Failure Rate of coupling housing, failures/million cycles (See
Section 17.9)
A.F = Failure Rate of Coupling Fasteners, failures/million cycles (See
Chapter 16)

The life expectancy of a joint is a function of the application requirements such as torque, speed, and
joint angle, as well as other factors. Therefore, the basic load-speed-life-stress relationships applicable to
rolling element bearings are useful in life computations for universal joints employing similar rolling
elements. These relationships have been established in the bearing chapter of this handbook. Although
the contribution from terms other than in Equation (17-4) must be examined, in many cases A.BE can drive
the relationship.
17.9 FAILURE RATE OF THE COUPLING HOUSING

The housing for a mechanical coupling is a very reliable component. Defined as A.H, the housing
failure rate will have a greater effect on the reliability of the coupling unit from the standpoint of how it
affects other less reliable components. For instance, the housing may have an average life expectancy of
10 years where a seal or bearing may have only one or two years. However, the type of housing used
in the coupling assembly can have a large effect on the lifetime of the bearings and seals. This is due to
differing loads placed on the shaft by the lubricant. The failure rate of the coupling housing (A.H) itself
be estimated at 0.001 failures/million cycles.

17- 13

THIS PAGE INTENTIONALLY LEFT BLANK

CHAPTER

18

SLIDER CRANK MECHANISMS

18.1 INTRODUCTION
The slider crank mechanism is usually not thought of as an independent mechanical component but
rather as an integral part of a more complex piece of equipment such as the piston rod/piston components
of an internal combustion engine. Figure 18.1 shows a typical slider crank mechanism, the normal
function of this particular device being the conversion of rotational force into a linear force or vice versa.

Figure 18.1 Typical Slider Crank Mechanism

The typical slider crank mechanism includes bearings, rods, linkages, seals and a sliding surface such
as a cylinder wall. Wear of these parts becomes the primary failure mechanism, the failure modes and
effects being dependent upon the application. The geometry of the design plays an important part of the
reliability analysis since the mechanical advantage and the wear pattern are greatly influenced by the
positioning of parts.
18-1

SLIDER-CRANK

18.2 FAILURE MODES OF SLIDER CRANK MECHANISMS

The more predominant failure modes of a slider crank mechanism can be readily identified with
frictional action on like or dissimilar materials. The component parts of a slider crank mechanism are
subject to wear in varying degrees and the normal approach to reliability analysis is to establish the
expected life of the individual parts in the projected operating environment
Bearing wear will usually be influenced by the lubrication film thickness maintained, the side load
on the bearing, the contamination level, and corrosion. Chapter 7 presents an approach to evaluating
bearing life for theses considerations.
Slider crank wear will manifest itself in several ways to cause the degradation of the slider crank to
the point of failure. This threshold of failure must be defined in terms of jamming friction, side
movement, limit of travel, alignment of parts, etc. Some of the failure modes to be considered are
included in Table 18-1.

Table 18-1. Typical Failure Modes of Slider Crank Mechanisms

FAILURE CAUSE

FAILURE MODE
Linkage does not move in intended direction

Bearing parts separate causing jam

Restricted travel limited of linkage

Excess load combined with loss of bearing

material

Broken linkage

Fatigue of linkage member

Linkage alignment out of tolerance

Bearing deformed

The function of a mechanical seal is to provide a barrier between the moving or rotating surfaces and
prevent the trapped fluid from migrating into undesired areas. For example, in the case of an engine
cylinder the rings on the piston prevent the combustion gases from going into the lubricant and also
prevent loss of energy due to combustion gas by-pass. The O-ring and flat seals are designed to prevent
the lubricant from contaminating other part areas and also, the loss of the lubricant. Seals and gaskets are
described in Chapter 3 and the models contained therein should be used for the analysis of seal and gasket
reliability.
Rods and linkages within the slider crank mechanism are subject to fatigue and may crack although

18-2

SLIDER-CRANK

this failure mode is rare.

18.3 MODEL DEVELOPMENT

The failure rate model for the slider crank mechanism can be expressed by the following equation:

^SC

Where:

HE + ^ R D +

SE

^RI

^SM

(*-l)

A.sc = Total failure rate for slider crank, failures/million operations

XBE = Failure rate for bearings, failures/million operations (See Section
18.3.1)
X^j = Failure rate for rods/shafts, failures/million operations (See Section
18.3.2)
XSE = Failure rate for seals/gaskets, failures/million operations (See Section
18.3.3)
XR, = Failure rate for rings/dynamic seals, failures/million operations (See
Section 18.3.4)
=
^SM Failure rate for slider mechanism, failures/million operations (See
Section 18.3.5)

Reliability models can be developed for each specific part or parts and the combination of failure rates
in accordance with the slider crank reliability model will provide the projected design life.
18.3.1 Bearings

One of the predominant failure modes of a slider crank mechanism is caused by a malfunctioning
bearing surface. Both roller and sliding bearings can be included in a slider crank design. Failure rate
equations for roller/ball bearings are included in Chapter 7.
Typical sliding bearings are shown in Figure 18.2. The sliding bearing is usually comprised of three
elements including the inner surface member, the outer surface member, and the lubricant film separating
the inner and outer members. The sliding bearing is characterized as a shaft rotating within a sleeve.
Sliding bearings can be classified by material, load direction, lubrication method, and configuration.
Sliding bearings are well suited for large loads encountered in slider crank mechanisms. Although sliding
bearings may have less running friction than rolling bearings, their starting friction is much higher.
Rolling bearings are also easier to lubricate during service life. Sliding bearings are well suited to low
speed applications where shock and vibration occur such as punch presses and steam hoists. And for
many applications such as hoists, sliding bearings need only minimal lubrication.
18-3

SLIDER-CRANK

Hydrodynamic sliding bearings are characterized by the load being carried by a film of oil generated
by rotation and suitable oil grooves. The friction at start-up is large due to direct contact between the
journal and sleeve while the friction during operation is moderate, the bearing acting like a low efficiency
pump. The life of the bearing then is limited due to wear at start-up and stopping.

SLIDING BEARINGS

Metallic

i
(Loading)

l__
Axial

Non metallic

(Lubrication)

Solid
Bushing

Radial

Hydrodynamic

1
(Configuration)
I

Hydrostatic

Split
Bushing

Self-lubrication

Figure 18.2 Sliding Bearing Classifications (Ref. 19)

The reliability of the sliding crank mechanism will, of course, be affected by the lubricant being used.
All liquids provide lubrication but some do better jobs in particular applications. Dry lubricants, for
example, will adhere very well to the bearing surfaces but tend to wear quite rapidly as petroleum oils.
Their capacity to minimize friction, however, is only fair. The concept of lubricant viscosity is illustrated
in Figure 18.3.
A film of lubricant adheres to the stationary plate and supports a moving plate. In order to move the
upper plate to the right at a constant velocity V, it is necessary to exert some constant force F. Thus a
shear stress is applied at the wetted surface of the moving plate equal to (Ref. 19):

(18-2)

T =

Where:

A
T = Shear stress, lbs/in2
F = Applied Force, lb
A = Area of plate surface in contact with lubricant, in2
18 -4

SLIDER-CRANK

Moving member

y////////2uy/j
^

Fixed member

Figure 183 Lubricant Viscosity (Ref. 19)

The rate of shearing strain R' is defined as the ratio of the velocity V to the thickness h of the
lubricant film ( Ref. 19):

(18-3)

The ratio of shearing stress to rate of shearing strain is called the dynamic viscosity, v (Ref 19):

v =

_ Fh
R'
AV
T

(18-4)

Three types, or regimes, of lubrication occur in practice. They differ in the degree to which the
lubrication is carrying the load. A full film lubrication physically separates the shaft and bearing surfaces
by a relatively thick lubricant film of about 15 microns. This film prevents any metal-to-metal contact
at the operating conditions. The coefficient of friction will be low, usually not above about 0.005. Full
film operation implies minimum power losses and maximum life expectancy of the parts.
Complete boundary lubrication means that the bearing and shaft surfaces are being rubbed together
with only a very thin lubricantfilmadhering to each surface and preventing direct contact. The coefficient
of friction is high, in the range of 0.1.

18-5

SLIDER-CRANK

Mixed film lubrication means that there is both boundary and hydrodynamic lubrication. Part of the
load is carried by small pools of self-pressurized lubricant. Other areas of the surfaces are rubbing with
only a thin film of lubricant separating the peaks. A typical friction coefficient for this regime is 0.02.
Figure 18.4 shows the coefficient of friction plotted against a bearing characteristic number vn/P. The
three operating variables in this bearing characteristic number are the lubricant's viscosity, shaft speed,
and unit bearing load:

vn

a=
Where

a
v
n
P

=
=
=
=

(18-5)
Bearing characteristic number
Lubrication viscosity, lb-min/in2
Shaft speed, revolutions/sec
Unit bearing load, lbs/in2

Maximum/

c
o

"o
it

Friction Parameter, vn/P

Figure 18.4 Variation of Friction Coefficient with the vn/P factor (Ref. 19)
The unit bearing load is defined as the ratio of the bearing's load to its projected area (Ref. 19):
18-6

SLIDER-CRANK

P =
DL
Where:

(18-6)

W = Bearing load, lb
D = Bearing diameter, in
L = Bearing length, in

This bearing characteristic number provides a method of determining any potential problem with
lubricant film. Any low viscosity, low shaft speed, or high unit bearing load implies a low value for vn/P.
Conversely, the higher vn/P, the easier it is to establish a full-load-supporting film.
For the largest values of vn/P, there is full-fluid-film, or hydrodynamic, lubrication. In this regime
of operation the coefficient of friction attains a minimum of about 0.001. A greater vn/P value will assure
an adequately thick film and a margin of safety with a somewhat greater power loss. The lowest values
of vn/P correspond to the regime of complete boundary lubrication. The friction coefficient remains
constant throughout this regime; its actual value depends on the character of the surfaces and the lubricant.
The midregime is that of mixed-film lubrication. In this regime a decrease in vn/P is accompanied by
a sharp increase in friction coefficient.
Most of the bearings utilized in mechanical devices are considered light service and operate in the
mixed-film or boundary lubrication regimes. Typical office equipment and appliances with latching
mechanisms contain bearings with little or even no lubrication and without the proper operating conditions
to develop a full-lubricant film. Yet they survive and they provide a low-cost solution to the problem of
supporting and controlling machine members in relative motion.
Manufacturers of bearings for light service usually base bearing selection on the PV factor, the product
of unit bearing load P and rubbing velocity V. This factor indicates what bearing temperature will be
reached and what rate of wear can be expected. Temperature rise and wear rate are maintained within
reasonable limits by controlling the PV factor.
The unit bearing load P, already defined by Equation (18-6) is the ratio of the bearing's load to its
projected area. The rubbing velocity V must be calculated differently for oscillating shaft motion than
for continuous rotation. For continuous rotation the rubbing speed is (Ref. 19),
V=5nDn
Where:

(18-7)

V = Rubbing velocity, ft/min

18-7

SLIDER-CRANK

D = Bearing diameter, in
n = Shaft speed, revolutions/sec
However, if the shaft is oscillating relative to the bearing, the design value for V is based on the average
rubbing speed (Ref 19).

V = ^
Where:

l
72

(18-8)

G = Total angle traveled per cycle, degrees

f = Frequency of oscillation, cycles/sec

The use of sleeve or journal bearings in severe service requires a full bearing or a thick lubrication
film to support the load. While an external pump may be used to supply a lubricant under pressure to the
bearing's feed hole, within the bearing itself it is the shaft that acts as a pump and pumps the oil adhering
to it into the wedge-shaped oil film that supports the load. With the shaft stationary, the shaft simply rests
on the bottom of the bearing. But at start-up the shaft begins to roll up the bearing wall. As it climbs,
it also begins to pump oil between itself and the bearing. As this oil is pumped, the shaft lifts off the
bearing surface and moves in the direction of rotation. At operating speed, the shaft has developed a
wedge-shaped film between itself and the bearing that supports the shaft and its load. The radial
displacement of the shaft's centerfromthe bearing's center is the eccentricity, e. The pressure distribution
in the oil film achieved depends on factors such as shaft speed, load, lubricant viscosity, bearing clearance,
and length-to-diameter ratio.
From Chapter 7, the failure rate of a bearing is obtained using the following equation:
X.BE *
Where:

A.BE
A.BE B
Cy
Cv
Ccw

V B

=
=
=
=
=

* Cy * Cv * CCW

08-9)

Failure rate of bearing, failures/million operations

Base failure rate of bearing, B10 life
Multiplying factor for applied load
Multiplying factor for lubricant
Multiplying factor for water contaminant level

The information obtained from this section can be used in conjunction with the procedures in
Chapter 7 to estimate the failure rate of the bearing.

18-8

SLIDER-CRANK

18.3.2 Rods/Shafts

The reliability of the rod or shaft is generally very high when compared to the components in the
sliding-action system. Generally, the life expectancy will be at least three times that of the bearing. The
possibility that the rod or shaft will fracture can best be determined using finite element techniques. The
effects of the rod or shaft breakage on adjacent components is of greater importance than the reliability
of the rod or shaft itself. From Chapter 10 the following equation for shaft failure rate is derived:
*SH = *SH3 Ct'C^.C,..
Where:

XSKB =
Cf =
CT =
Cc =
CDY =
Cxu =

CDY . C ^

(18-10)

Rod or shaft base failure rate, failures/million cycles

Surface finish multiplying factor
Material temperature multiplying factor
Contaminant multiplying factor
Shaft displacement multiplying factor
Thrust load multiplying factor

Procedures for determining the base failure rate and the multiplying factors for a shaft can be found in
Chapter 10. The failure rate of a rod can be estimated at 0.001 failures/million hours for fracture.
18.3.3 Seals/Gaskets

The failure rate of a seal or gasket is determined by ability of the seal to restrict the flow of fluid from
one region to another for the intended life is prescribed operating environment. From Section 3.2 of
Chapter 3, the following equation is derived for determining the failure rate.
*SE = V B Cp CQ CDL CH*Cf'Cv'CT*Cs
Where:

A.SE B
Cp
CQ
CDL
CH
Cf
Cv
CT
CN

=
=
=
=
=
=
=
=
=

Base failure rate of seal, failures/million operations

Fluid pressure multiplying factor
Allowable leakage multiplying factor
Seal size multiplying factor
Conductance parameter multiplying factor
Seat surface finish multiplying factor
Fluid viscosity multiplying factor
Fluid temperature multiplying factor
Contaminant multiplying factor

18-9

(18-11)

SLIDER-CRANK

The procedures contained in Chapter 3 can be used to determine A.SE.

18.3.4 Rings. Dynamic Seals
The sealing surface of rings and other dynamic seals are perpendicular to the shaft with contact
between primary and secondary rings to achieve a dynamic seal at various speeds, pressures and
temperatures. From Section 3.3 of Chapter 3, the following equation is derived for determining the failure
rate of a dynamic seal.
^HI = *iu* Cry CQ CH Cf Cv CT CN
Where:

X,^
CPV
CQ
CH
Cf
Cv
Q
CN

=
=
=
=
=
=
=

(18-12)

Base failure rate of dynamic seal, failures/million hours

Seal PV multiplying factor
Allowable leakage multiplying factor
Conductance parameter multiplying factor
Surface finish multiplying factor
Fluid viscosity multiplying factor
Fluid temperature multiplying factor
Contaminant multiplying factor

The procedures contained in Chapter 3 can be used to determine the base failure rate and multiplying
section for rings.
18.3.5 Sliding Surface Area
The wear life of the sliding surface area depends on the correlation of wear of the two surfaces
involved with the material strength and the stress imposed on the sliding action mechanism. From a time
standpoint, wear of the two surfaces will occur in two phases. The first or constant wear phase is
characterized by the shearing of asperities due to sliding action. During this period the wear rate is
practically linear as a function of the number of mechanical cycles and the wear depth at the end of the
constant wear phase is one half the original surface finish. During the second or severe wear phase, wear
debris becomes trapped between the two sliding surfaces and gouging of the surfaces takes place. The
wear rate begins to increase very rapidly and failure of the sliding action mechanism is imminent From
Chapter 9, Section 9.3.1:

*m

= *SMJ ' CCP '

a*"")

18- 10

SLIDER-

Where:

A,^ = Failure rate of actuator, failures/million cycles

CCT = Contaminant multiplying factor
CT = Temperature multiplying factor

Section 9.3.1 of Chapter 9 describes a procedure to determine the number of cycles at which point
the slider crank mechanism is determined to have failed due to wear.

18- 11

THIS PAGE INTENTIONALLY LEFT BLANK

CHAPTER

19

SENSORS AND TRANSDUCERS

19.1 INTRODUCTION
In almost every product for commercial and military application, the number of sensors and
transducers continues to increase. Table 19-1 is a partial listing of the applications for sensors and
transducers. A sensor is usually thought of as a passive device designed to detect or measure physical
phenomenon and to respond, as by transmitting information. A transducer is a device which converts the
information to a different form. A standard definition for a sensor or transducer does not exist, specific
names being given depending on the application such as transmitter, sensor, probe, or pickup. Also,
suffixed derivatives ending in -meter such as accelerometer, flowmeter and tachometer are used. For
convenience, the basic transducer will be used in this chapter to describe these units.
Transducers have the ability to change physical quantities such as motion or heat into electrical
signals. These signals are then measured to gage the corresponding physical characteristics. Transducers
commonly measure pressure, temperature, light, and magnetic fields.
A typical transducer arrangement is shown in Figure 19.1. Here a differential transformer is used in
conjunction with a spring to measure weight. The sensing element is the spring which is compressed
when the weight is applied against the transducer changing the position of the central core of the
differential transformer. The transformer converts the position of the core into an electrical signal the
magnitude of which is proportional to the applied weight.
The failure rate of the transducer in Figure 19.1 is essentially determined by the failure rates of the
compression spring and the transformer. The failure rate of the spring can be determined by using the
procedures in Chapter 4. MIL-HDBK-217 contains procedures for determining the failure rate of the
transformer.

19-1

SENSORS & TRANSDUCERS

Table 19-1. Typical Sensor/Transducer Applications

COMPONENT

APPLICATION

Thermistor

- Pump
- Reservoir
- Filter
- System

- Fluid Temperature
- Fluid Level, temperature
- Flow
- Water in Fluid

Pressure Transducer

- Pump
- Actuator
- Filter
- Accumulator

Flow Sensor

- Pump
- Actuator

- Case Drain Flow

- Quiescent Flow

Electrochemical
Gas Sensor

- Reservoir

- Air in Fluid

Optoelectronic Transducer

- Rotational Equipment
- Transmission Systems
- Accumulator

- Shaft Position, speed

- Gear Tooth Wear
- Piston Displacement

Magnetohydrodynamic
Transducer

- Brakes, Clutches

- Surface Wear

Accelerometer

- Brakes, Clutches

- Positioning

SENSOR/TRANSDUCER

Discharge Pressure
Differential Displacement
Differential Pressure
Pneumatic Discharge

It is important to realize that determining the failure rate of a transducer is more involved than
combining failure rates of the individual parts. Transducers are used as part of a larger
sensing/monitoring/detection system and the reliability of the total system is sensitive to its defined
requirements. Accuracy, repeatability, sensitivity, drift, and other performance requirements are an
important part of the failure rate estimate. Redundant transducers are often used to back up transducers
that give no warning of imminent failure and which may fail catastrophically. Self test features and
scheduled test inputs to check for transducer drift can avoid system failure. Response to transducer data
by the operator and/or other parts of the system must also be considered in estimating the failure rate of
a transducer system.

19-2

SENSORS & TRANSDUCERS

| | Force | |
Ferromagnetic core

Output voltage

Excitation
power
supply

Compression spring

Figure 19.1 Typical Positioning Transducer Unit

Other typical transducers for mechanical flow sensing are shown in Figure 19.2. In Figure 19.2(a),
a spring loaded hinged vane is pushed open as fluid flows through the transducer; and in Figure 19.2(b),
the fluid pushes against a spring restrained plug. Again the failure rates of the individual parts are
determined using procedures in the applicable chapters of this handbook for cylindrical wear, springs, etc.
Though transducers provide vital environmental information and feedback to microcontrollers, they
also increase processor workload because their signals must be linearized, filtered, temperature
compensated, scaled, and converted. New integrated circuits, however, can convert temperature, pressure,
position movement, and acceleration signals to computer compatible equivalents. One-chip functions
include a/d converters, multiplexers, current-source, and a microcomputer that controls the converter and
processor sensor data. Sensor-specific information such as calculated values and calibration factors can
be stored in a local memory unit. The fact that each and every transducer system is different requires that
19-3

SENSORS & TRANSDUCERS

the transducer be separated into its individual parts for analysis using the appropriate chapters of the
Handbook to estimate each failure rate.

Flow.

\V) I Displacement
""

(a)
Displacement
Flov

(b)
Figure 19.2 Typical Flow Transducer Units

19.2 TRANSDUCER FAILURE MODES

Typical transducer assemblies are comprised of several components shown in Table 19-2. Typical
failure modes are included but must be modified for the particular application. A failure mode and
analysis performed on the transducer assembly will help focus on the modifying factors to be used on
published failure rates.
19.3 TRANSDUCER FAILURE RATES
The unique designs of transducers and special applications in terms of sensitivity, drift, etc. make it
difficult to assign an accurate base failure rate for a transducer. A reliability model can be written as
follows:
(19-1)
Where:

X^

=
hrus
=
Xs =
Xy =
Xc =
X? =
Xx =

Failure rate of transducer, failures/million hours

Base failure rate of transducer, failures/million hours
Failure rate of sensing element (See Table 19-3)
Failure rate of the transmission line. See MIL-HDBK-217
Failure rate of the computational device. See MIL-HDBK-217
Failure rate of the power source. See MIL-HDBK-217
Failure rate of other components comprising the transducer
19-4

SENSORS & TRANSDUCERS

Table 19-2. Typical Transducer Failure Modes

COMPONENT
Transducer element

FAILURE MODES

FAILURE CAUSES

Incorrect signal

- Reduced signal level

- Impedance mismatch
- A/D conversion error

Loss of signal

- Chip failure

Complete interruption of
signal

- Broken wire, fiber optic, RF

interruption

Signal error

- Power line pick-up

- Contaminant in fluid system

Computation device

Incorrect signal

- Error in algorithm

Power Supply

Loss of voltage

- Power supply malfunction

Information recipient

Improper response

- Incorrect misinterpretation
- System malfunction
- Error in algorithm

Transmission line

Typical failure rates for sensors and transducers are shown in Table 19-3 for commercial applications.
Various publications contain historical failure rates for transducers. The data does not usually provide the
design information or the environment/operating conditions under which the transducer was used or the
fluid medium in contact or any of the characteristics listed in the section on failure modes. Use of these
failure rates must be used with caution.

19-5

SENSORS & TRANSDUCERS

Table 19-3. Typical Failure Rates for Sensing Elements

(Ref. 74)
TYPICAL FAILURE RATE
6
XTOB (failures/10 hours)

SENSOR/TRANSDUCER
Accelerometer

174.2

Hall Effect

0.6

Pneumatic

23.3

Solid State

13.2

Thermocouple

0.01

Torque

80.0

Fluid Flow

133.8

Air Flow

32.9

Pressure

39.1

Fluid Level

77.8

Humidity

20.4

19-6

CHAPTER

REFERENCES
1.

Abadzheva, R.N. et al., "Effects of Brake Fluid Components on Rubber," Khimiya i Tekhnologiya
Topliv i Masel, No. 8, pp. 18-19 (Aug 1982).

2.

AJuker, I.G. et al., "Procedure for Calculating the Working Characteristics of Clutches for Motor
Cars, Tractors, and Other Machines During the Design Stage," Vestnik Mashinostroeniya, Vol. 63,
No. 3 (1983).

3.

Anderson, A.E., "Wear of Brake Materials," in: Wear Control Handbook, M.B. Peterson and W.O.
Winer, Eds., pp. 843-857, Am. Soc. Mech. Eng., New York (1980).

4.

Armstrong, E.L., W.R. Murphy and P.S. Wooding, "Evaluation of Water Accelerated Bearing Fatigue
in Oil-Lubricated Ball Bearings," Lubrication Engineering. Vol. 34, No. 1, pp. 15-21 (1 Nov 1977).

5.

Bauer, P., M. Glickmon, and F. Iwatsuki, "Analytical Techniques for the Design of Seals for Use
in Rocket Propulsion Systems." Volume 1, ITT Research Institute, Technical Report AFRPL-TR-6561 (May 1965).

6.

Bayer R.G., A.T. Shalhey and A.R. Watson, "Designing for Zero Wear," Machine Design (9 January
1970).

7.

Bishop, F.E. and William M. Needleman, "The Effects of Fluid Contamination on Component
Wear," Pall Corporation.

8.

Block, H. and D. Johnson, "Downtime Prompts Upgrading of Centrifugal Pumps," Chemical

Engineering Magazine, pp. 35-38 (25 Nov 1985).

9.

Boone, Tony D., "Reliability Prediction Analysis for Mechanical Brake Systems," NAVAIRSYSCOM Report (Aug 1981).

10. "Boston Gear Catalog" Catalog 100, INCOM International Inc., Quincy, Massachusetts 02171.

20- 1

REFERENCES

11. Canterbury, Jack, and James D. Lowther, "Application of Dimensional Analysis to the Prediction of
Mechanical Reliability," Naval Weapons Support Activity, Washington Navy Yard, Wash., D.C.,
Report ADAD35295 (September 1976).
12. Carson, Harold, Springs: Troubleshooting and Failure Analysis. Marcel Dekker, Inc., New York.
(1983).
13. Cormier, K.R., "Helicopter Drive System R&M Design Guide," Division of United Technologies
Corp., Stanford, CT 06602, Report ADAD69835 (April 1979).
14. "Engineering Guide to Spring Design" Associated Spring, Barnes Group INc, Form No. 515 (1981).
15. "Fabrication and Testing of Lightweight Hydraulic System Simulator Hardware - Phase n," Report
NADC-79024-60, prepared by Rockwell International, Columbus, Ohio, for Naval Air Systems
Command, Washington, D.C.
16. Ferodo Limited, Friction Materials for Engineers, Stockport, England (1969).
17. Field, G.J., "Seals That Survive Heat," Machine Design (1 May 1975).
18. Hauser, D.L. et al., "Hardness Tester for Polyur," NASA Tech Briefs. Vol. 11, No. 6, p. 57 (1987).
19. Hindhede et al., Machine Design Fundamentals (1983).
20. Ho, T.L., F.E. Kennedy and M.B. Peterson, "Evaluation of Materials and Design Modifications for
Aircraft Brakes," NASA Report CR134896 (Jan 1975).
21. Houston, John, "Getting to Grips with Clutches and Brakes," in: Engineering Materials and Design,
Vol. 26, No. 4 (April 1982).
22. Howell, Glen W. and Terry M. Weathers, Aerospace Fluid Component Designers' Handbook.
Volumes I and II, TRW Systems Group, Redondo Beach, CA prepared for Air Force Rocket
Propulsion Laboratory, Edwards, CA, Report AD 874 542 and Report AD 874 543 (February 1970).
23. Hubert, Christopher J., John W. Beck and John H. Johnson, "A Model and the Methodology for
Determining Wear Particle Generation Rate and Filter Efficiency in a Diesel Engine Using
Ferrography," Society of Automotive Engineers Paper No. 821195 (1982).

20-2

REFERENCES

24. Hudgens, R.D. and L.B. Feldhaus, "Diesel Engine Lube Filter Life Related to Oil Chemistry,"
Society of Automotive Engineers Paper No. 780974 (1978).
25. Johnson, R.L. and K. Schoenherr, "Seal Wear," in: Wear Control Handbook, M.B. Peterson and
W.O. Winer, Eds., Sect. 5, pp 727-754, American Society of Mechanical Engineers, New York,
(1980).
26. Krutzsch, W.C., Pump Handbook, McGraw-Hill Book Company, New York (1968).
27. May, K.D., "Advanced Valve Technology," National Aeronautics and Space Administration, NASA
Report SP-5019 (February 1965).
28. MIL-HDBK-217D, "Reliability Prediction of Electronic Equipment" (January 1982).
29. Minegishi, H. et al., "Prediction of Brake Pad Wear/Life by Means of Brake Severity Factor as
Measured on a Data Logging System," SAE Paper 840358 (1984).
30. Mordkowitz, A., "Predicting Service Life for Zero Wear," Machine Design (10 January 1974).
31. Nagel, W.B., "Designing with Rubber," Machine Design (June 23, July 7, July 21, Aug 11, 1977).
32. Neale, M.J., Tribology Handbook, Butterworths, London.
33. Needleman, William M., "Filtration for Wear Control," in: Wear Control Handbook. M.B. Peterson
and W.O. Winer, Eds., Sect. 4, pp 507-582, Americna Society of Mechanical Engineers, New York,
(1980).
34. Newcomb, T.P., "Thermal Aspects of Vehicle Braking," Automobile Engineering (Aug 1960).
35. "Optimum Design of Helical Springs," Machine Design, (6 November 1980).
36. Orthwein, William C, Clutches and Brakes: Design and Selection, Marcel Dekker, Inc., New York
(1986).
37. Rhee, S.K. and P.A. Thesier, "Effects of Surface Roughness of Brake Drums on Coefficient of
Friction and Lining Wear," SAE Paper 720449 (1972).
38. Roack and Young, Formulas for Stress and Strain, McGraw-Hill Book Company, New York (1975).
20-3

REFERENCES

39. Shigley, Joseph E., Mechanical Engineering Design, McGraw-Hill, Inc., New York, NY (1977).
40. Spokas, R.B., "Clutch Friction Material Evaluation Procedures," SAE Paper 841066 (1984).
41. "Standard Product Catalog," Catalog SPC 82, The Falk Corporation, Milwaukee, Wisconsin.
42. Weintraub, M.H. et al., "Wear of Resin Asbestos Friction Materials," in: Advances in Polymer
Friction and Wear, pp. 623-647.
43. Wilhelm, James P. and Andrew V. Loomis, "Brake Friction Materials: A Market Survey," NASA
Report (Aug 1975).
44. Sibley, L.B., "Rolling Bearings," in: Wear Control Handbook. M.B. Peterson and W.O. Winer, Eds.,
Sect. 5, pp 699-726, American Society of Mechanical Engineers, New York (1980).
45. Barron, Randall F., Revision of Wear Model for Stock Actuators. Engineering Model for Mechanical
Wear (July 1987).
46. Fox, R.W., and A.T. McDonald, Introduction to Fluid Mechanics, John Wiley and Sons, New York
(1978).
47. Machine Design, 1985 Fluid Power Reference Issue, Penton/IPC, Inc., (Sept. 19, 1985).
48. Bayer, R.G., A.T. Shalkey, and A.R. Watson, "Designing for Zero Wear," Machine Design. Vol. 41,
pp. 142-151 (1969).
49. Kragelsky, I.V. and V.V. Alisin, Friction. Wear, and Lubrication. Vol. 2, pg. 30, Pergamon Press,
London (1981).
50. Kuhlmann-Wildorf, D., "Parametric Theory of Adhesive Wear in Uni-Directional Sliding," Wear of
Materials, pp. 402-413, American Society of Mechanical Engineers, New York (1983).
51. Bentley, R.M. and D.J. Duquette, "Environmental Considerations in Wear Processes," Fundamentals
of Friction and Wear of Materials, pp. 291-329, American Society For Metals, Metals Park, Ohio
(1981).
52. Sarkar, A.D., Wear of Metals, pp. 62-68, Pergamon Press, London (1976).

20-4

REFERENCES

53. Lundberg, G. and A. Palmgren, "Dynamic Capacity of Rolling Bearings," Acta Polytechnica, No.
7 (1974).
54. Rumbarger, John H., "A Fatigue Life and Reliability Model for Gears," American Gear
Manufacturers Association Report 229.16 (January 1972).
55.

AGMA Standard for Surface Durability Formulas for Spiral Bevel Gear Teeth, American Gear
Manufacturers Association Report 216.01 (January 1964).

56. AGMA Standard Nomenclature of Gear Tooth Failure Modes, American Gear Manufacturers
Association Report 110.04 (August 1980).
57. Haviland, G.S., "Designing with Threaded Fasteners", MECHANICAL ENGINEERING, Vol 105,
No. 10, Oct 83.
58. Deutschman, A.D., et al, Machine Design; Theory and Practice, MacMillan Publishing Co, NY, 1975
59. Parmley, R.O., Mechanical Components Handbook, McGraw-Hill Book Co., NY, 1985.
60. Handbook H28, Nat'l Bureau of Stds, Govt Printing Office, Washington, DC, 1957.
61.

Hindhede, U., et al, Machine Design Fundamentals, John Wiley & Sons, NY, 1983.

62.

Shigley, J.E., Mischke, C.R., Mechanical Engineering Design, McGraw-Hill Book Co., NY, 1989.

63. Bickford, J.H., An Introduction to the Design and Behavior of Bolted Joints, Marcel Dekker, Inc.,
NY, 1990.
64. Handbook of Corrosion Data, ASM International, Metals Park, OH, 1990
65. Baumeister, T, et al, Mark's Standard Handbook for Mechanical Engineers
66.

Thomas Couplings Applications Manual

67. Bolam, J.R., "Coupling Alignment: The Reverse Indicator Method Simplified", P/PM Technology.
July/Aug 90
68. Deutschman, A.D., et al, Machine Design; Theory & Practice, Macmillan Publishing Co,Inc. NY,NY.
20-5

REFERENCES

69. Pannley, R.O., Mechanical Components Handbook, McGraw-Hill Book Co. NY,NY, 1985.
70. Dvorak, P., "Sorting Out Flexible Couplings", Machine Design. 11 Aug 88
71. Robertson, R., and Smith, B., "Why Flexible Couplings Fail", Plant Engineering and Maintenance.
Jun89
72. Universal Joint & Driveshaft Design Manual, Series No. 7, Society of Automotive Engineers, Inc,
Warrendale, Pa.
73. Anderson, Edwin P., Electric Motors Handbook, Bobbs-Merrill Co., Inc., NY, NY 1983
74. Deutschman, A.D., et al, Machine Design; Theory & Practice, Macmillan Publishing Co, Inc. NY,
NY.
75. Hindhede, U. et al, Machine Design Fundamentals, John Wiley & Sons, NY, NY.
76. Parmley, R.O., Mechanical Components Handbook, McGraw-Hill Book Co., NY, NY, 1985.
77. Dvorak, P., "Sorting Out Flexible Couplings", Machine Design. 11 Aug 88, pg 96.
78. Robertson, R., and Smith, B., "Why Flexible Couplings Fail", Plant Engineering and Maintenance.
Jun 89, pg. 48.
79. Universal Joint & Driveshaft Design Manual, Series No. 7, Society of Automotive Engineers, Inc,
Warrendale, PA.
80. Norman Yudewitz, "Predict Relay Life Reliably with Simple Empirical Equations", Electronic
Design, February 1, 1979
81. "Validation of Gearbox Reliability Models iron Test Data", Report No. 87-D-0075, October, 1987,
Eagle Technology, Inc.
82. Dennis N. Pratt, "Investigation of Spline Coupling Wear", Report No. SY-51R-87, December 1987,
Naval Air Warfare Center, Patuxent River, Maryland
83. Randall F. Barron, "Engineering Model for Mechanical Wear", Report No. CMLD-CR-09-88, June
1988, Louisiana Tech University
20-6

REFERENCES

84. Dennis Pratt, "Results of Air Compressor Reliability Investigation", Report No. TM 88-38 SY,
January 1989, Naval Air Warfare Center, Patuxent River, Maryland
85. D. Pratt, "Results of Gear Pump Reliability Investigation", Report No. TM 89-24 SY, February 1990,
Naval Air Warfare Center, Patuxent River, Maryland
86. D. Pratt, "Results of Centrifugal Pump Reliability Investigation", Report No. TM 89-69 SY, February
1990, Naval Air Warfare Center, Patuxent River, Maryland
87. D. Pratt, "Results of Pneumatic Impact Wrench Reliability Investigation", Report No. TM 90-88 SY,
December 1990, Naval Air Warfare Center, Patuxent River, Maryland
88. Randall F. Barron and Herbert G. Tull, III, "Failure Rate Model for Aircraft Brakes and Clutches",
Report No. DTRC-CMLD-CR-01-90, August 1990, Louisiana Tech University
89. Randall F. Barron and Herbert G. Tull, III, "Failure Rate Model for Aircraft Brakes and Clutches",
Report No. NSWC-92/L02, August 1992, Louisiana Tech University
90. CDNSWC, "Interim Reliability Report on the MC-2A Compressor Unit", January, 1992
91.

D. Pratt, "Results of Air Force MC-2A Air Compressor Unit Reliability Investigation", Report No.
TM 92-89 SY, March 1993, Naval Air Warfare Center, Patuxent River, Maryland

92. D. Pratt, "Results of Dayton 5A701 Linear Actuator Reliability Investigation", Report No. TM 93-89
SY, February, 1994, Naval Air Warfare Center, Patuxent River, Maryland

20-7

THIS PAGE INTENTIONALLY LEFT BLANK

Accumulators
AC Motors
Actuators
Ball Bearings
Beam Spring
Bearings
Belleville
Bolts
Brakes
Cantilever Springs
Casings
Centrifugal Compressors
Centrigugal Pumps
Clutches
Compressors
Contactors
Couplings
Curved Washers
Cylinders, Thin Wall
Cylinders, Thick Wall
DC Motors
Definitions
Displacement Compressors
Displacement Pumps
Dynamic Seals
Electric Motors
Extension Springs
External Threads
Fasteners
Filters
Fluid Drivers
Gaskets
Gears,
Helical
Planetary
Spiral Bevel
Spur
Helical Gears
Helical Springs
Housing, Valve
Impellers
Involute Splines
Internal Threads
Linear Motion Bearings
Locking Mechanisms
Motors

15
14.2.2
9
7.2.1.1
4.4.8
7
4.4.6
16
12.2
4.4.7
10.5
13
10
12.3
13
5
17
4.4.4
15.4
15.5
14.2.1
2
13
10
3.3
14
4.4.2
16.1.1
16
11
10.6
3.2
8
8.2.1
8.2.3
8.2.2
8.2.1
8.2.1
4.4.1
6.5
10.5
8.2.4
16.1.2
7.2.2
16.1.3
14

Nuts
O Rings
Piston/Cylinder
Planetary Gears
Poppet Assembly Valves
Pumps
References
Reservoirs
Rings
Rods
Roller Bearings
Rotary Motion Bearings
Rotors
Seals,
Dynamic
Gaskets and Static
Sensors
Shafts, Pumps
Slider Crank
Sliding Action Valves
Sliding Bearings
Solenoids
Spiral Bevel Gears
Splines
Springs,
Beam
Cantilever
Extension
Helical
Torsion
Spur Gears
Static Seals
Static Springs
Threads
Torsion Springs
Transducers
Transformers
Universal Joint
Valves
Washers,
Belleville
Curved
Wave
Wave Washers
Windings, Motor

16
3
9.3.1
8.2.3
6.3
10
20
15
3
10
7.2.1.2
7.2.1
10.5
3
3.3
3.2
19
10.4
18
6.4
18.3.1
5
8.2.2
8.4
4
4.4.8
4.4.7
4.4.2
4.4.1
4.4.3
8.2.1
3.2
4.3.1
16.1.4
4.4.3
19
19
17.6
6
4
4.4.6
4.4.4
4.4.5
4.4.5
14.5

THIS PAGE INTENTIONALLY LEFT BLANK

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CARDEROCK DIVISION

D E P A R T M E N T O F T H E NAVY
NAVAL SURFACE WARFARE CENTER
CARDEROCK DIVISION

HEADQUARTERS
DAVID TAYLOR MODEL BASIN
BETHESDA, MD 2 0 0 8 4 - 5 0 0 0
IN REPLY REFER TO:

3080
Code 171

From: Commander, Carderock Division, Naval Surface Warfare Center

Toi
Distribution
Subj: DOD STANDARD METHOD OF EVALUATING MECHANICAL DESIGNS FOR RELIABILITY
E n d : (1) "Handbook of Reliability Prediction Procedures for Mechanical
Equipment"
1. As part of a 6.2 exploratory development project under the Logistics
Technology Program Plan to develop a standardized method of evaluating new
mechanical designs for reliability and logistics support, the Carderock
Division of the Naval Surface Warfare Center has developed enclosure (1).
Previous editions of this Handbook were distributed in draft form to industry,
DoD agencies, and academia to solicit comments as to the utility of the
methodology in evaluating mechanical designs for reliability. These comments
have been extremely useful in improving the reliability equations and the
evaluation procedures within the Handbook. This final edition also includes
the results of additional research and validation testing and contains
reliability equations for several new components and parts.
2. The Handbook is being transitioned to the Naval Air Systems Command,
Code 5165 as the custodian, for use in the procurement process of military
equipment. Standardization of contractor methods to evaluate mechanical
equipment designs for reliability will aid the Navy in evaluating competing
designs and determining the logistics impact of proposed equipment
modifications. The end affect is the improvement of equipment reliability,
maintainability and availability in the Fleet.
3. The publication of this Handbook is an important milestone in establishing
a DoD central source for design analysis of mechanical equipment. The
research performed to produce the Handbook should continue in order to
maintain a capability in this important facet of logistics technology as new
materials and manufacturing processes evolve in equipment being procured by
DoD.
Your comments and suggestions for further improvement of the Handbook
and the methodology are encouraged.

CARDEROCK DIVISION

D E P A R T M E N T O F T H E NAVY
NAVAL SURFACE WARFARE CENTER
CARDEROCK DIVISION

HEADQUARTERS
DAVID TAYLOR MODEL BASIN
BETHESDA, MD 20084-5000
IN REPLY REFER TO:

3080
Code 171

From: Commander, Carderock Division, Naval Surface Warfare Center

To:
Distribution
Subj: DOD STANDARD METHOD OF EVALUATING MECHANICAL DESIGNS FOR RELIABILITY
Encl: (1) "Handbook of Reliability Prediction Procedures for Mechanical
Equipment"
1. As part of a 6.2 exploratory development project under the Logistics
Technology Program Plan to develop a standardized method of evaluating new
mechanical designs for reliability and logistics support, the Carderock
Division of the Naval Surface Warfare Center has developed enclosure (1).
Previous editions of this Handbook were distributed in draft form to industry,
DoD agencies, and academia to solicit comments as to the utility of the
methodology in evaluating mechanical designs for reliability. These comments
have been extremely useful in improving the reliability equations and the
evaluation procedures within the Handbook. This final edition also includes
the results of additional research and validation testing and contains
reliability equations for several new components and parts.
2. The Handbook is being transitioned to the Naval Air Systems Command,
Code 5165 as the custodian, for use in the procurement process of military
equipment. Standardization of contractor methods to evaluate mechanical
equipment designs for reliability will aid the Navy in evaluating competing
designs and determining the logistics impact of proposed equipment
modifications. The end affect is the improvement of equipment reliability,
maintainability and availability in the Fleet.
3. The publication of this Handbook is an important milestone in establishing
a DoD central source for design analysis of mechanical equipment. The
research performed to produce the Handbook should continue in order to
maintain a capability in this important facet of logistics technology as new
materials and manufacturing processes evolve in equipment being procured by
DoD.
Your comments and suggestions for further improvement of the Handbook
and the methodology are encouraged.

PREFACE
Recognition of reliability and maintainability (R&M) as vital factors in the development, production,
operation, and maintenance of today's complex systems has placed greater emphasis on the application
of design evaluation techniques to logistics management. An analysis of a design for reliability and
maintainability can identify critical failure modes and causes of unreliability and provide an effective tool
for predicting equipment behavior and selecting appropriate logistics measures to assure satisfactory
performance. Application of design evaluation techniques can provide a sound basis for determining spare
parts requirements, required part improvement programs, needed redesign efforts, reallocation of resources
and other logistics measures to assure that specified reliability and maintainability requirements will be
met.

!
!
I
j
\

Many efforts have been applied toward duplicating the data bank approach or developing a new
approach for mechanical equipment. The statistical analysis of equipment aging characteristics, regression
techniques of equipment operating parameters related to failure rates, and analysis of field failure data
have been studied in attempts to develop a methodology that can be used to evaluate a new mechanical
design for R&M characteristics.

Many of the attempts to develop R&M prediction methodology have been at a system or subsystem
level. The large number of variables at these levels and lack of detailed knowledge regarding operating
environment have created a problem in applying the results to the design being evaluated. Attempts to
collect failure rate data or develop an R&M prediction methodology at the system or subsystem level
produce a wide dispersion of failure rates for apparently similar components because of the basic
characteristics of mechanical components.
The Design Evaluation Techniques program was initiated by the Carderock Division of the Naval
Surface Warfare Center (NSWC) and was sponsored by the Office of Naval Technology under the
Logistics Exploratory Development Program, P.E. 62233N. The methodology for predicting R&M
characteristics as part of this development effort does not rely solely on failure rate data. Instead, the
design evaluation procedures consider the material properties, operating environment and critical failure
modes at the component part level to evaluate a design for R&M. The purpose of this Handbook is to
present the proposed methodology for predicting the reliability of mechanical equipment and solicit
comments as to the potential utility of a complete handbook of reliability prediction procedures.

1
j j

j i
j
i
;
i

The development of this Handbook by the Operations Research Analysis Department (Code 17) of
CARDEROCKDIV, NSWC was coordinated with the military, industry and academia. Recent sponsors
of this effort included the U. S. Army Armament Research, Development & Engineering Center (SMCARQAH-P), Picatinny Arsenal and the Robins AFB, WR-ALC/LVRS. These sponsors have provided

j
!
I

'<'

v.3K5a-J5i3U,iS&ii^%Tij^^

^t^imm^imMUmiiMWIIMMBIi

valuable technical guidance in the development of the methodology and Handbook. In addition, the
Armament R,D & E Center coordinated this effort with the RAMCAD (Reliability and Maintainability
in Computer Aided Design) program. Also, the Robins AFB supplied an MC-2A Air Compressor Unit
for validation testing purposes. The procedures contained in this Handbook were used to predict the
failure modes of the MC-2A and their frequency of occurrence. Reliability tests were then performed with
a close correlation between predicted and actual reliability being achieved.
Past sponsors and participants in the program include the Belvoir Research, Development, &
Engineering Center; Wright-Patterson AFB; Naval Sea Systems Command; Naval Air Test Center and
Louisiana Tech University. The contractor for this effort is Support Systems Technology Corp. in
Gaithersburg, Maryland. At the conclusion of this development effort NAVAIR (AIR-5165), the
Reliability and Maintainability Branch, will assume sponsorship of the Handbook and be its point of
contact.
Previous editions of this Handbook were distributed to interested engineering personnel in industry
and DoD for comments as to the utility of the methodology in evaluating mechanical designs for
reliability. The comments have been extremely useful in improving the prediction methodology and
contents of the Handbook. Every effort has been made to validate the equations presented in this
Handbook. However, limited funding has prevented the extensive testing and application of prediction
procedures to the design/procurement process for full validation of the approach. Therefore, users are
cautioned that this Handbook is the result of a research program and not an official DoD document.
Several companies have chosen to produce software packages containing the material in this
Handbook. The commercial use of preliminary information which is a part of a research project prior to
complete evaluation of the methodology is premature. The Navy has not been and is not now in any way
connected with the commercial ventures to produce software packages of unproven technology and do not
endorse their use. Interested users of the technology presented in this Handbook are urged to contact the
Carderock Division of the Naval Surface Warfare Center to obtain the latest available information on
mechanical reliability.
Comments and recommended changes to the Handbook should be addressed to:
James C. Chesley
Code 171
Carderock Division
Naval Surface Warfare Center
Bethesda, MD 20084

William A. Whitacre
Code 171
Carderock Division
Naval Surface Warfare Center
Bethesda, MD 20084

IV