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Hydraulic Failure Analysis Fluids Components and System Effects

The document is a publication titled 'Hydraulic Failure Analysis: Fluids, Components, and System Effects,' edited by George E. Totten, David K. Wills, and Dierk G. Feldmann, which compiles papers presented at a symposium held in December 1999. It covers various aspects of hydraulic systems, including the interaction of hydraulic fluids with components, failure analysis methodologies, and material research for hydraulic components. The publication serves as a comprehensive resource for hydraulic design and maintenance engineers, addressing hydraulic wear and failure issues.

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Hydraulic Failure Analysis Fluids Components and System Effects

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S T P 1339

Hydraulic Failure Analysis:

Fluids, Components, and
System Effects

George E. Totten, David K. Wills, and Dierk G. Feldmann, editors

ASTM Stock Number: STP1339

ASTM
PO Box C700
100 Barr Harbor Drive
West Conshohocken, PA, 19428-2959

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ISBN: 0-8031-2883-5
ISSN:

Library of Congress Cataloging-in-Publication Data

Hydraulic failure analysis : fluids, components, and system effects / George E. Totten,
David K. Wills, and Dierk G. Feldmann, editors.
p. cm. - - (STP ; 1339)
"ASTM Stock Number : STP1339."
Includes bibliographical references and index.
ISBN 0-8031-2883-5
1. Oil hydraulic machinery. 2. System failures (Engineering) I. Totten, George E. I1.
Wills, David K., 1945- II1. Feldmann, Dierk G., 1940- IV. ASTM special technical
publication 1339.

TJ843 .H912 2001

621.2'0424--dc21
2001022197

Copyright 9 2001 AMERICAN SOCIETY FOR TESTING AND MATERIALS, West Conshohocken,
PA. All rights reserved. This material may not be reproduced or copied, in whole or in part, in any
printed, mechanical, electronic, film, or other distribution and storage media, without the written
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the Copyright Clearance Center, 222 Rosewood Drive, Danvers, MA 01923; Tel: 978-750-8400;
online: http://www.copyright.com/.

Peer Review Policy

Each paper published in this volume was evaluated by two peer interviewers and the editor. The
authors addressed all of the reviewers' comments to the satisfaction of both the technical editor(s)
and the ASTM Committee on Publications.
To make technical information available as quickly as possible, the peer-reviewed papers in this
publication were prepared "camera-ready" as submitted by the authors.
The quality of the papers in this publication reflects not only the obvious efforts of the authors and
the technical editor(s), but also the work of the peer reviewers. In keeping with longstanding
publication practices, ASTM maintains the anonymity of the peer reviewers. The ASTM Committee on
Publications acknowledges with appreciation their dedication and contribution of time and effort on
behalf of ASTM.

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Foreword
This publication, Hydraulic Failure Analysis: Fluids, Components, and System Effects, contains
papers presented at the symposium of the same name held in Reno, Nevada, on 5-6 December 1999.
The symposium was sponsored by Committee D-2 on Petroleum Products and Lubricants. The sym-
posium co-chairmen were George E. Totten, Union Carbide Corporation, David K. Wills, Sauer-
Danfoss, and Dierk G. Feldmann, Technical University Hamburg-Harburg.

Overview ix

SESSIONI: THEORY, MECHANISM, AND SIMULTION

Tribologieal Design: A Real World Approach--K. c. LUDEMA

Mechanisms of Abrasive Wear in Lubricated Contacts--J. A. WILLIAMSAND

A. M. HYNCICA 13

Trlbology of Hydraulic Systems: Hydrodynamic Effects of Surface Roughness--

K. TONDER 31

Lubrication Characteristics on Sliding Surfaces in a Piston Pump and Motor During

Running-In T e s t s - - K . TANAKA, K, KYOGOKU, AND T. NAKAHARA 41

Elastic-Plastic Finite Element Stress Analysis of Two-Dimensional Rolling Contact--

Y. JIANG, J. CHANG, AND B. XU 59

Development of a New Application-Related Test Procedure for Mechanical Testing

of Hydraulic Fluids--D. G. FELDMANNANDM. KESSLER 75

Modeling Abrasive Wear of Homogeneous and Heterogeneous Materlals-K. ELALEM,

D. Y. LI, M. J. ANDERSON, AND S. CHIOVELLI 90

Hydraulic Gear Pump Failure Analysis and Tribology Simulation--L. D. WEDEVEN

AND R. BOURDOULOUS 105

Corrosive Wear in Hydraulic Systems: An Overview--H. LIANGANDG. E. TOTYEN 119

SESSION II: FAILURE ANALYSIS - PART 1

Root Cause Analysis to Identify Hydraulic Failure Modes--J. REICHELANDM. WAHL 137

Failure Analysis of the Hydraulic Drive System in a Storm Surge Barrler--M. FLUKS 150

Analysis of Failure Modes of a Military Hydraulic Fluid: MIL-H-46170~

R. B. MOWERY AND E. M. PURDY 167
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SESSION I l l - A : FAILURE ANALYSIS - PART 1I

Wear Particle Analysis--J. POLEY 179

Problems and Possibilities with Bottle Sampling for Assessment of Particle

Concentration--G. c. SVEDBERG AND K. SUNDVALL 190

Wear and Wear Debris in a Changing World--B. J. ROYLANCE 200

Advanced Strategies for the Monitoring and Control of Water Contamination in Oil
Hydraulic Flnids--D. o. TROYER 214

Advancements in Fluid Analysis Technologies and Strategies for Hydraulic System

Condition-Based Maintenance--J. c. FITCH 225

Hydraulic Pump Contaminant W e a r - - R . K. TESSMANN AND I. T. HONG 248

Piston Pump Failures in Various Type Hydraulic Fluids--s. OHKAWA,A. KONISHI,

H. HATANO, AND D. VOSS 263

Fundamental Hydraulic Wear Processes--H. LIANG, K. MIZUNO, G. E. TOTrEN,

R. J. BISHOP, JR., AND S. LEMBERGER 278

Analysis of Common Failure Modes of Axial Piston Pumps---c. G. FEY,G. E. TOTTEN,

AND Y. H. SUN 299

Effect of Pump Inlet Conditions on Hydraulic Pump Cavitation: A Review--

R. J. BISHOP, JR. AND G. E. TOTI'EN 318

The hflluence of Surface Topography and Environment on the Fatigue Life of a

Hydraulic Motor--w. s c o t t 333

TRIZ-Based Root Cause Failure Analysis for Hydraulic Systems--n. L. MANNAND

E. J. HUGHES 340

SESSION I V - A : MATERIALS

The Surface Behavior of Metallic Materials During the Incubation Period of

Cavitation Erosion--A. YABUKI, K. NOISHIKI, K. KOMORI, AND M. MATSUMURA 357

Failure Mechanism of a Hydraulic Log Piston and Slipper Assembly--J. T. SIKES 370

Development of Pseudoelastic TiNi Tribo Materials---D. Y. Ll 382

Research of Suitable Material Pairs for Applications Operating with High

Water-Based F l n i d s - - R . OBEREM AND H. MURRENHOFF 402

Ceramic Parts for Hydrostatic Pumps and Motors--n. G. FELDMANN 417

PVD-Coatings-Applications in Fluid Power Technoiogy--D. VAN BEBBERAND

H. MURRENHOFF 427

Improving Tribological Performance of Mechanical Components by Laser Surface

Texturing--1. ETISON, G. HALPER1N, AND G. RYK 441

SESSION III-B: COMPONENTS--SEALS, VALVES, AND ROLLING ELEMENT BEARINGS

An Investigation of Fundamental Blistering Phenomena in Rotary Lip Sealing--

F. SCHULZ, V. M. WOLLESEN, AND M. VOTTER 451

Influence of Lubrication on Wear and Friction on O-Rings in Contact with Yellow

Metal--M. V0TTERANDO. SCHULTZ 462

Hydraulic Valve Problems Caused by Oil Oxidation Products--A. SASAKI 474

Rust Inhibitor Contamination-Related Problems in Military Aircraft Hydraulic

Systems--s. K. SHARMA, C. E. SYNDER, JR., L. L GSCHWENDER, J. C. LIANG, AND
B. F. SCHREIBER 489

Extending Rolling Element Bearing Life in Hydraulic Systems with Water-Based

Fluids-The Grease Lubrication Option---G. w. POLL 500

SESSIONIV-B: FLUIDS

The Importance of Shear Stability in Multigraded Hydraulic Fluids--

C. W. HYNDMAN,B. G. KINKER,AND D. G. PLACEK 523

Corrosive Wear Behavior of 304 Stainless Steel and its Variation with Alloyed
Oxygen-Active Element Yttrium--T. ZHANGANDD. Y. El 535

A Study of the Mechanism for Beneficial Effects of Yttrium Additive in Lubricant

on Corrosive Wear and Friction of Metals--R. LIU AND D. Y. LI 549

The Effect of Oil Type on Wear in Fluid Power Components---T. KOIVULA,

R. KARJALAINEN,E. ELLMAN,AND M. VILENIUS 563

Recent Experiences with Ester Based Fluids in Qualification Tests--D. G. FELDMANN

AND M. KESSLER 575

Problems in hydraulic systems associated with hydraulic fluids have been an important area of in-
vestigation for many years. Of equal importance is the mutually dependent interaction of hydraulic
fluids with component design, component metallurgy, and the design of the hydraulic system itself.
Investigation related to these important areas include the following:

9 The effect of fluid chemistry on component failure as the result of oxidation, wear debris, vis-
cosity loss, generation of corrosion by-products, and yellow metal wear.
9 Metallurgy of the material, including material pair effects and physical properties.

9 The effect of surface finish.

9 Modeling wear mechanisms as a function of material pair contact loading, speed, and other fac-
tors.

9 Dynamic versus static wear.

9 Wear mechanisms including rolling contact fatigue, cavitation, lubrication failure, abrasive
wear, and others, in addition to combinations of these mechanisms.

9 Methods of failure analysis focusing on strategies to identify root causes of failure.

9 Hydraulic component design and metallurgy of bearings, gears, slippers, and end-plates.

Since there are relatively few, if any, books published that provide a comprehensive overview of
these issues, an International Symposium on Hydraulic Failure Analysis, Fluids, Components and
System Effects was held in Reno, Nevada on December 5-6, 1999. The objective of this conference
was to address these issues and to provide an insight into new technologies that are being developed
to address hydraulic wear and failure problems.

The first paper in the first section of this book: Theory, Mechanism, and Simulation provides a
thorough overview of the importance of tribological design. Many hydraulic wear and failure prob-
lems could be eliminated if appropriate design principles were employed. The remaining papers in
this section, taken together, provide the reader with a thorough overview of fundamental principles
involved in hydraulic lubrication and wear and set the stage for the wide range of topics discussed in
the remainder of the book.

The second section of the book, Failure Analysis, provides a wide range of discussion on nu-
merous topics related to hydraulic failure analysis. These include: methodologies for root cause
analysis to identify hydraulic wear, importance and different applications of wear particle analysis
to identify the sources of hydraulic component failure, and a failure catalog of hydraulic pump and
rolling element beating wear provided by the examples given in the papers comprising this
section.
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X OVERVIEW

The third section of this book, Materials, provides an overview of significant research underway
to identify superior materials for hydraulic pump and component design. The areas of research in-
clude: effect of material selection on cavitation erosion, surface engineering to improve material
properties, and surface texturing.

Hydraulic wear and failure is not limited to hydraulic pumps and motors. The fourth section,
Components--Seals, Valves and Rolling Element Bearings, addresses the effects of various wear, se-
lected failure mechanisms of hydraulic seals, and yellow metal wear.

The last section of the book is Fluids. The papers provided in this section discuss the effects of fluid
shear stability, additives, and bio-oils on hydraulic pump wear.

The information provided in this book make it an excellent resource for the hydraulic design engi-
neer and maintenance engineer to properly design, maintain, and troubleshoot a hydraulic system.
Additionally, the tests and recommendations made by the speakers at this conference will be care-
fully analyzed within the ASTM D.02N subcommittee to determine their applicability for the devel-
opment of new ASTM standards and guides.

George E. Totten
UnionCarbide Corporation
Tarrytown,NY, USA
SymposiumCo-Chairmanand Editor

David K. Wills
Sauer-Danfoss
Ames, IA, USA
SymposiumCo-Chairmanand Editor

Dierk G. Feldmann
Technical Universityof Hamburg-Harburg
Hamburg, Germany
SymposiumCo-Chairmanand Editor

Tribological Design: A Real World Approach

Reference: Ludema, K. C. "Tribological Design: A Real World A p p r o a c h " Hydraulic

Failure Analysis: Fluids, Components, and @stem Effects, ASTM STP 1339, G. E. Totten,
D. K. Wills, and D. Feldmann, Eds., American Society for Testing and Materials, West
Conshohocken, PA, 2001.
Abstract: The general lack of basic principles for designing reliable components for
hydraulic pumps and motors requires a strategy of applying experience and full scale
testing. Hydraulic pump and motor components are very sparsely lubricated though they
are immersed in fluid. They therefore slide in "boundary lubrication," a regime for
which there are no methods for predicting, or even estimating product life or frictional
performance. The testing of sub-components in bench tests or in accelerated tests
produces new uncertainties since the role of the many variables that control wear and
scuffing are not well known. The best design procedure involves full scale testing of
components with all of the recirculating contaminants, vibrations, and misalignments
included. These practical conditions are impossible to simulate adequately. Finally, the
tests must be done by people (or groups) who have full knowledge of hydrodynamic
lubrication, contact mechanics, wear mechanisms, and pro~luct applications.

Keywords: hydraulic pumps, hydraulic motors, hydrodynamic lubrication,

elastohydrodynamic lubrication, boundary lubrication, Stribeck curves, scuffing,
asperities, wear, adhesion

Introduction

In designing reliable hydraulic components (pumps and motors in particular) there are
two general alternatives - either design them properly before manufacturing begins, or
spend more time redesigning (fixing) them after early failures occur. There are few
simple shortcuts though most manufacturers keep hoping for them. A frequent approach
to a tribological problem is to assign the most junior member of a group to it, partly
because seasoned product engineers avoid topics in which they can make little progress,
and partly in the hope that the junior member might have been exposed to newer
instruction in college than others. Acommon result is that production deadlines arrive
before good tribological design is completed, which initiates a sequence in which it
becomes difficult to preempt problems through a careful design program.
The logical starting point in pump 2 design, and the easiest part of the exercise is to
work out capacities, RPM and other functional details. But sooner or later the parts
inside the pump must be designed. Materials must be selected, manufacturing processes
chosen, finishing methods explored, and the details of component shape must be
specified. This latter part of the design effort could be simple if pump parts were of
simple shape and operated in ideal enclosures, but they cannot be for functional reasons.
The fact that pump parts are immersed in a liquid should help since all liquids are
lubricants (though oils are much better than water). Lubrication is often seen as the state
where sliding members never (hardly ever) touch each other but rather glide along on an

1Professor Emeritus of Mechanical Engineering, The Universityof Michigan,

GGBrown Building, Ann Arbor, M148109-2125
2 Motors are implied as well as pumps, wheneverpumps are mentioned alone.
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Copyright9 2001 by ASTM International www.astm.org
4 HYDRAULIC
FAILUREANALYSIS

ever-present film of indestructible fluid. This condition is known as hydrodynamic

lubrication. Designing of simple slider geometries, under constant conditions of load and
sliding speed in the fully lubricated state is relatively straightforward. Several design
guides and charts based on hydrodynamic equations are available from textbooks and
from the makers of rolling element bearings, linear sliding devices and sliding (sleeve)
beatings. By contrast, there are no simple design guides available for irregular shapes
such as the sliding pump parts, the vanes, slippers, pistons, gears, etc. It therefore
seems reasonable to begin with the nearest approximate shapes and sliding conditions
and extrapolate the results to the irregular practical shapes. Effective extrapolations
requires experience with pumps in practical service and some knowledge of the way they
fail, but with pumps the gap is too wide even for most experience to bridge.
There is another gap to bridge in design in that hydrodynamic theory only provides
the requirements for effective lubrication, not for wear or other modes of surface failure.
An apparent assumption in these design aids is that when a mechanical device operates
continuously under the conditions of the calculations, the life is predictable, probably
implied to be infinite! Lubrication theory for the shapes of components in hydraulic
pumps is not further discussed in this paper, but some insight into the regimes of
lubrication follows.

Regimes of Lubrication
The several states of lubrication discussed in much of the literature of the field are
often shown together in a diagram known as the Stribeck curve. Atypical curve is
shown in Figure 1, which shows the approximate variation in the coefficient of friction
over a range of sliding conditions of a shaft in journal bearing. The quantity, ZN/p had

boundary
lubrication

coefficient ~----~y hydrodynamic

offriction r:;~ea ' ~
mixed
lubrication
logZN/p
Figure 1. The form of a Stribeck curve, showing the coefficient of
friction versus ZN/p, where Z is the viscosity of the lubricant, N
is the shaft speed (RPM) and p is the contact pressure between
the shaft and bearing.

been shown by Sommeffeld and others to be the controlling variables in bearing

"friction." [1]. Generally the larger the ZN/p value the thicker the fluid film between the
shaft and bearing. The right hand end of the Stribeck curve is the thick film region and
referred to as the "hydrodynamic" regime. As Z or N decrease, the coefficient of friction
decreases, largely because viscous resistance in the oil film decreases more quickly than
does the fluid film thickness. As p increases the coefficient of friction decreases because
the fluid film thickness decreases proportionately less than the load increases.

The principle of hydrodynamic action is that fluid is gathered under the front of a
slider in the entrance region, as shown in Figure 2. The greater the sliding speed and
viscosity, the thicker the film will be and the wider the slider the more, relatively, will be
retained in the area covered by the slider. If the slider is long and there are no avenues

Figure 2.Flow path for fluids "gathered" under the entrance region of a
slider, immersed in fluid and sliding on a flat surface.

for escape of fluid to the side, the slider can carry a large load, or in the terms of
hydrodynamic equations, a thick fluid film will be sustained.
At some low value of ZN/p the friction rises because of inadequate lubrication, and
the microscopic roughnesses or asperities begin to interact with, or touch each. Some
authors refer to the point at which friction rises as the beginning of "mixed lubrication",
that is, a mixture of adequate fluid film lubrication over most of the contacting surfaces,
with some high friction action in the unlubricated asperity contact regions.
At still smaller values of ZN/p one would suppose that very severe wear and
adhesion would occur because of adhesion or galling of asperities. However, total
galling is averted because of some unknown mitigating condition not attributable to the
viscous properties of the lubricant. This is the condition known as boundary
lubrication. There is some ambiguity in the use of the term because several conditions
are so described, such as:
a. Lubrication in the state between adequate and inadequate lubrication,
b. An ill understood phenomenon at the sliding boundaries that protects surfaces
better than can be expected when a calculated fluid film thickness exists that is
too thin,
c. The state of sliding that produces some benchmark coefficient of friction such as
0.1, 0.15 or even 0.2, but higher than expected with full-fluid-film lubrication,
d. The condition where asperity collision occurs during sliding, expressed as a
lambda (A) ratio less than one, where A = ho/cr, the ratio of calculated fluid film
thickness, ho, to the composite height, or, of asperities on opposing surfaces.
The quantity ~ is calculated from (a~2 + a22)~ the subscripts refer to
bodies 1 and 2. As a general principle, almost all commercially lubricated
mechanical components operate in the regime of A less than 1, more likely 0.1
with some occasions as low as 0.01. Infinite product life is rarely expected!
The Stribeck curve as usually sketched omits one important regime of lubrication,
and that is the elastohydrodynamic regime. It had been found already 75 years ago that
surfaces survived severe sliding conditions quite well even when A is significantly less
than 1, as A is usually calculated. Analysis showed that non-conforming sliding pairs
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6 HYDRAULIC
FAILUREANALYSIS

will conform to each other somewhat by elastic deformation, such that the load
carrying area is larger, and the contact pressure is less than is calculated by not
accounting for elastic deformation. In addition, research had shown that the viscosity
of oil increases when high pressures are imposed upon it. All of this knowledge was
put together into equations of elastohydrodynamics. These equations are of the form
(and cited here not as relevant to design problems of hydraulic components, but only to
indicate some important variables in lubrication): [1]

0.6 '~U 0.7

ho
(wv_
LER)
(1)

where ho is the minimum fluid film thickness in the c o n t a c t region, R is a

composite radius of curvature of two contacting bodies calculated by I l R
= 1 / R I + I l R : , E is the plane strain elastic modulus of the material, r I is the
bulk viscosity of the lubricant, cc is the pressure-viscosity index of the
lubricant (the amount by which the viscosity increases with pressure
increase), U is the composite surface speed of the two bodies, W is the load
applied to the surfaces, and L is the width of contact.
There are several such equations, each with different constants and exponents, each
derived from data for different mechanical shapes. Equation 1 is for two disks (cylinders
of length L), contacting edge to edge, immersed in lubricant, each one turning at
different speeds. The value of k in this geometry is 0.88. Eq. 1 has no provision for
length-of slider, though the length in the case of two disks can be inferred from elastic
flattening of a cylindrical shape. Neither does Eq. 1 state what minimum film will
prevent catastrophic scuffing failure.
The place of elastohydrodynanaic lubrication on the Stribeck curve is shown in
Figure 3. But further, the abscissa in the mixed and boundary lubrication regimes really
cannot be ZN/p because friction is due mostly due to phenomena other than the viscous
resistance in the lubricant. The abscissa is undefined in this area.
Thirdly, though the "boundary lubrication" regime is shown to be at the far left of the
curve, its location is ultimately a matter of definition. If boundary lubrication is defined
as the state of lubrication where the physical properties have no effect on friction, it is
doubtful that any regime limits can be defined. If, however, boundary lubrication is
defined as involving some chemical activities in the sliding interface, then the boundary
lubrication regime probably extends into the elastohydrodynamic regime somewhat.
These are ultimately small points, having no bearing on the basic issue of the state of
inadequate lubrication. Sliding surfaces are damaged where there is insufficient
lubrication, and there is no good way to predict the limiting condition of pump operation
that will induce such severe damage. Severe surface damage may not produce any wear
at all, that is, no material may be lost. Very often surface damage is of the form of
relocation of material on the surface, making the surfaces so rough that the pump
vibrates severely, or else fluid sealing is lost due to the roughness. This form of damage
is referred to as scuffing, scoring, and sometimes galling. So, the condition for full fluid
lubrication does not exist and we cannot yet predict the condition for scuffing.

regime of
chemical action

traditional elastohydrodynamic
boundary regime
lubrication ~I
coefficient
offriction ~ ? hydrodynamic
regime j

m i x e d ~
lubrication
undefined log of ZN/p
Figure 3. An altered Stribeck curve that reflects the elastohydrodynamic
regime and the regime of chemical influence on lubrication.

Why Designing for Scuff Prevention is Not Yet Possible

The terms scuffing will be used here to mean the catastrophic modes of failure of sliding
components that are exposed to lubricants. Some alternate terms are scoring,
galling, and adhesion. Note also that this discussion is about sliding components
exposed to lubricants, a term used to avoid the implication that components immersed in
lubricant are always adequately lubricated and likely will not scuff (score, gall, adhere,
etc.). [2,3]
Several authors have proposed so far that the friction in boundary lubrication is the
summation of the sliding resistance offered by some asperities in a state of adhesion or
(metallic) bonding plus the resistance to sliding offered by viscous drag in all other
regions of nominal contact. This is shown in Figure 4. Tallian [4] developed a plausible
model expressing the relative amount of load carried by asperities versus that carded by
a fluid film. He predicted the trends (not actual values) in wear rate of sliding pairs,
which prediction was fairly well validated by experiment, though in the test there would
likely have been some chemical conversion products on the sliding surfaces. However,
having apportioned loads to asperities versus fluid regions between the sliding surfaces,
it is not possible to predict the friction with much precision. Nor has anyone yet shown
how such a model can predict the conditions for scuff prevention.
So the question remains, why can scuffing not be predicted from work of the type of
Tallian? The answer is that Tallian did not include all relevant variables in his model. In
the usual assumptions, asperity contact is said to occur between two spherical shaped
asperities, neither of them covered by oxides, adsorbed substances or any other
materials. It would not be fair to fault the authors who assume the above because the
actual substances on boundary lubricated surfaces have not been characterized to any
extent: but yet, the key to understanding boundary lubrication is the understanding of
those substances. They cannot be dismissed because there is ample evidence of their
existence.
Modelers often treat interfaces as black boxes, which is simply an entity that alters
the input state into some output state. Whereas this approach is satisfactory for
representing specific mechanical systems, in boundary lubrication the content of a black

box changes with time and circumstances. Oxides and polymer-like films grow and are
removed continually, and the dynamics of these changes vary with local temperature,
local concentration of active chemical species, and the amount of plastic flow on the
metal surfaces, average contact area and several other variables. Whereas many of the
relevant phenomena have been identified, they have not been modeled or even well
characterized.

Figure 4. A section view of the contact region between two rough

surfaces. In some there is "asperity contact" where there could be
adhesive resistance to sliding, whereas elsewhere there will be sliding
resistance offered by shearing of the interposing fluid (lubricant).

Having said that is not to say that all equations should be abandoned or that designing
should be done by guessing the required sizes, strengths and surface roughness of
components. It is wise to calculate contact stresses, fluid film thickness, surface
temperature rise and other surface conditions. But little else can be expressed in
numerical format because of the mechanical/chemical chaos within the interface region.
Attempts to model the condition of boundary lubrication have really only shown that the
variables are not linear in their effects and further that they are interdependent. For
example, there is the widely held position that all combinations of contact stress, p, and
sliding speed, V, where the product PV=C constitute equivalent states. This is not often
true, particularly as an indicator of impending scuffing, which very directly threatens the
life of a pump.
It appears that beyond the few known analytical tools, which are expressions of ideal
states, a designer of hydraulic pumps has few guidelines for use. Completing a design
then requires either a (foolish) leap of faith, or some new logical strategy. That strategy
is none other than simulative and informed testing.

The Missing Quantities in Analysis of Lubrication

Elastohydrodynamic equations can be used to estimate fluid film thickness, but they
really only apply to smooth surfaces. All commercial surfaces are rough to some extent.
This roughness and the difficulty of finding the exact equation for pump parts result in
very approximate fluid film thickness values. These calculations do provide a valuable
perspective on the state of lubrication, however, even though they may be inaccurate by

a factor of 2 or 3. But, there are other reasons why designers do not have the luxury of
using only these equations to complete a successful pump design:
a. Hydrodynamic calculations assume a steady state of operation: they cannot
provide a perspective on the deleterious effects of stopping and starting of real
machinery,
b. Criteria for the limiting conditions of hydrodynamics (usually A less than 1) are
only approximate and do not account for the role of the role of the materials, the
chemical reactivity of the lubricants, or the changing surface roughness in
operation, in a mechanical system
c. The conditions of contact between two parts in a pump are far from the few ideal
systems that have been modeled so far.
Point a is self-evident. As to point b, history verifies this position. In the early days
of internal combustion engines it was not possible to equip an airplane with engines
containing hydrodynamically lubricated parts, and have the airplane fly. It was
necessary to build smaller and faster engines that were marginally lubricated. For
reasons not well understood in that time, the less ideal components survived, though
there was some suggestion that oil possessed some chemical qualities that bolstered the
physical quality known as viscosity. (This finding brought about the growth of research
in oil companies to enhance the unique qualities of oil, which then were expressed in
chemical terminology. Thus began that great divide between the mechanical and chemical
ways of describing why inadequate lubrication works so well.)
As to point c, pumps suffer from several abuses, such as:
a. Repeated circulation of debris, debris from both the manufacturing process and
from wearing of its own parts,
b. Widely varying contact pressures on the sliding members from:
1. Variations in the operating pressures,
2. Internal pressure pulses,
3. System errors, such as unresponsive relief valves or wrong valve phasing,
c. Momentary interference fits between joining parts due to differential thermal
expansion and differential elastic distortion from the loads imposed on the parts
d. Hydraulic fluids of the wrong type, or fluids that are contaminated with
water,
e. Standing still with corrosive constituents inside,
f. Manufacturing errors, misalignment, etc.,
g. Operation in dirty environments where abrasives could pass through the shaft
seals.
It would be very useful if one could quantify the abuses that pumps endure and
predict the wear life of the pumps. There is no direct way to do this. It is even more
difficult to predict when failures wile occur by the catastrophic scuffing and galling
modes. These can and do occur in the first hours of operation far too frequently. The
scuffing and galling modes cannot be predicted at this time. So, testing is necessary.

Testing
Tribological testing of complicated mechanical components must be done on the
prototype of a final product, not on a bench test. An informed substitution of an ideal
shape as in a bench test for a complicated practical shape requires a model in which the
relevant variables are properly represented. The only reasonable exception is that the
project director have considerable experience with bench testing of the previous
components that are now under study for improvement and have a firm grasp of the
basic tribology. The logic of this recommendation may be seen in sporadic attempts in
academic laboratories to correlate the results of several types of bench tests (pin-on-disk,
block-on-ring, V-pin, etc.) using the same materials and lubricants. Each bench test uses
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10 HYDRAULIC
FAILUREANALYSIS

specimens of different shape, produces different contact geometries and ingests lubricant
into the contact region in different ways. Each expels or retains oxide and debris in the
sliding track in different ways, and each test machine is mechanically flexible in different
ways. Their results rarely correlate, which means that none is likely to simulate practical
machinery either.
The importance of this issue may be seen in attempts of various committees in the
ASTM formed to develop standard test methods: several people, each with identical test
devices will obtain data and compare their results with others. The several results are
often widely different, and it takes several iterations of test procedure to achieve good
correlation. This problem adversely affects the understanding of research results as well,
with the consequence that published results using a particular test device can often not be
duplicated in other laboratories which use the s a m e testing device.
In testing, there is the strong temptation to run accelerated tests. Usually this consists
in running a device with higher applied load or running at higher speed, etc. than in
practical applications. Whereas accelerated tests, based on the intuition of the operator do
on occasion produce useful results, too often the opposite occurs. For example, if the
design configuration is intended to operate at A <1, where there is some danger of
scuffing, accelerated testing at higher speed would likely increase the value of A to some
number greater than 1, which would likely not produce scuffing failure.
In testing there is a strong temptation, and a compelling practice to establish a test
matrix (design of experiments, etc.) involving several relevant variables. In the case of
hydraulic pumps, the variables are likely to include hardness of the steel (or bronze),
surface roughness, sliding speed, fluid type, applied load, among others. The selection
of the specific values of these variables may well be within reasonable ranges, but the
conclusions reached from this exercise is likely to be very limited in value. In the
ordinary use of the test matrix approach one assumes that there is a single measurable
output quantity. Examples are wear amount, or changes in coefficient of friction, or
changes in surface roughness. In wear testing there are often discontinuous or non-
progressive events, such as transitions in wear mode, or tendencies to scuff, which may
be more important than wear amount.
In testing there is the strong temptation to test under ideal conditions, beginning with
carefully made specimens, cleaning them in acetone, alcohol etc., and operating the test
in quarters that are comfortable for the operator. By contrast, practical pumps often
vibrate, they operate with components that are nicked, have burrs on them and have
debris circulating within them. These latter conditions may well control pump behavior
more than a wide range of test variables.
In testing there is also the unprofitable practice of using a test protocol that had been
established years ago for products long since upgraded or discontinued. Sometimes
these tests were developed by engineers who have since been promoted to management.
Young engineers, either out of deference to senior engineers, or out of reluctance to
displace the opinions of their supervisor, simply use the now obsolete test without
careful review of its worth.
Finally, in testing there is the strong tendency to obtain numbers (e.g., wear amount)
from the test after some given, and intuitively selected time interval of testing. Amuch
more useful test will involve continuous attention, watching for changes in behavior,
with intermittent observation (visual and microscopic) of the sliding surfaces and nature
of wear debris. This goes beyond the experience of designers, largely perhaps, because
most designers have no use for such results. However, periodic observations have
meaning for the materials people who can recommend changes in test variables and
materials that might move a design in the right direction.
The field engineer should also be involved in observing these test results. He will
likely have seen much component damage in the field and could give advice on how test
results might come out under conditions he might prescribe.

The Human Element in Product Design

The human element is worth exploring briefly, and is often as (more?) important as
the understanding of the fundamentals of tribology. It seems obvious that the most
successful (re)design and simulative testing programs should be a group effort,
involving the most cognizant people involved with the product. To accomplish this the
cognizant people in the various involved groups must come to agreement on goals,
which often requires great effort and good management because some very different
temperaments and skills are resident in most groups. For simplicity these groups can be
identified as: the design / product development group, the failure analysis or diagnostic
group and the field engineer / product representative group. Each of these groups has a
different perspective on the performance of current products and different ideas on how
to improve the products. The capabilities in each group and the amount of effort allowed
to reach accord will vary according to the degree of sophistication and focus of a
company on narrow lines of products, but the three temperaments and interests
nonetheless influence the progress of design considerably.
Designers come with a wide range of skills and the examples here will be those with
some experience but who have not become experts in tribology. Often their means of
communication is through CAD-CAM programs and they are usually oriented to stress
analysis and other analytical methods. They are usually responsible for many
components at once and do not devote full time to parts that wear or scuff. They are n o t
always fully informed on the behavior of pumps in the field and probably do not
understand what the materials people observe in failed or failing parts.
The second skilled group is called upon when pump parts fail, and these are the
materials people. Their mode of communication involves hardness values, photos from
optical microscopes, electron microscopes, X-ray fluorescence spectra, etc., which few
others in companies understand. The materials people are called upon when there are
urgent problems and are rarely asked to follow the progression of wear in long lasting
components.
The third group is the field engineers, who have a broad view on how their products
behave in the wide range of product use. Their knowledge is usually anecdotal in nature,
having to rely largely on the observations of end users on how components perform.
They often call upon the materials people to examine failed parts to determine whether
the failure is due to defective parts or due to misuse by the end user. Designers rely on
field engineers to provide information on the general reliability of components, but do
not often get solid information on the important causes of component failures.
Whereas all three groups are usually diligent in their work, the discipline of
substantive communication is often incomplete. The three groups may have a detailed
reporting procedure in place and may hold frequent coordinating meetings, but often the
flow of information is likely to lack the basic elements relating to the fundamental causes
of pump failure.
The basic problem is the lack of good design algorithms, equations or lists of the
combinations of materials, lubricants and surface roughness (etc) for preventing
scuffing. These would serve as a prime basis for communication if available. One would
hope that experts could help in these areas, but experts and the learned publications do
not help much either: these lack the vital experience with the product. Ultimately the best
progress is made when everyone involved listens to each other and to what pumps
think is happening to them in their final use.

References:
[1] Hamrock, B. J., "Fundamentals of Fluid Film Lubrication," J. Wiley and Sons,
New York, 1993
[2] Hutchings, I. M., "Tribology," CRC Press, 1992, Boca Raton FL, Chap. 5.
[3] Ludema, K. C, "Friction, Wear and Lubrication: ATextbook in Tribology," CRC
Press, 1996, Boca Raton, FL, Chap. 9.
[4] Tallian, T.E., McCool, J.I., and Sibley, L.B., Institution of Mechanical Engineers,
1 Birdcage Walk, London, 1965, v.180-3B, p. 238,

Mechanisms of Abrasive Wear in Lubricated Contacts

Reference: Williams, J. A. and Hyncica, A. M., " M e c h a n i s m s of Abrasive Wear

in Lubricated Contacts," Hydraulic Failure Analysis: Fluids, Components, and System Ef-
fects, ASTM STP 1339, G. E. Totten, D. K. Wills, and D. Feldmann, Eds., American Society
for Testing and Materials, West Conshohocken, PA, 2001.

Abstract: Despite the fact that many machine components are designed to operate with a
comparatively thick film of lubricant between the loaded surfaces these often still
deteriorate with time as hard particulate contaminants are swept through the bearing gap.
Such particles may arise from the external environment or represent wear debris from other
pairs of surfaces lubricated by, or in contact with, the same fluid. In order to investigate
this phenomenon experimentally it is necessary to develop a predictable hydrodynamic film
between the test surfaces which can be contaminated by small volumes of carefully graded
abrasive particles. A foil bearing has been used to generate such films between 10 and 50
microns thick and to which contaminants such as powdered quartz or finely divided
diamond can be added. As the ratio of the characteristic particle size to film thickness is
varied not only do the wear rates of the solid surfaces change but examination of the wear
tracks suggests that very different mechanisms of material loss come into operation. When
the size ratio is low the worn surface consists of a large number of small pits and
indentations; these display virtually no alignment in the direction of relative sliding and it
appears that the particles tumble and roll freely through the gap. Above some critical value
of the particle:film size ratio the appearance of the surface changes dramatically to a
grooved or micro-machined surface with all the grooves aligned in the sliding direction. A
relatively simple theoretical model is developed, based on what happens to a typical
particle, which goes some way to explaining these observations. As well as being
consistent with the observed transition from "tumbling" to "grooving", the model can also
explain why increasing the hardness differential between the hard and the soft surfaces
does not always lead to a reduction in damage to the harder member of the pair.

Keywords: abrasive wear, lubrication

1 Cambridge University Engineering Department, Trumpington Street, Cambridge,

CB2 1PZ, UK.
2 DCTA, Colchester, CO2 7SS, UK.
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14 HYDRAULIC
FAILUREANALYSIS

Introduction

Most tribological pairs are designed to operate in the presence of a lubricant. If

possible, the geometry of the components and the conditions under which they run are
chosen to encourage the generation of a hydrodynamic film between the solid load bearing
surfaces; if this film is comparatively thick, that is of a dimension greater than the sum of
the expected surface asperities, then direct interaction between opposing asperities is
avoided (other than perhaps during starting or stopping or initial running-in). In theory
therefore, there should be no solid contact in normal operation and consequently minimal
wear; eventual loss of material from either surface depends on some form of surface or
sub-surface fatigue mechanism. However, in practice, lubricated contacts often do suffer
surface degradation and a major contributory factor is nearly always the damage done by
hard contaminant particles ingested into the gap from the external environment. If these
contaminants remain in suspension we have the classic situation of three-body wear; if the
particles become firmly embedded, or wedged, in the gap, i.e. are stationary relative to one
or other of the component surfaces, then the situation has become one of two-body wear.
The greater part of the literature on wear has concentrated on two body wear and
results of this form of test are usually interpreted in terms of the following equation

normal load x sliding distance

Wear volume lost from surface = Constant x hardness (1)

This is sometimes known as either the "Archard" or "Rabinowicz" relation [1,2]. It

is worth noting that for a surface to be worn there must be actual loss of mass; a surface
undergoing plastic deformation which, although modifying its topography, fails to result in
material detachment is not, strictly speaking, worn at all. Equation (1) suggests that wear
volumes increase with both the severity of the loading and the sliding distance, and should
be reduced by making the wearing surfaces harder. However, to obtain quantitative
predictions of wear rates requires that the constant, which is always very much less than
unity, be given some form of statistical interpretation, representing the "likelihood" of the
formation a wear particle from the softer, abraded member.
In the case of three-body abrasive conditions, the position is much less clear.
Generally the situation will be one in which the two surfaces in relative motion are of
different hardnesses with the gap between them contaminated by abrasive particles with a
hardness greater than both. Loss of material depends not only on the hardness of the
softer, wearing surface but also on those of the counterface and the contaminant. In
situations in which lubricated contacts are liable to abrasive contamination it is usual
practice to protect the more important, or expensive element (nearly always the shaft or
journal) by a surface hardening treatment, and to use a much softer and to some extent
sacrificial, counterface. Typically the shaft will be at least three times as hard as the
bearing. However, increasing this hardness differential does not always reduce the wear
rate of the shaft [3,4]. If the abrasive particles become partially embedded in the softer
counterface then they can act as particularly aggressive asperities, gouging and machining
an increased volume of material from the harder surface. "Wire-wool" damage in plain
journal bearings is an extreme example of this type of mechanism.
Although many industries have developed comparative tests to evaluate materials for
wear resistance or abrasives for aggressiveness, and there have been a number of
laboratory studies in this area [3-18], there is, as yet, no universal standard scientific test
for lubricated three-body abrasion. For obvious economic reasons running complete
mechanical assemblies with lubricants contaminated by particulate materials is expensive
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WILLIAMS AND HYNCICA ON ABRASIVE WEAR 15

and time-consuming and, in any case, the results may not be easy to interpret. As
components such as conventional journal bearings or face seals wear, so their clearances
and critical dimensions change and this, in turn, can modify hydrodynamic film
thicknesses from the design values. The majority of two-body wear work is carried out on
pin-on-disc or pin-on-cylinder machines; if these are operated in the presence of viscous
fluids then unacceptable scatter is often found in the resulting data as a result of the
relatively uncontrolled hydrodynamic lift between the loaded surfaces. The principal
purpose of the work presented here was to elucidate some of the mechanisms by which
surface damage and degradation can occur when fluid films become contaminated by
abrasive particulates.

Experimental Arrangements
An essential requirement of any experimental arrangement for such tests is that a
reliable fluid film, whose thickness can be easily controlled, is generated between the test
surfaces. One way of achieving this is to make one surface very flexible and then use
hydrodynamics to generate the film. In a foil bearing [19] the compliant surface consists
of a thin metal strip or foil which is wrapped, under tension, around ~a cylinder immersed
in a bath of viscous fluid. A hydrodynamic film is formed by the rotation of the cylinder
while the flexibility of the foil allows it to track any slight eccentricity or out-of-roundness
of the cylinder without significantly effecting the dimensions of the film. Similarly, the
film thickness is not affected by small changes in the cylinder diameter due to either
manufacturing tolerances or wear during the course of the experiment. Figure 1 shows the
apparatus diagrammatically. The foil F (in most of the tests of 316 stainless steel) was 10
mm wide and approximately 50 microns thick; it was clamped in self-aligning swivels and
tensioned by loads W up to 1.5 kg. The cylinder C was 25 mm in diameter and was
driven by a brushless dc motor whose speed can be held over long periods to better than
+1 rpm and is set by the host micro-computer. The fluid was a high viscosity mineral oil
(Shell HVI-60 Brent); viscosity is maintained constant by controlling the temperature to
+I~ using a three term controller which activates both a bath heater and, when necessary,
a cooling fan.

loading beam
rCn
-"J r/;,
clampI
foil F weig

cylinder x
C

Figure 1 - The foil bearing rig: diagrammatic arrangements of mainfeatures,

The behavior of a foil bearing in which the foil has no effective bending stiffness has
been investigated both theoretically and experimentally [19-21]. If the foil is infinitely
wide in the axial direction, so that there is no axial flow or leakage from the gap, and the
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16 HYDRAULIC
FAILUREANALYSIS

fluid is incompressible, then the film thickness h must be constant. Under these
circumstances the governing Reynolds' equation around the arc of contact can be solved
[20] to give
6___~}2/3
h = 0.643 R , (2)

where 7/is the fluid viscosity and U the surface sliding speed, R the radius of the cylinder
and T the tension per unit width. The shape of the entry and exit regions can also be
predicted [21]: towards the exit, where the pressure falls rapidly, there is an example of the
characteristic hydrodynamic constriction or "nip" where the film thickness is locally
reduced, in this case to about 70% of its value over the greater part of the bearing.
The assumption of infinite width means that fluid flow and pressure gradients are
entirely circumferential. The equations for the infinitely long case can still be used for finite
width bearings as long as the pressure gradients in the axial direction are very much
smaller than those around the circumference. For the experimental bearing the film
width:thickness ratio was of the order of 500:1 and so it is reasonable to use these simple
infinite width idealisations within the entry and exit zones. However, in the region of
uniform film thickness, which actually constitutes the greater part of the arc of contact,
axial pressure gradients will predominate and there will be some axial leakage which
cannot be ignored.
Real foils are, of course, not entirely inextensible; the foil is actually slightly barrel
shaped because the pressure at the centre is greater than at the edges. As the deflected
shape of the foil depends on the pressure distribution, but this in turn depends, through
Reynolds' equation, on the shape, it follows that the prediction of the precise foil geometry
is not entirely straight-forward. A numerical procedure was developed [22,23] to solve the
relevant governing equations, and the output for a typical set of operating conditions is
illustrated in Fig. 2. This shows one half of the symmetric axial film profile at six stations
along the arc of contact; the gradual reduction in the thickness of the film, indicated by the
ratio h/hinlet, is apparent as is the slight barrelling of the profile, hinlet is the thickness of the
film at the start of the angle of wrap. The axial distribution of the pressure p remains very
close to parabolic throughout.
Confirmation of the film shape and thickness can be made by measuring the electrical
capacitance between the foil and the cylinder; such measurements have demonstrated very
satisfactory agreement [23].

Wear Experiments

For a wear experiment the oil was contaminated by a small volume of carefully
graded particulate abrasive at a concentration, typically less than 1 gramme per litre, which
was insufficient to change its bulk properties. Abrasives used included finely divided
silicon carbide, quartz and synthetic diamond. During the course of the experiment a wear
track was produced on the test cylinder and the amount of wear could be measured either
by weight loss or, more conveniently, by surface profilometry. Before the test, axial
profile traces were taken at three marked stations around the circumference of the cylinder.
Similar traces could be taken at appropriate intervals during the test: these were then
superimposed so that the unworn sections match and the worn area measured.

I averageinletfilmi~licknesslg.7
1 --'-~-~-~:~_......~..~. 2

t
o

"o
al

0 0.5
centre of bearing edge of bearing
distance acrossbearing

Figure 2 - Film profile and pressure distributions at six equally spaced stations
around the bearing gap. The slight 'barrelling' of the foil can be seen, although
the pressure distribution is very close to parabolic throughout. The calculated
mean inlet and outlet film thicknesses are also indicated. (Conditions; speed
0.916 m/s, viscosity 0.044 Pas, foil tension 2 kN/m). A non-dimensional
pressure of unity corresponds to an actual value of pressure equal to
0.16 MPa.

By standardizing film thickness and abrasive conditions, the rig could be used to
compare the abrasion resistance of candidate tribological materials and surface coatings.
Alternatively, by fixing the materials of the cylinder and the foil, the rig can be used to
rapidly rank the abrasiveness of particulate contaminants. Table 1 shows some data of this
sort using four different abrasives (all potential contaminants within internal combustion
engines and each with a mean Stokes' diameter of about 8 microns) at a concentration of
160 mg per litre and with a minimum fluid film thickness of ca. 10 microns. The two
cylinder materials tested were phosphor bronze and chilled cast iron. The figures in the
table are the wear volumes produced after 10 hours of running.

Table 1 - Wear volumes (mm3) from the rotating cylinder

Abrasive Contaminant
quartz petroleum rust catalyst
Cylindrical specimen
coke fines
Phosphor bronze HV = 217 197 6.6 9.8 19
Chilled cast iron HV = 580 12 neg. 6.5 5.9

Looking along the rows gives an indication of the comparative abrasiveness of these
four contaminants. As anticipated, quartz (the hardest) is by far the most damaging.
Reading vertically shows the effect of changing the material of the cylinder; in each case
the harder cast iron is more resistant to damage, although the ratio of the cast iron to bronze
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18 HYDRAULIC FAILURE ANALYSIS

wear volumes is neither the same for each abrasive nor equal to the ratio of their
hardnesses (as might be suggested by equation (1)).
When the behavior of the phosphor-bronze:quartz combination was examined in
more detail, it is clear that if the film thickness was greater than the maximum dimension of
most of the particles there was little wear. The wear volume from the cylinder began to
increase rapidly once a reasonable proportion of the abrasive was larger than the film
thickness h. In addition, this difference in wear rate was associated with a quite different
surface morphology, see Fig. 3. When h was comparatively large (compared to the
particle size) the surface of the cylinder showed a random wear pattern, with very little sign
of any directionality to the deformation. The surface consists of a series of closely spaced
pits and indentations and is rather reminiscent of a randomly eroded surface. On the other
hand, when h is small the surface was very different, consisting of an array of parallel,
closely spaced, machined grooves and looks much more like a conventional severely worn
surface.

Figure 3 - Micrographs of the worn surface of phosphor-bronze specimen:

(a) randomly pitted surface at relatively large film thickness (D/h < (D/h)j);
(b) heavily grooved surface (D/h > (D/h)l). Bar is 20 I~rn.

This same difference in surface morphology has been observed with a variety of
both cylinder and abrasive materials including finely divided diamond (De Beers grade
Micron CDA); this can be obtained sized within rather stricter limits than other candidate
abrasives and has a characteristic cubic or "blocky" shape. It is perhaps sensible to
expect the change in wear mechanism to be associated with a particular size ratio, (D/h)~
where D is the largest dimension of the particle and h the minimum film thickness.
Figure 4 shows some data for a phosphor-bronze cylinder running with diamond
abrasives of two sizes, 20 and 60 lxm. In the figure wear has been expressed in terms
of the volume lost per gramme of the abrasive that has been swept through the gap
during the course of the test. This observed value is then plotted against the ratio D/h.
The statistical distribution of particle sizes in a particular batch of the diamond abrasive
is known and for convenience D has been taken as the value whichqncludes 95% of the
particle sample. The increase in wear rate apparent in Fig. 4 is really rather more
dramatic than the curves indicate at first sight since; as the film thickness falls, so does
the volume of lubricant, and therefore the number of abrasive particles being swept
through the gap.
Again there was a distinct change in surface morphology with an increase in the
value of D/h from apparently random pitting to a strongly grooved surface; this change
was found to be associated with a relatively small change in D/h. The critical value at
which grooving damage started to become apparent was just below 2 If D/h <2 a
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WILLIAMS AND HYNCICA ON ABRASIVE WEAR 19

random pitted wear surface was formed, while if D/h > 2 the surface showed strong
directional grooves.

lOO ==60 micron

9 20 micron
e~
m 10
E
E

i i I i I i 1

1 2 3 4
Ratio particle size:film thickness D/h
Figure 4 - Wear volume per gram of abrasive passing through the bearing
for phosphor-bronze specimens and diamond abrasives vs. D/h ratio.

Mechanics of Surface Damage

To produce such long parallel grooves of Fig. 3(b) it is clear that there must be a
difference in linear velocity between the particle and the wearing surface: to some extent
the particle is 'stuck' in the opposing counterface. Although it is possible that there are
several thousand particles present in the gap ~tt any moment, at the sort of concentration
employed they are likely to be several tens of particle diameters apart. Thus, it is
reasonable to think of them as acting independently of each other and, in developing a
model of abrasive activity, to consider the mechanics of a single representative particle
[23,24]. Such a particle is shown diagrammatically in Fig. 5; initially we consider the
two-dimensional case, in other words, model the particle as a long prism with a cross-
section which is rhombic in shape. The longest diagonal of the cross-section is D and
the angle/~ (which describes its shape) must be such that 45~ ~
\\\| \\\\

////| mot,o.
Figure 5 - A single abrasive particle is described by parameters D and ft.
Lower surface moving from left to right.

Now consider what happens when such particle is introduced into the fluid film,
(Fig. 6); the local film thickness is h and the lower surface (B) is moving from left to
right relative to the upper (A). Clearly if D/h<l then the particle can pass through the
gap making only very occasional impacts with the solid surfaces and so produce
relatively little damage to either of them. However, if the particle is larger than this, as
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20 HYDRAULIC FAILURE ANALYSIS

shown in Fig. 6(a), it is likely to catch and indent the solid surfaces, which we suppose
initially each have the same hardness. The force associated with each indentation,
which is rather like an oblique hardness test, will be related to the scale of the
indentation and to the hardness H of the solid. Using the analogy of a Vickers hardness
test, the indentation force R will be equal to the product of H and the projected area and
act in a direction perpendicular to the indenting face, as indicated in Fig. 6(a) and (b).
As there is a similar indentation occurring at the opposite comer of the particle, the two
forces R, which will not generally be collinear, form a couple tending to rotate the
particle - in this example in a counter-clockwise sense, again as in Fig. 6.

\\\\| ~ \\\

//// . ///

(a) (0)
Figure 6 - When D/h<(D/h)l the particle tumbles through the gap as a result
of the couple it experiences in (a) and(b), doing relatively little damage to
the solid surfaces.

Providing the particle is not too large, it may rotate sufficiently to lose contact
with the solid surfaces altogether, leaving them with only a certain amount of pitting
damage associated with the indentations that have occurred, but with no severe
grooving or machining; this is illustrated in Fig. 6(c). The critical particle size:film
thickness ratio (D/h)~ for this to be possible is simply related to the angle fl by the
relation
~-} = sec]~. (3)
1

Now consider what happens as the film thickness further reduced (i.e. for a given
abrasive) the ratio D/h is increased. The sequence of events is illustrated in Fig. 7(a) to
(c). Initially, in Fig. 7(a), the situation is as in Fig. 6(a) but now as the particle rotates
the 'blunt' comer makes contact with the solid substrates, so that it is still subject to a
rotating couple, Fig. 7(b) and 7(c). The particle continues to rotate until eventually the
two forces acting on it become collinear, Fig. 7(d). When this happens there is no
impetus to cause further rotation and so the particle will tend to remain at this
inclination, shown by the angle 01. By symmetry, the line of action of the two
indentation forces pass through the geometric center of the particle, and we should
expect an equivalent amount of grooving or machining damage to each of the solid
surfaces. The depth of the groove is shown as A. In fact, even if the surfaces are of
different hardnesses the argument is little modified. The value of 01 is unchanged, only
now the line of action does not pass through the geometric center of the particle but is
displaced towards the softer surface, shown as surface B in Fig. 7(e). Both surfaces are
still grooved although AA the depth of the groove on the harder surface will be
correspondingly less than An the groove depth on surface B.

\ \ \ ~ h

(,) / (~)

groove
\b~. _.....~, \ \ \

R R 6
groove

(c)

Figure 7 - (a) to (d) When D/h>(D/hh the particle rotates until the a position
of equilibrium is reached at a particular inclination O; both surfaces suffer
grooving.

a, (~ \ \ \ \ g..... r/---t.-n "~".\\

(I)
(.)

Figure 7 - (e) A similar situation is possible even when the surfaces have
different hardnesses, the inclination is still 01: (f) particle lodged in lower
softer surface at inclination 01 ; Ilt is the attack angle related to 01 and fl by
equation (6).

By considering the equilibrium of the particle we can relate the value of 0, to the
ratio D/h and the angle fl, and obtain the equation

D { 1 + tan2(fl + 01)} tanfl

h" = cos 01tan2(fl + 0,) - 2sin0, tan(fl + 0~) - cos0t (4)

This relation is shown graphically in Fig. 8 for a value of fl = 55 ~ (the reason for
this choice of numerical value is given below): note that ifD/h is less than 1.74 then no
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22 HYDRAULIC
FAILUREANALYSIS

"equilibrium" position is possible and the particle continues to tumble through the gap;
this value corresponds to sec 55 ~ and thus to equation (3).

4~
0
3~
1o
2(
20
e~7o
3o

2 4 5 8 !

%
Figure 8 - Relation between inclination O1 and particle size.film thickness
ratio D/h for particles with fl = 55 ~ ; v is the attack angle.

Discussion

Effects of Geometry and Hardness

The model of abrasive behavior presented in the previous section makes the
prediction that there is some critical ratio of the largest particle dimension to the
minimum film thickness which, if exceeded, will lead to a change in the mechanism of
wear from one associated with relatively random, tumbling particle behaviour (with
consequent multiple indentations) to one of much more pronounced machining or
scoring of the bearing surfaces. This critical ratio depends to some extent on the shape
of the particles but will be of the order of 2. It has been borne out in the work with the
foil bearing with film thicknesses of the order of 10 to 30 microns but, of course, very
low hydrodynamic pressures. More confidence in this idea would be provided by
corroborating observations made with somewhat thinner films (and correspondingly
smaller particles) and higher and more practically realistic film pressures. Some work
of this nature has been reported by Dwyer-Joyce et al. [25]. They used a ball on disc
arrangement in which a 1 in steel ball (HV 840) was loaded against a rotating cylinder
(HV 760) so that an elasto-hydrodynamic film with a mean film thickness of -0.44 pm
was produced with a peak pressure of 2 GPa. The lubricant used was again a pure
mineral base oil with no e.p. additives, this was contaminated with diamond powder of
the same morphology as used in our work but of appropriately smaller sizes, viz. <0.5
txm, 0.5-1.0 I.tm, 1.0-2.0 t.tm and 2.0-4.0 I.tm. After 10 minutes of operation
(equivalent to 18,000 revolutions) the wom surfaces were optically examined. The
smaller particles did little damage to the surfaces whereas when particles in the size
range of 2.0-4.0 microns were used there extensive abrasion across the surface which
corresponded to the size of the elasto-hydrodynamic contact width. The intermediate
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WILLIAMS AND HYNCICA ON ABRASIVE WEAR 23

size ranges demonstrated an interesting phenomenon. The wear track on the ball, the
harder surface, showed two distinct regions; a central band characterised by indentation
damage and two outer regions where the surface was grooved. This appearance is
illustrated in Fig. 9.

Figure 9 - The wear track on the ball run with a mean film thickness o f
0.44 p m in the presence o f diamond powder with size range 1-2 lain (after
Dwyer-Joyce [25]).

The particles appeared to be tumbling through the central region and scoring and
grooving at the sides. The reason for this becomes clearer when the nature of the
lubricant film geometry is considered. While in dry contact, the two surfaces would
first touch at the centre of the contact circle; however, when lubricated this is not the
point of minimum film thickness. Fluid entrained along the centre line has its mobility
restricted by that surrounding it and thus the elasto-hydrodynamic film consists of a
central plateau and a surrounding "horse-shoe" of lower thickness, illustrated in Fig.
10. Particles the outer edge thus experience a lower film thickness than those at the
centre (typically by about 25%); they are thus more likely to become embedded or stuck
in the contact and so generate linear ploughing wear, than those at the centre where the
somewhat greater film thickness will encourage particle tumbling and rolling. By
investigating a series of conditions Dwyer-Joyce at al. were able to show that this effect
was due to film geometry and was insensitive to other variables (such as the overall
slide-roll ratio of the contact) so validating, at a much smaller scale, the observations
made with the foil bearing rig.
Although the mechanism so far described is not dependent on any hardness
differential between the surfaces, it is possible, when one surface is softer than the
other, for the particle to become firmly embedded in the softer material. For this to be
the case, so that there is no relative movement along the interface PQ in Fig, 7(e), the
line of action of the forces acting on the particle must actually cut the boundary between
points P and Q. The limiting value of the angle of rotation of the particle which this
condition represents, 02 is shown in Fig. 7(0. The value of 02 (in contrast to 01) does
depend on the relative hardnesses of the two surfaces. Defining their ratio as Y-/"(equal
to HA/H~) an equilibrium analysis for the situation of Fig. 7(f) yields the following
equation relating the values of D/h, t, J-/'and 02
D tanfl
9 (5)

~- = c o s 0 2 t 1 - 2(l+H)cos(,+o~)}
1+2 Y/"
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24 HYDRAULIC
FAILUREANALYSIS

particlestumbling ..~..L. i
particlesgrooving ~ ~
~~.):''~\'~'~!
,,':,/.
,.
.;~.t~

~ ] ~ ~ ~.~,egions of thinfilm
typicalfilm-thickness i ~il I/
contours ~'-~r:..J=~ centralfilm

Figure 10 - Schematic representation of the ball wear track from the test
with 0.5-1.011m diamond abrasive powder alongside the corresponding
ehl film (from Dwyer-Joyce [25]).

This relationship is shown, again for fl = 55 ~ in Fig. I 1 for ~ having the two
values of 1.2 and 5; also shown (dotted) is the curve for 01 from equation (4). When
the two surfaces are of similar hardness then, for a given value of D/h, the angle 01 is
less than 02. However, for given values of fl and D/h, as the disparity in hardness
between the two solids gets larger the tendency is for 02 to fall below 0~. This then
indicates how the likelihood of the embedment of the abrasive in the softer (and so the
preferential grooving of the harder) is influenced by their relative hardnesses. If .q-/is
close to the numerical value 1 (when 01 is less than 02) then, as the particle rotates, the
configuration for the machining of both surfaces will be achieved first - we should
expect both surfaces to suffer grooving damage. However, if H i s significantly greater
than unity, and so 02 < 01, then sticking of particles in the softer material is encouraged.
When this occurs, since the abrasive particle will spend a greater proportion of time
sliding against the harder surface, damage of the harder solid is likely to be enhanced as
conditions move from those of three-body abrasion to those of effective two-body
conditions.
An attempt to investigate this behaviour was undertaken by using foils and
cylinders of different materials so as to vary the foil:cylinder hardness ratio while
keeping the relative size of the particles and the film the same, in this case at D/h equal
to 2.44. Some experimental results are displayed in Fig. 12 using foils of three
materials, namely stainless steel (HV = 180), aluminum (HV = 119) and a splat-cooled
nickel alloy of hardness HV = 875, running against a variety of cylinder materials.
Provided the hardness ratio of the cylinder to the foil was less than about 2 the wear
rate from the cylinder was more or less constant. However, as soon as this ratio was
greater than 2, contrary to a fall in wear, there was a rapid increase in cylinder wear by
a factor of three or four.

i , , , , , , ,i

3O
~0

2O
e2 1o

-10 h ~ / ~ 81,~0
"~" 50
6O

o,,h

Fig. 11- Relation between 02 and D/h ratio for particles with ~ = 55 ~

For a value of D/h equal to 2.44 the equilibrium value of 01 is approximately 16~
and is independent of the ratio ~ On the other hand, the value of 02 does depend on H
and when H i s equal to unity, 02 is greater than 01 and so there is little tendency to
embedment. However, when H i s greater than approximately 2, 02 becomes less than
01. This means that more particles become stationary relative to the softer foil so
exacerbating wear of the harder cylinder. Evidence for this effect was provided from
the observation that when the cylinder was harder than the foil the foil survived, despite
being the softer member of the pair, for many hours of continuous running. However,
when the foil was made harder than the cylinder, so that particles become embedded in
the cylinder rather than the foil, the foil was nearly machined through, at the point of
minimum film thickness, in a matter of a few minutes.

50
El Metglas foil |g
E 9 a l u m i n i u m foil
IO) 40 m stainless foil

" 30
03
E
E 2O

10
t I

0 1 2 3 4 5
Hardness ratio (cylinder:foil)

Figure 12 - Wear volume from cylinder per gram of 60 #m diamond

abrasive passing through the bearing gap vs. ratio of cylinder to foil
hardness (from Williams and Hyncica [231).

Further corroboration of this effect can be found in the recent work of Axen and
his colleagues at Uppsala into this "overlooked hardness effect" [26]. They have
investigated the resistance to three body abrasion of a range of engineering materials
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26 HYDRAULIC FAILURE ANALYSIS

using a modified Dimple Grinder in which wheel and plate specimens were brought into
contact in the presence of an abrasive slurry, as illustrated in Fig. 13(a). The results,
Fig. 13(b), clearly indicated that the wear rates of both wheels and plates pass, quite
sharply, from low levels (characteristic of three-body wear) to considerably higher rates
of loss when the material hardness ratio passes through the value of unity. The wear
rate of either part was greater when the counterbody was softer, i.e. when a softer plate
was run against a harder wheel, the wheel wore more quickly than the plate and vice
versa.

L o a d ,lOg

wheel specimen ~ 240 rpm

slurry pla~," specimen

(a)
1.50 ........ t 9 d.,,,,~ . . . . . . . . I . . . . . . . ~:~

"7 1.25
Z

1.0O

g o.Ts

~ 0.~

i 0.25

0
0.01 0.1 10 10
Whcr ~ s s / P l a t c hardness
(b)
Figure 13 - (a) The dimple grinder test used by Axen at al, (b) Specific
wear rates in the Dimple Grinder test of the self-mated aluminum (I), self
mated tool steel (It) and hardened aluminum against annealed aluminum
(III) (from Axen at al. [26]).

Three-Dimensional Particles

The angle between the leading edge or face of the particle and the direction of
motion is known as the attack angle gt, and is related to ~6and 0 b y the equation
TC
= ~-- r - 01 . (6)
In an infinitely wide, two-dimensional situation, once the particle becomes in any
way stationary relative to one of the surfaces then the material removed from the groove
must be detached or worn from the surface. Of course, real particulate abrasives are not
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WILLIAMS AND HYNCICA ON ABRASIVE WEAR 27'

long prismatic bars of constant cross section but are very much three dimensional
solids, and the next stage of the argument might be to consider the implications of this
extra degree of complexity. An individual embedded particle or asperity can be
modelled, for simplicity, as pyramid on a triangular base, as shown in Fig. 14.
normol to St.~'foce

motion
Figure 14 - An idealised single three dimensional sharp asperity can be
described by the angles ~) and ~. For the comer of a cubic particle 0 = 30~
and )' = 39.2 ~ which implies that fl = 54. 7 ~

Suppose that the direction of motion is such that one of the edges of the pyramid
is leading and that the shape is symmetrical. In this case, the geometry of the particle
can be described by the two angles )'and ~0. When )'is small the particle becomes long
and needle-like; as the value of this angle increase so the asperity formed by the
embedded particle gets "squatter". When the dihedral angle, ~p, is small the particle is
"knife-like", it becomes bluffer as q~increases, until in the limit, when q~= x/2, the two
leading faces of the particle have coalesced into one. In such a case it is effectively
moving with its face forward rather than in the edge-forward mode. If we consider that
the previous two-dimensional diagrams represent conditions on the midplane of the
three-dimensional case then there is a simple relation between the angles/3, )'and q~, viz.

tan)' = tanr x tanfl (7)

The same argument about the effect of changing the D/h ratio on the mode of
surface damage applies qualitatively to the three-dimensional as to the two-dimensional
case. Again, we should expect a transition from tumbling to grooving as the particle
becomes larger relative to the thickness of the fluid film. However, since the particle is
not now being thought of as infinitely wide, the displaced material on the damaged
surface has an extra degree of freedom in that it can be just pushed into ridges at the
side of the wear track rather than being detached, in other words, there can be either
ploughing (with little or no actual wear) or cutting (with considerable loss of material
from the surface).
Experiments by a number of investigators [27-32] on single model asperities of
various shapes have indicated that an important geometric feature controlling the
transition between the ploughing and cutting modes of material response is the attack
angle V at the leading edge of the indenter. When ~, is small ploughing is favoured,
whereas above some critical value the situation changes to one in which there is
considerable wear by machining or cutting. It follows from equations (4) or (5) that as
the ratio of D/h increases so does the effective attack angle of the particle; thus we might
anticipate two consequent changes in behaviour, viz.

tumbling ~ ploughing ~ cutting. (8)

In a practical case these transitions will not be clear cut because not all the
conta_rninant particles are likely to have either the same size or shape. However, the
diamond abrasive used experimentally has a very small distribution of sizes, and is
characterised by a "blocky" i.e. close to cubic, shape. If we consider a typical wearing
asperity to take the form of a comer of such a cube then the effective value of ~ is 30 ~
and those of 3/and fl are 39.2 ~ and 54.7 ~ respectively; hence the choice of fl = 55 ~ in
Fig. 8.

Conclusions

In a lubricated contact contaminated with particulate abrasive the lubricant serves

to sweep the particles into the interface where what happens to them depends
principally on their size and shape and the relative hardnesses of the two solid surfaces.
The particles may roll or tumble through the gap and so produce relatively little damage
and wear which is associated with the occasional indentations that occur and lead to a
characteristic pitted surface which shows little directionality. In order for this low wear
regime to operate on both surfaces, the ratio of the maximum particle dimension to the
minimum film thickness must be not exceed some critical value; this depends on particle
shape but, typically might be about 2.
At some critical ratio of particle dimension to film thickness the mode of surface
damage changes to one characterised by the machining of grooves in one or both of the
solids. If the surfaces are of comparable hardness, then on average any particular
particle will spend some time sliding relative to each, so that both surfaces will show
evidence of grooving wear. However, if one of the surfaces is softer than the other,
then the particles may become embedded within it and so produce more damage on the
harder surface, and there is a range of disparities in hardness over which this tendency
increases as the hardness difference is made larger. The implication is that the
severity of the abrasive wear on the harder surface can actually be increased, and the
wear volume and surface damage grow, as a result of increasing this hardness ratio.

Acknowledgments

The work reported here was supported by a studentship provided to one of us

(AMH) by Shell Research Ltd. We are also grateful to Shell Thornton Research Centre
for the provision of lubricant and to de Beers Ltd. for the supply of abrasives.

References

[1] Archard, J. F., "Contact and Rubbing of Flat Surfaces," Journal of Applied
Physics, Vol. 24, 1963, pp. 981-988.
[2] Rabinowicz, E., Friction and Wear of Materials, John Wiley and Sons, New York,
1965.

[3] Broeder, J. J. and Heijnekamp, J W., "Abrasive Wear of Journal Bearings by

Particles in the Oil," Proceedings Institution of Mechanical Engineers, Vol. 180
Part 3K, 1965-66, pp. 21-31.
[4] Ronen, A. and Malkin, S., "Wear Mechanisms of Statically Loaded Hydrodynamic
Bearings by Contaminant Abrasive Particles," Wear, Vol. 68, 1981, pp. 371-
389.
[5] Roach, A. E., "Performance of Oil Film Bearings with Containing Lubricant,"
Transactions American Society of Mechanical Engineers, Vol. 73, 1951, pp.
677-686.
[6] Ioannides, E., Beghini. E., Jacobson, B., Bergling, G. and Wuttkowski, J. G.,
"Cleanliness and its Importance to Bearing Performance", Lubrication
Engineering, Vol.49, No. 9, pp. 657-663
[7] Rabinowicz, E., Dunn, L. A. and Russell, P. G., "A Study of Wear under Three-
body Conditions," Wear, Vol. 4, 1961, pp. 345-355
[8] Ronen, A., Malkin, S. and Loewy, K, "Wear of Dynamically Loaded
Hydrodynamic Bearings by Contaminant Particles," ASME Journal of
Lubrication Technology, Vol. 102, 1980, pp. 452 - 458.
[9] Ronen, A. and Malkin, S., "Investigation of Friction and Wear of Dynamically
Loaded Hydrodynamic Bearings with Abrasive Contaminants," ASME Journal of
Lubrication Technology, Vol. 105, 1983, pp. 559-568.
[10] Mehan, R. L., "The Wear of Selected Materials in Mineral Oil Containing a Solid
Contaminant," Wear, Vol. 124,1988, pp. 65-85.
[11] Odi-Owei, S. and Roylance, B. J., "The Effect of Solid Contamination on the
Wear and Critical Failure Load in a Sliding Lubricated Contact," Wear, Vol. 112,
1986, pp. 239-255.
[12] Odi-Owei, S. and Roylance, B. J., "Lubricated Three Body Abrasive Wear -
Contaminant Condition versus Bounding Surface Material Hardness," Tribology
International, Vol. 20 (1), 1987, pp. 32-40.
[13] Tao, F. F. and Appeldoorn, J. K., "An Experimental Study of the Wear Caused
by Loose Abrasive Particles in Oil," Transactions American Society of
Lubrication Engineers, Vol. 13, 1969, pp. 169-178.
[14] Needelman, W. M., "Fluid Particulate Contamination, Component Wear and
Performance," in Fundamentals of Tribology, Suh, N. P. and Saka, N. (eds)
MIT Press, 1980, pp. 555-566.
[15] Xuan, J. 1., Hong, I. T. and Fitch, E. C., "Hardness Effect on Three-Body
Abrasive Wear Under Fluid Film Lubrication," ASME Journal of Tribology,
Vol. 111, 1989, pp. 35 - 40.
[16] Fitzsimmon, B. and Clevenger, H. D., "Contaminated Lubricants and Tapered
Rolling Bearing Wear," Transactions American Society of Lubrication Engineers,
Vol. 20 (2), 1976, pp. 97-107.
[17] Ioannides, E. and Jacobson, B., "Dirty Lubricants - Reduced Life", Ball Bearing
Journal Special '89, 1989, pp. 22-27.

[18] Sayles, R. S., Hamer, J. C., and Ioannides, E., "The Effects of Particulate
Contamination in Rolling Bearings - a State of the Art Review Proceedings
Institution of Mechanical Engineers, Vol. 204, Pt. G, 1990, pp. 29-36.
[19] Blok, H. and Von Rossum, J. J., "The Foil Bearing - A New Departure in
Hydrodynamic Lubrication," Lubrication Engineering, Vol. 9 (6), 1953, pp.
316-20.
[20] Elrod, H. G. and Eshel, A., 'q'he Theory of the Infinitely Wide, Perfectly
Flexible, Self-acting Foil Bearing," ASME Journal of Basic Engineering, Vol.
87, 1965, pp. 831-836.
[21] Walowit, J. A. and Anno, J. N., Modern Developments in Lubrication Mechanics,
Applied Science, London, 1975.
[23] Eve, R. W., PhD Thesis, Cambridge 1985.
[23] Williams, J. A. and Hyncica, A. M., "Abrasive Wear in Lubricated Contacts,"
Journal of Physics D: Applied Physics, Vol. 25, 1992, pp. A81-A90.
[24] Murray, M. J., Mutton, P. J. and Watson, J. D., "Abrasive Wear Mechanisms in
Steel," ASME Journal of Lubrication Technology, Vol. 104, 1982, pp. 9-16.
[24] Williams, J. A. and Hyncica, A. M., "Mechanisms of Abrasive wear in Lubricated
Contacts," Wear, Vol. 152, 1992, pp. 57-74
[25] Dwyer-Joyce, R. S., Sayles, R. S. and Ioannides, E., "An Investigation into the
Mechanisms of Closed Three-body Abrasive Wear," Wear, Vol. 75, 1994, pp.
133-142.
[26] Axen, N., Jacobson, S. and Hogmark, S., "Influence of Hardness of the
Counterbody in Three Body Abrasive Wear - an Overlooked Hardness Effect,"
Tribology International, Vol. 27, No. 4, 1994, pp. 233-242.
[27] Mulhearn, T. O. and Samuels, L. E., "The Abrasion of Metals; a Model of the
Process," Wear, Vol. 5, 1962, pp. 478-498.
[28] Sedriks, A. J. and Mulhearn, T. O., "Mechanics of Cutting and Rubbing in
Simulated Abrasive Processes," Wear, Vol. 6, 1963, pp. 457-466.
[29] Challen, J. M., Oxley, P. L. B. and Doyle, E. D., "The Effect of Strain
Hardening on the Critical Angle for Abrasive Wear," Wear, Vol. 88, pp. 1-12.
[30] Kato, K., et al "Three Dimensional Shape Effect on Abrasive Wear," ASME
Journal ofTribology, Vol. 108, 1986, pp. 346-351.
[31] Huard, G. and Fiset, M., "Influence de la Microstructure sur l'Angle d'Attaque
Critique de Divers Materiaux," Wear, Vol. 98, 1984, pp. 27-44.
[32] Kirkpatrick, R. J., Williams, J. A. and Paetke, S. J., "Groove Formation and
Interaction during Abrasion of Copper," Proceedings International Tribology
Conference, 1987, Institution of Mechanical Engineers, London.

Tribology of Hydraulic Systems: Hydrodynamic Effects of Surface Roughness

Reference: Tender, K., "Tribology of Hydraulic Systems: Hydrodynamic Effects of

Surface Roughness," Hydraulic Failure Analysis: Fluids, Components, and System Effects,
ASTM STP 1339, G. E. Totten, D. K. Wills, and D. Feldmann, Eds., American Society for
Testing and Materials, West Conshohocken, PA, 2001.

Abstract: The paper deals with the tribology of surface roughness effects in rapidly
moving hydraulic units, such as pumps, motors and seals. The emphasis is on laminar
flow, turbulence effects being only briefly discussed. The analysis is based on lubrication
theory that was originally developed for bearings in non-hydraulic equipment. However,
the established results are readily adoptable to a hydraulic environment. The effects may
be quasi-static or dynamic. It is shown that surface roughness may affect the operation of
hydraulic units negatively or positively, depending on the actual conditions, resulting in
a need for optimisation and compromise, but also in the possibility to tailor surfaces for
optimal operation. Finally, for situations when an undesirable roughness structure on the
surfaces is unavoidable, the paper presents methods by which the surface finish
(roughness amplitude) necessary for safe operation may be determined.

Keywords: tribology, hydraulics, lubrication, surface roughness, bearings, seals, piston

rings, cylinders, leakage

Surface roughness is an important factor in the operation of hydraulic equipment.

There are several aspects of this. Roughness affects leakage through quasi-stationary
seals and flow resistance in pipes and other devices. Roughness also has an effect on
friction and wear of contacting surfaces and is, in certain cases, a major factor in the
behavior of thin lubricating films in rapidly moving hydraulic units.
Turbulence phenomena are strongly influenced by surface roughness. Turbulent flow
is associated with high Reynolds numbers which, in practice, require very high pressure
gradients combined with relatively thick fluid films and low kinematic viscosity. Such
situations certainly occur in hydraulics, but are not very typical. Moreover, current
knowledge of these phenomena is mostly empirical and somewhat sketchy.Therfore,
roughness effects in turbulence will only be dealt with very briefly in the present paper.
The most interesting roughness effects are probably those occurring in rapidly
moving components such as found in pumps, motors and seals. The present paper
therefore puts special emphasis on these aspects of surface roughness.
Modem hydraulic systems are exposed to increasingly harder operational demands.
This means higher speeds, higher temperatures and pressures, and therefore higher loads.

1 Professor, Department of Engineering Design and Materials Technology, The Norwegian

University of Science and Technology, GlCshaugen, Trondheim, Norway.
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32 HYDRAULIC
FAILURE ANALYSIS

For surfaces in rapid relative motion this means thinner separating fluid films. This, in
turn, implies that roughess amplitudes that traditionally were considered to be of
negligible effect, are large on a relative scale. Bearings and seals not specially designed
for hydraulic applications have been studied rather extensively in recent years. It is well
known from these investigations that under the above circumstances roughness will
strongly influence fluid flow, hydrodynamic pressure generation and traction. Clearly
these effects will also be of major importance in hydraulic equipment.
It has been shown that the effects of roughness are rather complex: the presence of
surface roughness may be detrimental or beneficial to efficient lubrication and hence to
the operation of hydraulic devices, depending on several factors. Some of these factors
are the following: macro-geometry, asperity amplitude, asperity shape and orientation. If
they are very large, asperity separations or mean wavelengths may be of importance
because surface disturbances approaching waviness may generate vibrations locally. This
shows that we are facing the possibility of steady-state situations as well as dynamic or
transient conditions generated by surface roughness.
It is evident from the above comments that the surface roughness often leads to the
need for optimisation and compromise: roughness geometry giving low total leakage
rates may be undesirable as regards friction, etc. However, from its effect on fluid
lubrication, it also follows that certain roughness structures may have an overall positive
effect on the operation of a hydraulic component. This means it is sometimes possible to
select a suitable roughness pattern on the active surfaces to obtain optimum performance.
These considerations indicate the importance of surface roughness in hydraulics.

Basic Theory

With the limitations mentioned in the introduction, we shall restrict our attention to
laminar flow of thin fluid films. Under these circumstances we adopt the Reynolds
equation. It reads, in Cartesian coordinates,

(1)
3x rI 3x Oy r] Oy

Here p is pressure, h film thickness; 7/is viscosity, p density and U surface velocity. The
indices 1 and 2 refer to the two surfaces in relative motion; x is the coordinate in the
direction of motion and y the coordinate across that direction; t is time.
The derivation of this equation is based on several assumptions so its application has
certain limitations. For instance, the fluid is assumed to be Newtonian, external field or
inertia forces are neglected, etc. However, in most practical situations, within the
limitations stated above, the Reynolds equation is very closely valid for the description
of fluid behaviour. Moreover, good correction terms may often be incorporated if
discrepancies become large. It should be pointed out that Reynolds' equation covers
hydrodynamic flow but is equally valid under hydrostatic conditions.

Roughness Theories

One of the assumptions behind equation 1 is that the surfaces in relative motion be near-
parallel. It therefore seems impossible to use it for the development of a theory relating

roughness to fluid flow and pressure. However, surface disturbances found on

engineering surfaces have gentle slopes, seldom exceeding some 10 to 12 degrees.
Accordingly the Reynolds equation may serve as a basis for roughness effect theories,
and indeed has that role in almost all current theories.
To find pressure, flow terms etc. for a given tribo-element, we simply solve for p.
This permits an easy derivation of the other quantities required. This seems to rule out
the need for a roughness theory. However, the Reynolds equation does not have a
general analytical solution and must be solved numerically. The problem is the
extremely large number of peaks, valleys and other surface structure characteristics
inside the boundaries of the tribo-element considered. In addition, a large number of data
points would be required to describe each of the many surface features. Even if
computers able to handle this were available, the computation time would be formidable.
In practice we therefore need to express the roughness effects by some kind of
average. For this to be useful we clearly also must be able to relate averages of derived
quantities, such as pressure, flow etc., to averages of roughness excursions and related
functions.
Let us apply equation 1 to a lubricated element and form the averages of its various
terms. It is evident that without further knowledge, we cannot split these averages into
useful separate sub-terms. The theory consists essentially in finding the correct averages.
To achieve this we look for averagefunctions that are representative of local conditions.
As an illustration we may consider the surface of the sea: a smooth spherical shape with
tidal excursions and various types of waves superimposed. Similarly the surface of our
lubricated hydraulic element has a smooth component with shape errors, waviness and
roughness superimposed. From symmetry considerations we readily see that shape
excursions give rise to pressure excursions. As for the sea or tribo-surface, the pressure
surface may be decomposed into a smooth 3D-component superimposed on which there
are pressure ripples or excursions. The smooth function is defined so as to make positive
and negative excursions cancel.
The next step is to construct equations relating this unknown mean pressure function
to known mean functions, such as averages of powers of the film thickness. Such an
equation will be as easily solvable numerically as the Reynolds equation applied to
smooth surfaces, involving only a modest number of grid points.
Quantities such as load centre, friction force, normal force, etc. are readily computed
from the calculated pressure.

Smooth Function Concept

We define the mean or expected value of a function at a point (x,y) as the area-average of
that function in a small neighbourhood surrounding the point considered. It is assumed
that the roughness undulations have a very high spatial frequency. Therefore even a
small area-element surrounding a given point will contain a large number of roughness
undulations. The average value of, say, the film thickness or some power of it, will
depend only negligibly on the exact choice of area. Clearly, a high spatial frequency of
the roughness excursions must result in essentially the same frequency in the pressure
excursions. Hence local averaging of pressure-related functions will also generate the
desired expected value.
We express this for an arbitrary function, F, of the class discussed,
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34 HYDRAULICFAILURE ANALYSIS

F:--~.Fda +ea(F)=--~Fdxdy +e,~(F)- E.(F)+ea(F) (2)

The E-operator generates the smooth function and e the local excursion. Note that both ea
(F) and Ea(F)are functions of x and y. It follows that,
E~{E,,(F)}=E.(F) E.{e~(F)}=O e~{E.(F)}=O (3)

We may also define one-dimensional averaging or smoothing operators Ex and Ey. Ex(F)
is smooth in the x-direction but may be oscillating in the y-direction, and vice versa.
In roughness work an overbar is often used to express expected values as,

E, (F) = ff (4)

It follows from the above that an integral of a smooth function is a smooth function and
that the integral of an oscillating function of zero mean, such as e,,(F),is an oscillating
function of vanishing amplitude; a derivative of a smooth function is smooth.

Figure 1 - RoughnessModel

CurrentRoughness Theories
Roughness in the form of straight grooves or ridges may be treated analytically. A
starting point may be the one-dimensional Reynolds equation which assumes a very wide
element whose film thickness between the mating surfaces must be constant in the y-
direction. The striations are at right angles to the direction of motion (x-direction). This
kind of roughness structure is often termed "transverse". Two integrations then yield:

P=6qU(~o-~2-h.Jo~3)+Po (5)

Here p,, is the inlet pressure, usually set to zero for incompressible lubricants, so that p
refers to pressure above ambient. The term hm is an integration constant representing the
flow through the gap, which is constant. Averaging the terms yields the following, [1]

p = 6 r/U ( ~oh-~dx - hm~o h--~dx) (6)

x,U

Figure 2 - Transverse Roughness

The roughness is assumed to be located on the surface which is stationary with respect to
the boundaries of the hydraulic element. This point will be discussed subsequently.
Knowing the surface roughness statistics, we may establish the mean film thickness
functions needed to compute the mean or smooth part of the pressure. As seen below,
this result may be used to derive a modified Reynolds equation for finite elements of
arbitrary macrogeometry.
Again consider transverse striations. The roughness oscillations are asurned to have a
very high spatial frequency. A sub-element, very small with respect to the hydraulic
component dimensions, may therefore contain a large number of ridges and valleys. We
select such a sub-element, one very much longer alon~ the grooves than across them.
This is essentially the same situation as the one above. Clearly, Reynolds' equation
applies locally, and the local flow flux is that of an infinitely wide element, which is
constant. Hence one may write the pressure flow flux as 12rlqpx/h 3 = - ~ p / O x ,
where q is flow flux. Since this quantity is constant in this case, an averaging on both
sides yields, after rearranging,
- 1 o~p 1
qv~ 121"/o
~ x h -3 (7)

For the shear flow component we differentiate equation 8. Rearranging and identifying
terms, we obtain,
- U h -2
q" - 2 ---7
h (8)
The flux in the y-direction is given by (it has no shear component), 12rlqpy = - b p / b y . h 3
From symmetry we recognize that pressure and its gradient are smooth in the y-direction.
Averaging, one gets,
- _ 1 3p~s (9)
qpr 12/'/c9y
The above permits the construction of a modified Reynolds equation fortransverse
roughness for constant lubricant density under steady-state, isoviscous conditions

,~ . ~ 1. ~-~7~. '~ h---z+* (lo)

~xx ( - ~ x--7--~)
~ + ~ y (-~-yh- ) = 6r/U ~ x ( - ~ 3 )

Figure 3 - Longitudinal Roughness

The s-term is caused by moving roughness and will be discussed subsequently.

Straight ridges and grooves parallel to the direction of motion are termed
"longitudinal", (compare with Figure 3.)
We again select a small element, but this time very narrow in the y-direction.
Considering flow along and across the ridges, we obtain, for longitudinal roughness,

03-~7~'- o~ - ~ 1. = 6,1 U 03~ (11)

Roughness on the moving surface will produce local film thickness changes, reflected by
non-zero cg-h/cgt-terms except in the case of longitudinal roughness. In the general case,
however, the time component must be included. For transverse striations, from geometry
considerations, one has cgh/cgt -- U cge~/3x. Here em is the roughness on the moving
surface. Proceeding as before, but including this new term, we get an expression for s,

s= 2(e~/h 3) (12)

The above results may be combined in one equation for unidirectional striations as a
function of the angle of orientation of the grooves and ridges with respect to the direction
of motion, [2,3]

Figure 4 - Skew Striations

03 . ~ 7 S . 03 . ~ 1. 03h 03 h -2 +s (13)
= 6r/U {cos ~p-7---- sin t,o-z--(---/-~--T--3)}
.xL h-

The xL and YL coordinates are measured along and across the striations respectively and ~0
is the angle between the striations and the direction of motion. The equation may easily
be transformed into one in x and y.
No other surface roughness pattern seems to yield a modified Reynolds equation
based on analytically derived statistical terms. This led the author to look for solutions
based on numerical simulation [4]. When only small representative area-elements are
considered, fewer topographical features will appear, which means a very important
reduction in the number of grid points necessary for numerical computations. Similar
work was done by
Patir and Cheng [5,6] who introduced the flow factor concept and the very useful
corresponding notation. Roughness effects are simply expressed as non-dimensional
factors inside the Reynolds equation. The notation is valid for roughness patterns having
no directional bias. The factors are found by techniques similar to those of the author.
Under steady-state, isoviscous conditions, the equation now reads, in a notation slightly
different from that of Patir/Cheng,

~ x ( ~ h 3 ~r x d) + ~poy~( ~ h3~y)=6rlU_~x(~,h) (14)

Note that h and p correspond to h and p of the previous equations. The appropriate
average functions, represented by the symbol ~, are known as flow factors because they
are associated with flow terms in the equation.
For striated roughness the flow factors are easily available. As an example, we put
h-5- = ~3 + 30.z~. Hence, for transverse striations 0y = ~-~/~3 = 1 + 3(o'/h) 2 where cr is
the standard deviation of the roughness.
There are still unknown aspects of roughness effects on pressure generation. Although
the number of grid points is now lower, other difficulties occur, in particular those
associated with the boundary conditions of the sample area. Under certain assumptions,
flow factors for certain classes of roughness structures may be derived analytically [7,8].
The results are rather close to those obtained numerically.
It is customary to present the flow factors in terms of standard deviation,crand
Kubo/Peklenik number, 7/= 2x/Ay (A is the distance to a correlation value of 0.5.)
Unfortunately, this parameter is in general insufficient for the calculation of a given flow
factor [9].

Lubrication Mechanism

The fundamental phenomenon of hydrodynamic action is a given amount of fluid being

forced into a shrinking confinement, specifically one represented by a shorter separation
of the two surfaces involved. The corresponding fluid film, because of its thinness, offers
higher resistance to flow. From continuity requirements, to overcome this, pressure is
generated, driving out the fluid. Hence, sufaces offering high resistance to flow tend to
generate high pressures. Although this is clearly an oversimplification - for instance,
fluid must also be able to enter into the lubricated device - it serves as an illustration of
the hydrodynamic effects of surface roughness.

In the following, smooth surfaces are compared to rough surfaces having the same
nominal shape (smooth function component). Under these conditions, transverse
striations tend to prevent flow across the ridges, because of the narrow gaps created
locally. On the other hand, flow resistance along them that is lower than that of smooth
sufaces. This is because the extra flow in deep grooves more than compensates for the
diminished flow along the ridges.
This offers an explanation of the interaction of macro- and micro-geometries in
hydrodynamic devices.
In a very wide unit (large in the y-direction), most of the flow is in the x-direction. In
this case, therefore, transverse ridges mean low flow-rate and high pressure, whereas
longitudinal striations yield high flow rates and low pressure.
For narrow units, the larger part of the flow is to the sides. This means that
longitudinal ridges will offer resistance. The flow rate is enhanced in the x-direction, but
since this flow is less important, longitudinal roughness tends to lower flow and increase
pressure in narrow hydrodynamic devices. Clearly, transverse striations have the
opposite effect. For intermediate width-to-length ratios, there is no simple rule and each
case must be studied separately.
Similar reasoning may be applied for other roughness structures. For instance,
isotropic roughness, that is, structures without any preferred directions or regions,
modifies fluid flow only minimally and will hardly affect pressure generation and
through-flow.
It is easily seen that a roughness pattern consisting of skew striations, such as shown
(Figure 4), will have a pumping action on the fluid. Other surfaces having orientational
bias may also produce pumping or channelling. Such patterns are often created by the
manufacturing method and surface finishing employed, by wear or, in the case of flexible
elements, by fluid forces. Pumping may be advantageous in boosting load capacity in
bearings and in ensuring fluid ingress in narrow spaces where a lubricant is required.
The pumping effect occurring in flexible elements, such as dynamic seals, may be
very important in hydraulics. The mechanism is believed to be the following: Axially
oriented striations may be treated as transverse ones when the shaft rotates. They will
deform due to friction forces or shear stresses. The originally straight grooves and ridges
will become curved and will now tend to pump fluid. If the shear sti-esses are non-
symmetric, the curving of the striations will be biased, and a net flow will result. The
shear stresses are mainly caused by z/U/h, so by giving the surfaces a suitable shape, one
may tailor the shear stress distribution suitably. Seals that are leakage free during
operation are therefore possible. It has been shown recently that this may also occur with
roughness patterns that are not truly transverse. Details about these phenomena may be
found in works by Salant and others [10,11,12].
One may also mention the concept of DDC. This refers to somewhat special surfaces,
consisting of deep disconnected cavities in an otherwise smooth surface. In a sense it is a
kind of "negative" roughness. Current DDC theory expresses the surface disturbances as
an effective viscosity combined with the original undisturbed film shape. This means
easy calculations. The structure has interesting properties due to its fluid-retaining
ability. This is somwhat similar to the typical criss-cross pattern used on cylinder walls.
If combined with a certain elasticity of the cavity wall structure, DDC may offer reduced
friction over long time period [13].

With the smooth film thickness component as reference all roughness structures give
increased friction, because the thin films caused by the peaks or ridges more than balance
the effect of the troughs or valleys.
However, it is possible to obtain coefficients of friction in rough sliding bearings
lower than that of smooth similar ones [14,15] even for a given load rasther for a given
film thickness. In sliding bearings this is a positive effect and the presence of roughness
is seldom detrimental to their operation. In highly loaded devices, such as gears,
roughness tends to make the surfaces more prone to fatigue damage. In most other
hydraulic devices a low frictional force is the desired feature, rather than a low
coefficient, a high load level being irrelevant or even undesirable.
In the above, the roughness is assumed to be located evenly on one or both mating
surfaces. However, roughness may be introduced deliberately to produce desirable
effects. For instance, the wider entrance of standard bearings may be replaced by
roughness. An otherwise plane smooth bearing may have an inlet consisting of a region
of transverse striations; Despite the flow-reducing tendency of this roughness pattern, it
offers less resistance to flow than an unmodified surface. For very thin films this will
give higher load and lower friction than standard smooth shapes. The flow of such
devices may be very small, so seals and piston rings may generate a fluid film, thick
enough to lubricate but sufficiently thin to give very low leakage [16]. Preliminary
calculations indicate very high stiffnesses and damping coefficients for such devices.

Dynamic Effects

Evidently, if tribo-elements are running at low film thicknesses, asperities may come into
contact and changes in operating conditions and subsequent damage may result. This is
well known and will not be discussed in the present paper.
An effect that may be important in hydraulics is caused by the changes in local film
thickness when there is roughness on a surface moving with respect to fixed boundaries
[17]. As examples we may consider a pad bearing, a socket bearing or any narrow
passage of reasonably well defined boundaries. Time-varying load or normal force
components of very large amplitudes may be generated, as illustrated in Figure 5,
showing load realtive to a smooth element, r being the number of waves within the
element boundaries.

~<-" "-. r=| ..

u
.6.;-"-- ~ \ /}r'.--...
z/ I "~ t //"
0d
i/,. ....... ~ ,,, '., i/,......
tn~t ',/,'..... "........ ',t Z;;7.......... "......
v~ -~ ........ " ..... ", '. ~.7./. .... " .......
0~

r=7 r=20 \, i

t i i I i , ~ r : ~ : : ., t

Figure 5 - Normal Load Excursions. Moving Transverse Roughness

The curves shown apply to transverse striations, for which the effect is particularly
strong. Under rather realistic conditions the amplitudes are found to be comparable to the
hydrodynamic load capacity of bearings of similar size, particiularly at low spatial
frequencies of the surface excursions. It should be noted that when wavelengths are of
the same order as the hydraulic element dimensions, a roughness theory is not required.
Another effect that may be important is caused by the local changes of film thickness
when there is roughness on both surfaces. This leads to a time-dependent roughness
distribution which may generate varying load components of magnitude similar to the
ones just described. The strongest forces appear to require similar spatial frequencies on
the two surfaces and a transverse roughness pattern [18].
From both these effects it follows that if the surfaces are free to move in the normal
direction (normal to the x,y plane), vibrations may result. However, the amplitudes of
such vibrations are usually modest [19].

Consequences
The above has obvious consequences for hydraulic devices. Firstly, all surfaces have
some degree of roughness, so the question is how to set an acceptable level. For instance,
there are hardly any effects of roughness if the smooth film thickness component is, say,
twenty times the largest roughness excursion. In the following, therefore, the latter are
supposed to be of the same order of magnitude as the overall surface separation.
Very often roughness is, quite correctly, considered undesirable. However, as
discussed in the paper, with the right structure, roughness may be quite acceptable.
Below are given some of the characteristics and requirements of common hydraulic
components.

Bearings and slideways.

Desirable properties: High load, low friction, low coefficient of friction; flow
considerations less important. Select manufacturing/finishing methods giving
transverse roughness if bearings are wide; otherwise choose methods giving
longitudinal roughness. Fairly large roughness amplitudes are acceptable if contact is
avoided.

Mechanical Seals.
Desirable properties: Low leakage; low friction. Load unimportant.
Choose methods giving concentric grooves and ridges (transverse roughness).
Moderate to low roughness amplitudes.

Lip Seals.
Desirable properties as for mechanical seals.
For translation or slow rotation a circumferential pattern is preferable. For rapid
rotation, axial grooves with narrowest gap near the high-pressure side may be the best
choice, if moderate leakage at stand-still is acceptable.

Gears.
Desirable properties: High load, low friction/frictional coefficient; minimum fatigue
tendency. Low roughness tolerance, depending on load and speed.

Shafts.
Desirable properties: Low friction, high strength.
Roughness considerations: with bearings choose as for bearings; with lip seals low
roughness tolerance.

Pistons~Cylinders.
Desirable properties: Fluid retaining ability, low friction, low flow.
Criss-cross or similar roughness structure on stationary part. A certain minimum
amplitude appears to be required.

Piston Rings.
Desirable properties: Very low leakage, low friction, high damping and stiffness.
Load only indirectly important. Circumferential roughness pattern. Amplitudes should
be low, but introducing deep grooves at inlet may possibly give improved operation.

Narrow passages.
Desirable properties: Low friction and, probably, low load.
Select methods giving axial roughness orientation. Amplitudes depend on the
narrowness of the passage.

The preceding considerations do not cover all aspects of roughness effects in hydraulics.
For one thing, they do not include temperature effects. The latter complicate matters by
implying the possibility of temperatures too high for the stability of the materials
involved, in particular the fluid. In addition, secondary effects leading to lowered
viscosity, shrinking gaps between surfaces, etc. may occur. In many cases, however,
lowered viscosity means lowered friction - which is an advantage, reduced load capacity
- which may or may not be beneficial, but also to higher leakage rates - usually highly
undesirable.
These qualitative results are meant as guidelines only. However, they do indicate how
more accurate calculations, closely predicting pressue, film thicknesses etc., may be
obtained. This, in turn, may be very helpful in establishing acceptable roughness
amplitude levels if important surface excursions cannot be avoided. Such calculations
may not be trivial, since the roughnesses will probly lead to coupled systems. In practice
this means iterations in the computations, which may be time consuming but quite
feasible on modern computers.
Summing up, we recognise the importance of roughness effects in a hydraulic
environment.

Discussion

An important part of the above is the validity of the Reynolds equation in connection
with rough surfaces. It has indeed been questioned. In particular, large roughness
gradients may cause important deviations from the solutions described. The problem has
been studied by several authors [20, 21]. Current opinion seems to be that for realistic
roughness values, such as found on engineering surfaces these effects - often referred to

as Stokes effects - are small. Further, a finite number of steep gradients or steps are
acceptable to Reynolds' equation, but does represent approximate solutions.
A DDC-surface has, by definition, steep gradients occurring at a very large number of
locations inside the lubricated unit. However, there are good reasons to expect the simple
form of the theory to be reasonably correct [22]. The details of this are, however, outside
the scope of this work.
The derivation of roughness theories assumes high spatial freqencies. Clearly, this is a
rather vague statement, and it is difficult to predict precisely what the spatial frequency
requirements are. The question is a matter of the accuracy desired and on the specific
case considered. However, numerical tests have been run, indicating that only very
modest numbers of undulations inside the unit are required for the approximations to be
of the order of per mille [23].
Surface undulations may lead to local divergent films. The existence of cavitation is
therefore conceivable. This is not included in current roughness theory. However, it can
be shown that the pressure undulations tend to vanish as the spatial frequency increases,
so in practice cacitation effects will not be very important save under conditions of near-
atmospheric pressure. In such cases one may estimate the amplitudes of pressure
excursions from an approximate solution of the unmodified Reynolds equation. It is also
possible to deal with cavitation directly in connection with numerical calculations, but
solutions will depend on the ambient pressure level.
The numerically determined flow factors are found by generating many representative
mini-units all having the same macro-geometry and the same surface statistics. They will
be different from each other but statistically equivalent. The Reynolds equation is then
solved for each such sub-unit and the result averaged. This procedure, which expresses
the need for many undulations within the macro-unit requires is less demanding from a
computation point of view. The problem is that of finding the correct boundary
conditions. Various assumptions have been adopted, all of them rather dubious
physically except in the case of near-transverse or near-longitudinal roughnesses.
Recently a new approach has been presented. It considers a steadily smaller portion of a
large representative surface, it being assumed that values calculated at distant points are
only modestly affected by the function values at the boundaries. This has led to updated
flow factors. Though physically more correct, the approach does not produce results very
different from those calculated previously [24].
It does seem safe to say that reliable roughness factors may be generated reasonably
easily. However, as stated, they do not depend uniquely on the Kubo/Peklenik number, y.

Experimental Evidence

There does exist experimental evidence supporting the above results. In a paper by
Tender and Jakobsen [25] experiments are run on an elastohydrodynamic testrig
consisting of a rotating steel ball being pressed against a sapphire disc. The latter has fine
grooves etched into its surface. Both transverse and longitudinal roughnesses were
tested. The results are in accordance with theory. In a test of 1984, Tender obtained
results supporting current theory by studying fluid flow across transverse ridges [26].
Seljeseth [27] showed experimentally that the DDC load-carrying concept is valid.
She observed a strong loadcarrying ability of a DDC surface lasting for more than 20
hours under pseudo-static conditions.
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T•NDER ON TRIBOLOLGYOF HYDRAULIC SYSTEMS 43

Mitsuya et al [28] tested the effect of various roughness patterns on hydrodynamic

lubrication. Though that work dealt with air as the lubricating medium, they obtained
results giving strong support to current roughness theory.

Conclusion

We have shown that effects of roughness is important in hydraulics, even in the case of
non-contacting surfaces. It has further been shown that methods for calculating pressure,
friction leakage and load exist, which provides tools for assessing hydraulic component
behavior.
We have seen that it is possible, in a qualitative manner, to express the characteristic
effects of certain roughness structures, namely parallel grooves and ridges. Such
roughness structures are common in practice, resulting from standard manufacturing and
finishing methods. This results in practical guidelines useful for design and/or
troubleshooting.
Further, it has been shown that selecting the roughness stucture and amplitude for a
given application very often is a matter of compromise and optimisation. However, we
have seen that there are applications where a certain amount of roughness on the surfaces
may lead to improved performance and functionality, compared to their smooth
counterparts.
Finally, it should be pointed out that our knowledge of roughness effects on thin film
flow is far from complete. Non-Newtonian behavior of the fluid and temperature effects,
both of which become more important (and interact) as fil/ns become thinner, are
examples of areas where knowledge is scant. However, it seems safe to say that the state-
of-the-art is sufficiently advanced for us to find very good solutions to practical problems
in hydraulics.

References

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[2] Elrod, H.G., "Thin-Film Lubrication Theory for Newtonian Fluids with Surfaces
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[3] Tender, K., "Mathematical Verification of the Applicability of Modified Reynolds

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[4] Tender, K., "Surface Distributed Waviness and Roughness," Proceedings, Worm
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[5] Patir, N. and Cheng, H., "An Average Model for Determining Effects of Three-
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[91 Tender, K., "Numerical Investigation of the Lubrication of Doubly Periodic Unit
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[161 TOnder, K., "A New Class of Bearings Based on Roughness Effects," Society of
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[17] Tender, K., "Dynamics of Rough Slider Bearings: Effects of One-sided

Roughness and Waviness," Tribology International, Volume 29, 1996,
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[181 Tender, K., "Time-Varying Roughness Distributions: A Neglected Load-Carrying

Mechanism," Proceedings, Internatiorlal Tribology Conference, Yokohama,
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[19] Tender, K., "Vibrations in Spring-Supported Bearing Pads Due to Non-contacting

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[20J Sun, D C. and Chen, K. K., "First Effects of Stokes Roughness on

Hydrodynamic Lubrication," American Society of Mechanical Engineers,
Journal of Lubrication Technology, Volume 99, 1977, pp. 2-9.

[21] Mitsuya, Y. and Fukui, S., "Stokes Roughness Effects on Hydrodynamic

Lubrication, Part 1 - Comparison between Incompressible and Compressible
Lubricating Films," American Society of Mechanical Engineers, Journal of
Tribology, Volume 108, 1986, pp. 151-158.

[22] Tender, K., "DDC Lubrication: A New Concept in Tribology," American Society
of Mechanical Engineers, Journal of Tribology, Volume 114, 1992, pp. 181-185.

[231 Tender, K. and Christensen, H., "Waviness and Roughness in Hydrodynamic

Lubrication," Institution of Mechanical Engineers, Proceedings, Volume 186,
1972, pp. 807-812.

[24] Lunde, L. and Tender, K., "Pressure and Shear Flow in a Rough Hydrodynamic
Bearing: Flow Factor Calculation," American Society of Mechanical Engineers,
Journal of Tribology, Volume 119, 1997, pp. 549-555.

[25] Tender, K. and Jakobsen, J., "Interferometric Studies of Effects of Striated

Roughness on Lubricant Film Thickness Under Hydrodynamic Conditions,"
American Society of Mechanical Engineers, Journal of Tribology, Volume 114,
1992, pp. 52-56.

[26] T0nder, K., "The Effects of Machining Methods on Lubricant Flow", Tribologia,
Volume 4, 1985, pp. 50-68.

[27] Seljeseth, O. A., "Lubrication of Natural and Artificial Human Hip Joints:
Theoretical Studies and Experimental Work," Master's thesis, H0gskolen i
Narvik, Narvik, Norway, 1994.

I281 Mitsuya, Y., Ohkubo, T. and Ota, H., "Averaged Reynolds Equation Extended to
Gas Lubrication Possessing Surface Roughness in Slip Flow Regime:
Approximate Method and Confirmation Experiments," American Society of
Mechanical Engineers, Journal of Tribology, Volume 111, 1989, pp. 495-503.

Lubrication Characteristics on Sliding Surfaces in a Piston Pump and Motor During

Running-ln Tests

Reference: Tanaka, IC, Kyogoku, K., and Nakahara, T., "Lubrication Characteristics on
Sliding Surfaces in a Piston Pump and Motor During Running-In Tests," Hydraulic Failure
Analysis." Fluids, Components, and System Effects, ASTM STP 1339, G. E. Totten, D. K. W'dls, and
D. Feldmann, Eds., American Society for Testing and Materials, West Conshohocken, PA, 2001.

Abstract: Lubrication characteristics on the sliding surfaces between piston and cylinder in a
piston pump and motor with running-in have been investigated. The friction characteristics on the
sliding surfaces of the friction test machine have been examined with the use of pin-on-V-block
before nmning-in tests. The nmning-in tests with model apparatus of the piston pump and motor
have been carried out under the mixed lubrication condition in the Stribeck curve. The running-in
condition was chosen after considering parameters such as friction force, separation voltage and
roughness. In these parameters, friction force and separation voltage have played an important role
for the evaluation of effective running-in. It is clarified that the rate of running-in of the cylinder is
lower than that of the piston. The effects of the piston top profile and stiffness of the piston on the
lubrication Characteristics have been studied.

Keywords: oil hydraulic, piston pump and motor, nmning-in, piston profile, stiffness, lubrication,
friction

Introduction

The axial piston pumps and motors are widely used for power control. These equipments
are required to be operated in a higher pressure area from the viewpoint of high power density, that
is, compacmess, and high efficiency, namely energy saving. Moreover, for environmental
protection, it is considered to be suitable to use water as the working fluid, though it is low
viscosity, instead of mineral hydraulic oil. To satisfy both requirements, sliding clearances between
the piston and the cylinder should be decreased for sealing at the same time the increase in friction
and wear must be prevented. Therefore, the lubrication characteristics of the sliding part essentially
affect the performance.

IAssociate Professor, Department of Mechanical Engineering, Fukui National College of

Technology, Geshi, Sabae, Fukui 916-8507, Japan.
2 Associate Professor and Professor, respectively, Department of Mechanical and Intelligent
Systems Engineering, Tokyo Institute of Technology, 2-12-1, O-okayama, Meguro-ku, Tokyo
152-8552, Japan.
Copyright by ASTM Int'l (all rights reserved); Fri Aug 31 00:20:19 EDT 2018
Downloaded/printed by 46
YanShan University (YanShan University) pursuant to License Agreement. No further reproductions authorized.
Copyright9 2001 by ASTM International www.astm.org
TANAKA ET AL. ON LUBRICATION CHARACTERISTICS 47

Many reports have been published on the lubrication characteristics. Fung and tkeya[l]
discussed effects of radial clearance and forced lubrication on the sliding parts. Matsumoto and
Ikeya[2], and Dowd and Barwell[3] attempted evaluation of the lubrication characteristics with
respect to the material and roughness of the sliding surfaces. On running-in, however, we have
little information, although the nmning-in of the sliding surface is an essential factor for lubrication
conditiorL
The aim of this paper is to describe a standard lubrication test for piston-cylinder surface of
hydraulic equipment by investigating various influences on lubrication characteristics between
hydraulic piston and cylinder. Effects of the nmning-in on the lubrication conditions of sliding
surfaces between the piston and the cylinder are studied with a model apparatus[4-6] of the rotating
swash-plate type piston pump and motor. The fiiction characteristics on the sliding surfaces are
examined with pin-on-V-block type of Falex friction tester, to select suitable conditions for the
running-in test. The effects of the piston profile and the stiffiaess on the lubrication conditions are
clarified experimentally for the sliding surfaces after run-irL

Friction Characteristics of Specimen using Pin-on-V-BlockFriction Tester

The friction characteristics between the piston and the cylinder were measured with pin-on-
V-block type of Falex friction tester to find a suitable running-in condition in a model apparatus of
the rotating swash-plate type piston pump and motor. The pin (diameter:. 6.5 mm) and the V-block
(width: 20 rrma, opening angle: 96 ~ ) in the friction tester, correspond to the piston and cylinder in
the piston pump and motor, respectively. Table 1 shows the material, hardness and roughness of
the pin and the V-block. The material and so forth of the pin and the V-block in the friction tester
were similar to those of the piston and cylinder employed in the model apparatus as described later.

Table 1 Material,roughnessand hardnessofpin and V-block

Pin V-block
Material SCM435 FCD500
Roughness, Ra(tz m) 0.08-0.14 0.13-0.20
Hardness, Hv >650 >500

Friction tests were carried out trader constant load per unit length PL (14.5, 21.8 and 29.0
kN/m) by decreasing the rotational speed ofthe pin from 1500 min-' in every 100 min"1,so--called
stepping-down speed test. Friction torque was measured by a swain gage transducer and the
temperature on the sliding surfaces was monitored by an iron constantan-type thermocouple
inserted in the center of the V-block, 1 mm apart from the sliding surfaces. The sliding surfaces of
the pin and the V-block were submerged in hydraulic oil (temperature: 20• 1 ~ during the
friction tests. The properties of the hydraulic oil are shown in Table 2.
Figure 1 shows the results of the stepping-down speed tests, the ordinate and the abscissa
represent the friction coefficient tx and the bearing modulus r I V/PL, reslxx:tively, where rl is the
hydraulic oil viscosity at measuring temperature of the sliding surfaces and V is the pin sliding
speed against the V-block. The fi-iction coefficient Ix has the minimtnn value near I] V/PL=

1.5x 10* regardless of various PL values. The friction coefficient la increases with decreasing
rlV/P L in rlV/PL<I.5 x 10-6 and decreases with decreasing eL in this region, that is, the mixed
lubrication region.
8 I I ' I I I II I ! I I

b 6 V1 ~ ~[~.. 1 ~
Table 2 Propertiesof hydraulic oil
Density (g/cm3) 0.873 4
40.1 (at40~ O 14.5 kN/m --~LVE/"
Viscosity (mPa-s)
6.0 (at IO0~ )
2 A 21.8 kN/m
Viscosityindex 104
[] 29.0 kN/m
I I I I I I |11 I I I

10-7 2 5 10-6 2
7/V/P
Fig. 1 Stribeck curve

Running-In Tests in Model Apparatus

Outline of Model Apparatus

From the results of hourly variations of friction force, separation voltage, roughness,
roundness and cylindricity, the running-in condition in the mixed lubrication region was studied
with a model apparatus of the piston pump and motor, on the basis of the friction characteristics
obtained by the pin-on-V-block tester as mentioned previously.
The model apparatus had two cylinders as illustrated in Fig. 2 and constant pressure was
applied to the piston top in the cylinder. The piston performed reciprocating motion due to the
rotation of the swash plate. Because the cylinders were connected with each other through poas,
the piston performed alternately the pumping and motor action and thus only the power loss was
necessary to operate it.
Figure 3 shows the schematic diagram of the parts measured for rotational speed of the
piston, friction force and separation voltage between the piston and the cylinder in the model
apparatus.
A capacitance detecting method was utilized to measure rotational speed of the piston. As
electrodes, the piston had 40 slits with 0.2 mm in width and 0.2 mm in depth with equal interval,
and the slits were placed 5-45 mm from the piston top. The ultraviolet rays hardened type of resin
filled up the slits so that the surface of the piston was made up to original profile. A brass electrode
as shown in Fig. 3, with 0.5 mm in width and 10 mm in length was installed on the cylinder. The
position of the electrode was opposite to the slits. The rotational speed of the piston was evaluated
t~om the frequency of variation of the capacitance between the piston and the cylinder.
To measure the friction force between the piston and the cylinder, a cylinder was floated
within the model apparatus body, utilizing two diaphragrrts with two hydrostatic bearings. Piezo-
type load washers were used for detecting the friction force.
The lubrication condition on the sliding surfaces was also observed electdcaUy. The sliding
surfaces were insulated from the model apparatus body and the voltage of 50 mV was applied

between the piston and the cylinder. The separation of the sliding surfaces was converted as
voltage. The voltage was amplifiedby fifty times (the separationvoltage of 2.5 V meant that the
sliding surfaces were sepa_ratedperfectly,while the voltage of 0 V meant that they were in contact
with each other).

Rotating
Swash-Plate Slipper Piston Cylinder Block
\ \
/
\,.

/ L...--

F\,

J
k [--1
1-
Fig. 2 Model apparatus ofpiston pump and motor

Rotating Hydrostatic Piezo-Type

Swash-Plate Slio-Rin~ Electrode Bearin~ Load Washer

ag
Cylinder

Fig. 3 Schematic diagram ofparts measuredfor rotational speed of thepiston,

friction force and separation voltage in model apparatus
Copyright by ASTM Int'l (all rights reserved); Fri Aug 31 00:20:19 EDT 2018
Downloaded/printed by
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50 HYDRAULIC
FAILUREANALYSIS

Experimental Details

In general, the nmning-in tests are carried out in the mixed lubrication region. As indicated
in Fig. 1, the lubrication between the piston and the cylinder was the mixed lubrication where the
beating modulus was less than 1.5 • 10~. However, the bearing modulus will vary widely, because
the piston reciprocates periodically in the cylinder.
The model apparatus with the piston and the cylinder with the specifications shown in Table
3, was operated for 100 hr under the conditions demonstrated in Table 4 and the conformability of
the sliding surfaces was examined. The values of square brackets in Table 4 indicate the beating
moduli under the running-in tests. The friction forces between the piston and the cylinder reaches
to the maximurn at near the neutral position (T = 90 ~) in the pumping action[6] and clearance
ratio is approximately 1/1000~2/1000, similar to one in the general journal beating. The sliding
velocity V and applied load per unit length PLwere given by equations (1) and (2), respectively (D:
pitch diameter of the cylinder, N: rotational speed of the swash plate, ct : swash plate angle, ~, :
overhang ratio, Lp: length of the piston, A~: cross-sectional area of the piston, Pd: supply pressure).
That is, the sliding velocity V was the piston sliding speed at x = 90 ~ . The applied load per unit
length PL was defined by the ratio of the total contact force between the piston and the cylinder to
the piston length in the cylinder at x = 90 ~ . The total contact forces were calculated on the basis
of the strength of materials by regarding the piston as an extrusion beam with concentrated load.
The overhang ratio ~, was defined as a ratio of the intemal length of the piston in the cylinder to
the external length at BDC (bottom dead center) position (see Fig. 4). The region of 3 mm from the
top of the piston was slightly tapered.

DzN
V = -- tanet (1)
2 30

1 L ---tana
PL = 2 ApPd tana (2)

The roughness and roundness were measured at A-G positions as shown in Fig. 5. The
cylindricities of the piston and the cylinder were evaluated from measured roundness at B-F
positions on the piston and A-G positions on the cylinder, respectively.

Table 3 Specifications ofpiston and cylinder

Test 1 Test 2 Test 3 Test4
Piston Cylinder Piston Cylinder Piston Cylinder Piston Cylinder
Inner/Outer 19.484 19.508
19.483 19.525 19.486 19.518 19.477 19.515
diameter(mm)
Diametral
clearance (pm) 42 32 38 24
Roughness,
Ra(/~ m) 0.11 0.13 0.08 0.20 0.14 020 0.10 0.65
Roundness( p m) 4.6 0.2 4.7 0.4 8.3 0.5 0.4 1.1
Cylindricity( p m) 7.9 2.4 7.3 3.1 10.5 1.8 8.9 3.6

Table 4 Running-in tests conditions

Swash plate angle, a (o) 18
CylinderEC.D., D (mm) 78
Supply pressure, Pd (MPa) 12
Testl: 250 [2.9x10"7]
Rotational speed of swash plate, N (min"l) Test2:300 [3.5x 107]
[Bearingmodulus, q V/Pt] Test3: 500 [5.9x 10-7]
Test4: 1000 [ll.8x 10.7]
Operatingtimes (hr) 100
Taper angle of piston top, 0T (o) 0.|
Overhangratio, ~, 1.5
Piston length, t~ (ram) 90
Oil temperature (oc) 50+ 3

Rotating
Swash-Plate
Lp

/
-~ ,t = h 7 l,

Fig. 4 Overhang ratio 2

90 Taper 2
Reg,on, 40 ~ ~ ~ /

I I~---.~...~ t~t:s --~--=::"~ A lAB C DE F G

- L...........:-,-::-~J: ~i~
- - ; 4 ...... !o ;.
~I ~ ~ ~
70 ~ L ~ 54-----~ /
70 ............ ~ ~ - : ~ 1

Fig. 5 Positions on which roughness and roundness are measured

Regions 1 and 2 are moving area of cylinder edge on piston
and that of piston top in the cylinder, respectively. 1

Figure 6 shows the variations of the friction forces Fy and the rotational speed of the piston
Nv at the early stage (0 hr) and the late stage ( 100 hr) as a function of rotational angle of the swash
plate ~, where 0 / 3 6 0 ~ and 180 ~ which correspond to BDC and TDC (top dead center)
positions, respectively. The piston works in a pumping mode in the rotational angle 0-180 ~ and as
a motor in 180- 360 ~ . Friction forces have maximum values in the pumping action in a cycle. The
fiiction force at the late stage is smaller than that at the early stage. Variations of the friction forces
in a cycle tend toward the form of sine-curve. Especially, under the condition of N=500 min1
(rl V/PL=5.9x 107), the maximum friction force at the late stage decreases to under 30 % of one at
the early stage. This operating condition has the best effect of running-in on the sfiding surfaces.
Although the rotational speeds of the piston at the early stage are almost the same as those of the
swash plate, they have a tendency to decrease at the late stage. This is caused from the decrease in
two friction forces as the running-in progresses. One of the forces is the friction between the piston
and the spherical beating on the slipper, the other is that between the slipper and the swash plate.
The two friction forces are closely related with the piston rotation.
Separation voltages V s between the piston and the cylinder at the early stage and the late are
shown in Fig. 7-10, in which position of the lfigger signal corresponds to BDC position. The
separation voltage at the early stage is low over the wide region around TDC position where the
piston motion is changed from the pumping to the motor action. This means that the piston easily
contacts the cylinder. This condition is improved by progressing the running-in, so that both the
average separation voltage and the ratio of the separation R[7] at the late stage increase. However,
except for the case of N=500 min1, the separation voltages during the piston one-stroke at the late

._.100. , , , , , , , ,1000--- ,_100 . . . . , , , , ,1000,--

7 P NP~2.--...~ ~4500 "7 Z t~I_NP~_ ....... ]500 7~
o. . . . . . . . . . . o ~
r"~lOO~~ /---Ohr t ~ r"] 0~'~' ' ~i, "~'--0 ---Ohr 2~'-"
-2001 ,",,P~'~,/,,, 1,O0,hr.-] -loo] )''i"~b" ? 1,OOhr]
0 90 180 270 360 0 90 180 270 360
~(o) ~(o)
(a) Test 1 (N=250 min" ) (c) Test 3 (N=500 min" )

lO01 , , , ~ , , llO00,--
I _ , 1 0 0 i , , , , , , , _11000_--"

L_ f_L _ ,. ] oo-z
.- G O _'-:
_,oor ',~176 "- _]00 1 i I i l i I i I
0 90 180 270 360 0 90 180 270 360
~(o) :(~
(b) Test2(N=300min ~) (d) Test 4 (N=1000 min-' )
Fig. 6 Variationsoffrictionforce Fi and rotational speed ofpiston Np
(~t = 18~ = 12MPa,0 T = 0.1~ = 1.5,P L = 90mm )

stage have a tendency to decrease around TDC position, thus the ran-in does not sufficiently
progress.
The changes of roughness and roundness on the piston and the cylinder under the condition
of N--500 min"1ale indicated in Figs. 11 and 12, respectively. The abscissas represent measured
positions of the roughness and the roundness as shown in Fig. 5. The positions C-F on the piston
and D-G on the cylinder correspond to the sliding area of the cylinder ends and that of the piston
top, respectively. On the whole, the roughness on the piston and the cylinder decrease at the late
stage of the running-in tests. The roundness of the piston at the late stage becomes sufficiently
small. On the other hand, the roundness of the cylinder, with low hardness relative to the piston,
changes little, under the other conditions. Large elastic deformation might occur on the cylinder
due to low stiffness and fluid film might be formed easily between the sliding surfaces. Also, there
was a possibility that the cylinder was fixed while the piston could rotate.

"--~2 v2

Frigger 0 i, , , , + Trigger
(a) 0 hr (R=0.87) Ca) 0 hr (R=0.82)

"-- 3 ! Vs
, - , 3 1 V~
T ''+ I-I
' I I I >+I0
I
, Trigger [ ~ I' I Trigger
Co) lOO hr (R=0.92) (b) 100 hr (R=I.0)
Fig. 7 Variationsof separation Fig. 9 Variationsof sep~ation
voltage Vs voltage Vs
(Test 1 :N = 250 min~) (Test3 :N = 500 min~)

"" 2
"-" r Vs - 5r -T-T, ~"" o~
3 Vs , ,

0| ~ ~ I ] ] Trigger [ ~ I ~ I Trigger
(a) 0 hr (R=0.95) (a) 0 hr (R=0.97)

+ +iFv I1" " -'

o ', ', I I I Trigger i I I ~Trigger

(b) 100 hr (R=0.98) (b) I00 hr (R:0.98)
Fig. 8 Variationsof separation Fig. 10 Variationsof separation
voltage Vs voltage
(Test2 : N = 300 rain"]) (Test4 : N = 1000miff1)

The change of cylindricity is shown in Fig. 13 with several rotational speeds of the swash
plate. Except for the case of N=300 min-j, the cylindricity of the piston changes remarkably, while
the cylindricity of the cylinder does not change significantly. The authors cannot explain the reason
why the cylindficity changes little on the piston under the condition of N=300 minl.
The roughness, the roundness and the cylindricity on the sliding surfaces at the early stage of
the running-in tests were compared with those at the late stage under each running-in condition.
No difference on these parameters was found. However, the friction force and the separation
voltage under rl V/PL=5-9x 10-7change markedly, relative to the other conditions. It is considered
that the sliding surfaces sufficiently progressed the nmning-~
The sliding velocity of the piston varies in a wide range, since the piston reciprocates
periodically against the cylinder in the model apparatus, as mentioned before. On the other hand,
the pin in the Falex friction tester rotates stationary against the V-blocks. The motion conditions of
the sliding surfaces differ between the model apparatus and the Falex friction tester. The friction
characteristics on the sliding surfaces of Falex friction tester will be used to determine the running-
in conditions in the model apparatus.
The piston with the length of Lp=50 mm was used for the investigation of the piston top
profile and of the stiffness on the fiiction force, as described later. The running-in test for the piston
with Lp=50 mm was carried out under condition of ~1V/P~5.8 x 107, which was almost the same
as that for the piston with I~,-~)0mm.

~ 0.2
oo.,
0

6
100hr
o
i-
6
-'
a o.2
o4F
"E" 0.3 0 t00hr

0 ~ O.1 0 0 0 0 0
0 I I I I I I 0 I I I I I I I
A B C D E F A B C D E F G
(a) Piston (b) Cylhder
Fig. 11 RoughnessRa ofpiston and cylinder
(ct= 18~ = 12 MPa, N = 500 min-l,0T = 0.1~ = 1.5,P L = 90ram )

_l
,-, 10 i-
-' "E 2[ a 0hr i-Regbn 2 -~
~ 0 100hr A A . ~"!i- o ,~hr
l~-
"~ A A A
g
'~ 0 o o o
6 2, 0
O/ O 0 ~: 0 i i i I I I I
A B C D E F A B C D E F G

(a) Piston (b) Cylinder

Fig. 12 Roundness ofpiston and cylinder
(ct= 18~ Pd = 12 MPa, N = 500 mint,0r = 0.I ~ = 1.5,PL = 90ram )

15
AOhr ,--.6 1 A 0hr
0 lOOhr 0 lOOhr
A -~ 4
A ca o 2 A
0 0
A
0/ 9 I
oI
o -5 2I
I I I I I
250 300 500 ~ 1000 J 250 300 500 1 1000 1
mk1-1 m h l mna- m~" min "l mha -I mh- m~"

(a) Piston Co) Cylinder

Fig. 13 Cylindricity ofpiston and cylinder
(ct = 18~ Pd = 12 MPa, N = 500 minJ,0~ = 0.1~ = 1.5,PL = 90mm )

Slope
1.7 3.5 5.1 7.0
100 1000 1000 1000 1000
i I i [

- O - - Pa=5 MPa
Z 80
- A - pa=7 MPa
60 - I~--- pd=10 MPa 1"1

~ 40
20

0 ~ , ,
0 0.1 0.2 0.3 0.4
0T ( ~ )
(a) Effects ofsupplypressure Pd ( N=500min~ )

slope
1.7 3.5 5.1 7.0
150 1000 1000 1000 1000
I ! I I

Z 120 "-O--- N=250 min -i

- A - N=500 mha -i
E 90
- [~--- N=IO00 rain -I ~ )
~ 6o
30

0 O.I 0.2 0.3 0.4

OT( ~ )
Effects ofrotational speed ofswash plate N ( Pa=10 MPa)

Fig. 14 Effects of taper angle Or on maximum fric#on force (Fy),~

(a = 8~ = 1.1,PL=50mm)

Effect of Piston Top Pmfde

The effects of the taper angle 0 T (within the limits of 4 mm from the top) at the piston top
on the friction force are shown in Fig. 14 for the diametral clearance 19- 23 p.m between the piston
and the cylinder. The ordinates are maximum friction forces (Ff),n ~ which occurred in the pumping
action.
The maximum friction force (Ff)~ increases with increasing supply pressure and decreases
with increasing the rotational speed of the swash plate N. These tendencies do not depend on the
taper angle 0 T . At the same supply pressure or the rotational speed of the swash plate, however, it
depends on the taper angle. The taper angle 0 T = 0.2 ~ (slope: 3.5/1000) in all experimental
conditions minimizes (Ff)m~.. It is considered that sufficient fluid film might be formed due to the
wedge of taper. It is well known that the wedge with approximate 1/1000-2/1000 is generally
effective for the fluid lubrication, and this is almost the same as the experimental results.
It is confirmed experimentally that the profile of the piston top is one of the important factors
which affect the lubrication characteristics on the sliding surfaces.

Effect of Piston Stiffness

Effect of the piston stiffness on the friction force was examined for the piston with taper
angle 0 T = 0.1 ~ and the cylinder with diametral clearance of 20-22 p.m. The piston stiffness
was changed by hollow machining in the parts from the tops to depth 35 mm, with inside
diameters 14 mm or 16 mm. The ratios of the bending stiffness of partly hollow piston to the solid
piston used in the previous experiments, S are 75 % and 55 % for 14 mm and 16 mm in inside
diameter, respectively.
Figure 15 shows the effect of the stiffness ratio S on the friction force. The maximum
friction force (Ff),,~ which occurs in the pumping action decreases with decreasing the stiffness
ratio S. For low stiffness pistons of S=55 % and S=75 %, the difference between both the results is
little. The variations of the friction forces for S=55 % and S=75 % are similar to sine-curve from
early stage of the nmning-in tests though under q V/PL= 2.9• 10-7, that is, a half of the bearing
modulus in the nmning-in condition. On the other hand, the curve for the solid piston (S=100 %) is
different from the sine-curve under the same nmning-in condition. The elastic deformation of the
piston increases with decreasing the stiffness, so that a lower stiffness piston would form thicker
fluid film on the sliding surfaces than a higher stiffness one, that is, a low stiffness piston would
have higher load carrying capacity by fluid film and smaller friction force than a higher stiffness
one.
Furthermore, the ratios of the separation voltage at the early stage of the running-in tests for
S=55 % and S=75 % were small values of 0.55 and 0.44, respectively. They increased up to 0.98
and 0.99, respectively, after the tests for 30hr. This means that the progress rate of the nmning-in
was higher than that for high stiffness piston (S- 100 %).
The piston stiffness sufficiently affects both the progress of nmning-in and the friction force
between the sliding surfaces. Therefore, we should recognize that the piston stiffness affects the
lubrication characteristics.

201''' '' ' ' l

0 ....

- 2 0 ~

40
0 90 180 270 360
r176
(a) S=100%
20, , , , j , , , 201 , I , , , , , '

Z--~124000 iilf , , , I--; 11~ t

0 90 180 270 360 0 90 180 270 360
~(~ r176
(b) S = 7 5 % (c) S = 5 5 %
Fig. 15 Variationsoffriction forces Fj
(a=8~ N=500min ~, 0 x =0.1~ PL=50mm)

Conclusions

The effects of the running-in tests on the lubrication characteristics were examined for the
sliding surfaces between the piston and the cylinder in a model apparatus of a rotating swash-plate
type piston pump and motor. The friction characteristics with the Falex friction tester gave the
guidance for finding the suitable running-in condition in the model apparatus. However, we cannot
determine the correct lubrication characteristics between hydraulic piston and cylinder by means of
such a bench test as the pin-on-V-block tester, because the sfi~esses of both piston and cylinder
affect the lubrication characteristics and the progress rate of nmning-in, and because the piston top
profile exerts an influence on the lubrication characteristics. For standardization of the lubrication
tests between the hydraulic piston and cylinder, it is necessary to use such a model apparatus as the
one used here; also, the piston top profile and the piston stiffness must be defined.

References

[1] Fang, Y. and lkeya. M., "Lubrication Condition between the Piston and Cylinder for Low-
Speed Ranges of Swashplate Type Axial Piston Pumps and Motors (Spin of the Piston and
Its Influence)," Journal of the Japan Hydraulic and Pneumatic Society (in Japanese), Vol. 23,
No. 4, 1992, pp. 420-426.

[2] Matsumoto,K. and lkeya, M., "Friction Characteristicsbetween the Piston and Cylinderfor
Low-SpeedConditionsin a Swashplate-TypeAxial PistonMotor," Transactionsof the Japan
Sociefy of Mechanical Engineers, Series C (in Japanese), Vol. 57, No. 540, 1991, pp. 2729-
2733.
[3] Dowd,J. tL and Barwell, E T., "TribologicalInteractionBetween Piston and Cylinderof a
Model High Pressure HydraulicPump," ASLE Transactions,Vol. 18, No. 1, 1975,pp. 21-30.
[4] Kyogoku,K., Hamamura,Y., Naganuma, T. and Nakaham,T., "Lubricationof Oil-Hydraulic
Piston Pump/Motor (Part l, Measurement of Piston Friction Force)," Journal of Japanese
Society of Tribologists(in Japanese),Vol.35, No. 12, 1990,pp. 914-921.
[5] Kyogoku,K., Nagantuna,T., Hamamura,Y. and Nakahara, T., "Lubricationof Oil-Hydraulic
Piston Pump/Motor (Part 2, Measurement of Oil Film Thickness between Piston and
Cylinder),"Journal of Japanese Society of Tribologists(in Japanese), Vol. 36, No. 1, 1991,
pp. 28-35.
[6] Tanaka,K., Nakahara, T. and Kyogoku, K., "Piston Rotation and FrictionalForces between
Piston and Cylinder of Piston Pump and Motor," Transactions of the Japan Society of
Mechanical Engineers, Series C (in Japanese),Vol.59, No. 560, 1993, pp. 1192-1197.
[7] Yamamoto, Y. and Hashimoto, M., "Effects of Running-In Process on Scuffing (Part 1
Changes of Surface Properties During Running-In Process and Their Effectiveness),"
Journal of Japan Sociefy of Lubrication Engineers (in Japanese), Vol. 27, No. 9, 1982, pp.
697-702.

Elastic-Plastic Finite Element Stress Analysis of Two-Dimensional Rolling Contact

Reference: Jiang, Y., Chang, J., and Xu, B., "Elastic-Plastic Finite Element Stress
Analysis of Two-Dimensional Rolling Contact," Hydraulic Failure Analysis: Fluids,
Components, and System Effects, ASTM STP 1339, G. E. Totten, D. K. Wills, and D.
Feldmann, Eds., American Society for Testing and Materials, West Conshohocken, PA,
2001.

Abstract: Cyclic plastic deformation is a major cause of failure in rolling elements.

Previous work reveals that a cyclic plasticity theory plays a critical role in the elastic-
plastic stress analysis of rolling contact. In this paper, a recently developed cyclic
plasticity model is integrated into a commercially available finite element package. The
plasticity model is characterized by its ability to describe general cyclic stress-strain
phenomena that occur in rolling contact. The finite element model with the
implementation of the plasticity theory is used to simulate the elastic-plastic stresses for
line rolling contact. The normal contact pressure is idealized as the Hertzian distribution
and the tangential force is assumed to be proportional to the normal pressure. Detailed
stress and strain histories as well as residual stresses and plastic flow are obtained for
repeated rolling. It is found that the residual stresses stabilize after a limited number of
rolling passes but the plastic flow persists. The rate of plastic flow decreases with
increasing number of rolling passes.

Keywords: cyclic plasticity, elastic-plastic deformation, finite element, Hertzian

distribution, multiaxial fatigue, residual stress, rolling contact, surface ratchetting

Many factors contribute to rolling contact failure. Cyclic stress and plastic
deformation are among the dominant influencing factors. When the contact load exceeds
the elastic shakedown limit, cyclic plastic deformation occurs and residual stresses and
strains develop. Elastic shakedown limit is a threshold rolling contact load below which
deformation is elastic. Rolling contact results in directional and progressive strain
accumulations or ratchetting strains. The progressive surface movement in rolling
contact is a consequence of the ratchetting strains.

IAssistant Professor, Graduate Assistant, and Post-Doctoral Research Scientist,

respectively, Department of Mechanical Engineering (312), University of Nevada,
Reno, NV 89557.
Copyright by ASTM Int'l (all rights reserved); Fri Aug 31 00:20:19 EDT 2018
Downloaded/printed by 59
YanShan University (YanShan University) pursuant to License Agreement. No further reproductions authorized.
Copyright* 2001 by ASTM International www.astm.org
60 HYDRAULIC FAILURE ANALYSIS

Different approaches exist for the failure analysis of a rolling element. Due to the
complex stress state involved in rolling contact, engineering models [1-5] are often used
in practice. The engineering models are empirical in nature. They do not directly
consider the detailed stress-strain responses in the contact areas. The final life equations
have constants that are adjusted to fit the experimental trends. Although useful and
practical, empirical methods are often inadequate for extrapolation and lack the proper
mechanistic structure to account for different materials and loading conditions.
A more general rolling contact failure analysis is based on the detailed rolling
contact stress analysis. Two types of methods can be used to predict the stress-strain
history for rolling contact problems: semi-analytical methods and finite element methods.
Semi-analytical approaches are approximate methods that are based on elastic solutions.
These approaches are simple but may provide reasonable predictions for residual stresses
and strains. Several investigators [6-12] have developed approximate methods. Because
of their simplicity, these methods can afford rolling contact simulations for large number
of rolling passes. An apparent shortcoming of semi-analytical methods is the accuracy of
the results, especially for the rolling contact cases where large plastic deformation
develops. These methods are generally limited to two-dimensional line contact problems.
Elastic-plastic stress analyses of rolling contact using the finite element (FE)
methods were conducted by Hahn and his co-workers [13-19]. Three different plasticity
models including the elastic-perfectly-plastic model [13], the linear kinematic hardening
model [16], and a two-surface plasticity model [19] were used in the FE simulations. It
was noted that different material models produced drastically different results [13, 16,
19]. For example, the FE simulation with a linear kinematic plasticity model predicted a
"forward" surface movement [13, 16] for pure rolling contact while the FE analysis with
a two-surface plasticity model produced a "backward" flow [19]. The residual stresses
obtained based on different plasticity theories also differed significantly. Experimental
observations have established that a pure rolling contact produces "forward" surface
movement and the progressive surface flow decays with increasing number of rolling
passes [20-21]. All of the FE simulations in the literature predicted either zero surface
movement or constant rate surface movement.
An accurate elastic-plastic stress analysis of rolling contact is dependent on the
material constitutive model used. Rolling contact stress represents one of the most
complicated in engineering. The stress state is three dimensional and the loading history
is nonproportional. This requires a realistic material model in the elastic-plastic stress
analysis. The discrepancy between the FE simulations and the experimental observations
is mainly contributed by the material models used in the theoretical analysis. For
example, most metallic materials display ratchetting rate decay; i.e., the ratchetting strain
rate decreases with increasing number of loading cycles. However, an inherent
shortcoming of the plasticity models used by Hahn and his co-workers [13-19] in their FE
simulations is the inability of the material models to consider the ratchetting rate decay of
the materials.
In this paper, FE simulations are conducted for the line rolling contact problems.
The analysis is characterized by the implementation of a new cyclic plasticity model into
the FE code. The plasticity model can properly describe the general stress-strain response
of a material including the aforementioned ratchetting behavior. Pure rolling as well as
rolling/sliding contacts are simulated.

Cyclic Plasticity Model

Cyclic plasticity deals with the nonlinear stress-strain response of a material

subjected to repeated external loading. Under the framework of kinematic hardening, the
yield surface translates in the deviatoric stress space (Fig. 1). A material is assumed
initially isotropic and incompressible for plastic deformation. The material follows the
elastic stress-strain relation until a yield condition is satisfied. Upon onset of plastic
deformation, the von Mises yield function and the normality flow rule are used,

f =(S-ff):(S-~)- 2k' =O (1)

where,

- (3)
g-ff

(
elf Surface

FIG. 1- von Mises yield surface with kinematic translation in deviatoric stress space.

A bold letter with a tilde represents a second order Cartesian tensor and a colon between
two tensors denotes their inner product. The prefix d denotes infinitesimal increment. In
Eq. 1, f represents the yield surface, S is the deviatoric stress tensor, ff is the
backstress in the deviatoric space representing the center of the yield surface, and k is

the yield stress in simple shear. The term EP in Eq. 2 represents plastic strain tensor.
The symbol < > denotes the MacCauley bracket (i.e., (x)= 0.5(x +lxl) ) and h is the
plastic modulus function. ~ denotes the unit normal on the yield surface at the loading
point. The magnitude of a tensor is defined as A = ~/.4 : .4.
The basic framework is essentially identical for most cyclic plasticity theories. It is
the hardening rule that distinguishes one theory from another. A hardening rule specifies
changes in the yield condition as a result of loading the material. Under the framework of
kinematic yield function, a hardening rule specifies the translation of the yield surface, or,
the evolution of the backstress. The hardening rule used in this investigation was
developed recently [22-24] and can be expressed by the following mathematical forms,

M
= ~ ' frO) (4)
i=l

{, (i = 1 , 2 , . . . , M ) (5)

The total backstress ff is decomposed into M parts E (') (i=l, 2 .... M). In Eq. 5,
r r (i) , a n d Z(i)(i=l, 2..... M) are three sets of material constants. The equivalent

plastic strain increment, dp, is defined as dp = ~/dE p : dE p .

An important characteristic of the plasticity model presented above is its ability to
predict long-term ratchetting rate decay when a material is subjected to asymmetric
loading. Ratchetting occurs when the stress-strain hysteresis loops are not fully closed,
resulting in an incremental strain per cycle. A material subjected to repeated rolling
contact loading undergoes multiaxial and nonproportional strain cycling. Under such a
strain cycle the material could fail by fatigue and by accumulation of a critical
unidirectional plastic strain. This second failure is termed as ratchetting failure and
occurs in rolling/sliding contacts with evidence of excessive plastic flow near the surface.
The cyclic plasticity model has been applied to the predictions of long-term
ratchetting of 1070 steel under various proportional and nonproportional loading
conditions. Very good agreement was achieved between predictions and experiments.
Detailed description of the aforementioned plasticity model and demonstrations of its
capability to predict stress-strain responses for general multiaxial and nonproportional
loading can be found in Refs 23, 25-29.
The plasticity model is implemented into the general purpose FE package
ABAQUS [30] through the user defined subroutine UMAT. A backward Euler algorithm
is used in an explicit stress update algorithm. The algorithm reduces the plasticity model
into a nonlinear equation that can be solved by Newton's method. The corresponding
consistent tangent operator is derived for the global equilibrium iteration, which ensures
the quadratic convergence of the global Newton-Raphson equilibrium iteration.

Finite Element Model

The FE simulations are conducted for the line rolling contact problems. Because the
rolling contact area is generally much smaller than the bulk size of the rolling element,
the contact problem can be treated in a semi-infinite plane. The coordinate system on a
semi-infinite half plane for line contact is shown in Fig. 2. Plane-strain condition is used.
The normal pressure is assumed to follow the Hertzian distribution with a contact length
of 2a. The contact load moves in the x direction. The maximum Hertzian pressure is
denoted by po. P and Q are used to represent the total normal pressure and the total
tangential force, respectively. In this investigation, the tangential force is assumed to be
proportional to the normal pressure. No stick/slip condition is considered.

Gy
y

FIG.2 - Line rolling contact: coordinate system and stress state.

FIG. 3 - Finite element mesh for rolling contact simulation.

The FE mesh for the line rolling contact is shown in Fig. 3. Fine mesh size of 0.14a
is used in the middle of the contact area. There are a total of 2094 8-node quadratic
plain-strain elements within the area enclosed by CDEF and 46 plain-strain infinite
elements. The infinite elements are used to represent the semi-infinite half plane. This
creates an elastic boundary for the FE model. Rolling contact generally results in very
localized plastic deformation. The use of the infinite elements greatly facilitates the
rolling contact analysis. The roiling process is simulated with the translation of the
Hertzian pressure along the FE mesh.
In an FE simulation, the contact load is increased gradually on the left side of the
contact region at A until it reaches the desired value (refer to Fig. 3). A total of 10
incremental steps are used for the indentation. After applied, the contact load translates in
the x direction step by step until it reaches the right side of the contact region B.
Depending on the loading magnitude, a total of 160-190 incremental steps are taken to
translate the contact load over a distance of 24a. After it reaches the far right end B, the
contact load is decreased gradually in 10 incremental steps until the contact load becomes
zero. One pass of rolling is completed at this point. This procedure is repeated for the
desired number of rolling passes. A user-defined subroutine DLOAD is programmed to
implement non-uniform loading condition for the pure rolling contact simulation
described. The rolling/sliding contact is modeled by applying concentrated node forces as
time-dependent amplitude functions.
In line rolling contact, any material points with identical z coordinates have
identical stress and strain responses. In the FE simulations, the desire is to obtain the
stress and strain responses for the middle section (Oz) (refer to Fig. 3). It is hoped that the
stress and strain results near the Oz cross section are accurate. The results in the rest of
the area are generally not accurate. A criterion to evaluate the appropriateness of the
simulation is to compare the boundary conditions with these available theoretically.
According to Merwin and Jonhson [7], the residual stress in the z direction (crz)r, the
residual shear stress (rx-_)r,and the residual strain in the x direction (ex)r should be zero for
line rolling contact. It is found that these four residual quantities are very small when the
mesh model shown in Fig. 3 is used for the line rolling contact simulations.

Results and Discussion

Rolling contact simulations were conducted using the material properties of 1070
steel with a fully pearlitic structure [6]. The material constants used in the plasticity
model are listed in Table 1.

Table 1-Material constants used in plasticity model.

E=210 GPa, g=0.3, k=100MPa

ca)=16323, cC2)=493, c~3)=149, c(4)=45, c~5)=13.6
ra)=120.5 MPa, rC2)=76.3MPa, rm=89.6MPa, rC4J=100.4MPa,/5)=152.5 MPa

All the FE simulations were conducted either using a 400 MHz PC computer or a
SGI Origin 2000. The deformed mesh for the pure rolling with p0/k=-7.0 after 10 rolling
cycles is depicted in Fig. 4. It can be found that the stress field near the middle cross
section is independent of the x coordinate. This suggests that the results taken from the
middle cross section will be representative for the line contact rolling. It can be also
found from Fig. 4 that a "forward" surface movement is predicted for pure rolling (refer
to Fig. 2 for the rolling direction).

A B
~ i ' ' "~~ .~'``'``~`~`':':'`~`~'`~''`~'''`~'`~':`':'```~`~:`:''`:''''`~'~`~``~``~``t`````~`
.' " '. ~.' ". ' ".:~".......................................
...............................................................
" ."".'.-.
.~. . . . . .`~`?```~`~`~````::~:`~`~`~`~`:``~````:~(````'`:`````~::```~`~(~````~`.~`````Z`~`~``````````~
. . . . . . . . . . . ."...............................'......... . . . . . . . . . . .~. . .I"......................................................................
......... . . . . . . . . . '. '.-..~,~-.'~................................................................
-,-;,-,-:,.;;...........................................
..-.-.-.-.-. .'',i '~ ' " i ~ '

~ t 1 ~ ~ i i ~ [~!!~ii~ii~3~'`~iii~iiiiii~}~;~```~j!!}iii]ii?i~iii~i~jIi~!!!!~
J I I [ I I i[ I I I I I :l ',',l~,',~ll',I::;:~12:~i;~:::,'i::i ',f',l',l',J~I;:2;,';~;Ji',l',:~I~t',l~CJtl~',llI I I ~~~ '

a~r --'~ / I Ill liiiiiiili{ilili!iiii[i[iilj!j!ji[i[iifiii0iii t

FIG. 4 - Deformed mesh.

Stress-Strain Response

Shown in Fig. 5 are the selected shear stress-strain hysteresis loops at z/a=0.656 for
the pure rolling of p0/k=-7. Under the constant rolling contact loaditag, the shear stress
amplitude does not change except for the first cycle. The shear strain ratchets in the
negative direction. This strain ratchetting contributes to the surface movement. A careful
examination of Fig. 5 reveals that the strain ratchetting rate decreases with increasing
number of rolling passes.

-]
200

100-1 ~ le 1-4

I Po/k=7.0
IQ/P=0
iz/a=0.656
I I I
-0.004 -0.002 0.000 0.002 0.004
Yxz

FIG. 5 - Shear stress-strain response (polk=7, Q/P=O).

Residual Stresses and Strain

Normalized quantities are used in reporting the results. The length is normalized in
terms of the half contact width, a, the stresses are normalized by the yield stress in shear,
k, the shear strain is normalized by k/G, and the surface movement is normalized by ka/G,
where G is the shear elasticity modulus. All the results reported below are taken from the
middle cross section Oz (refer to Fig. 3).

0- 188 42
,,,,~--__~,,.~le 1

' I I I
/ I
-1.2 -0.8 -0.4 0.0 0.4
(Cx)~

FIG. 6 (a) - Formation of residual stress (Crx)r(polk=7, Q/P=O).

-1.5

-1,0

I o FESimulation I
~ -0.5 Extrapolation

Pure rolling
polk=7.0
0.0
I I I I
0 10 20 30 40
N, Number of Rolling Passes

FIG. 6(b) - Stabilization of residual stress.

Figure 6a demonstrates the formation of residual stress in the x direction, (crxL, for
the pure rolling ofpo/k=7.0. The variation of the peak residual stress (crx)~ with the
number of rolling passes is shown in Fig. 6b. It can be noted that the variation of the
residual stress is asymptotic in nature. Therefore, an asymptotic curve was used to
extrapolate the result in Fig. 6b. The values of the residual stress (~rx)r after the tenth and
twentieth cycles are 8% and 3% less than the stabilized value, respectively.

0--

1- P~ " ~ ~

2-
3-
4-
5-
6- Pure rolling
7- I 1 I' I
-2,0 -1.5 -1.0 -0.5 0.0 0.5
(~x)r/k
FIG. 7(a) - Residual stress, (~rx)r,for pure rolling.

0 m

polk=9
1-
2-
3-
4-
5-
Purerolling
6-
7- I I I I
-2.0 -1.5 -1.0 -0.5 0.0 0.5
(~y)r/k

FIG. 7(b) - Residual stress, (~)r , for pure rolling.

2
~ po/k=9

PureRolling
I I I
-4 -2 0 2 4
('}txz)r G / k

FIG. 7(c) - Residual shear strain, (y~r, for pure rolling.

Shown in Fig. 7 are the residual stresses in the x and y directions and residual shear
strain for the pure rolling (Q/P=O) with three levels o f load after 10 rolling passes. The
surface residual stresses in both directions are zero or compressive and maximum
residual stresses occur subsurface. The location of the maximum residual stress is
dependent on loading magnitude. The maximum value of the residual stress in the y
direction is slightly higher than that in the x direction.

Q/P=0.30.2~_ "
2

PureRolling /
pc/k=7.0
I I I I I
-2.1 -1.5 -1.0 -0.5 0.0 0.5
((Yx)r/k

FIG 8(a) - Influence of tangential force on residual stress, (~)r.

Q / P = 0 ._ .3 0 , 2 ~ _ .

Pure Rolling
po/k=7.0
I I I I I
-2.~ -1.5 -1.0 -0.5 0.0 0.5
(O'y)r/k

FIG 8(b) - Influence o f tangential force on residual stress, (~)~ .

O-
-0.2
Q/P 0 3 ~\ / ,,~""~
2-
K
6- Pure Rolling
po/k=7.0
I I I
-2 0 2 4
(~'xz)r 6/k

FIG 8(c) - Influence o f tangential force on residual shear strain, (Yxz)~ 9

Results shown in Fig. 8 exhibit the influence of the tangential force on the residual
stresses and residual shear strain after 10 rolling passes. Rolling contact conditions of
p/k=-7.0 with Q/P=0, + 0.2 and + 0.3 were simulated. The results in Figs. 8a and b
indicate that the tangential force does not affect the residual stresses significantly. The
tangential force affects the residual stresses within a thin layer of material near the
contact surface. However, the tangential force dramatically influences the residual strain
~r (Fig. 8c).
Comparing the results in Fig. 7 with these in Fig. 8 reveals that the residual stresses
are predominantly determined by the normal pressure while the residual strain is mainly
caused by the tangential force.

Shear Strain Ratchetting

The shear ratchetting strain changes with the loading cycles. Figure 9a shows the
variation of the residual strain (7=)~ with the number of rolling passes at z/a=0.396 for
the rolling ofpo/k=7.0 and Q/P=-0.2. Because the rate of strain accumulation decreases
with increasing number of loading cycles, it is necessary to find a method to extrapolate
the results to larger number of cycles. Shown in Fig. 9b is the rate of the residual strain
accumulation with the number of loading cycles. It can be found that a power law
equation can be used to describe the relationship between the strain rate and the number
of loading cycles. Therefore, the residual shear strain rate can be expressed by,

dO'=)~ _ AN b (6)
dN

where A and b are fitting constants. Integrating Eq. 6 results in the following relationship
between the residual strain (Y=)~ and number of loading cycles,

A Nb+l + C1 (7)
(r=)r =b+l
where C] is the constant of integration.
For any material point, a curve of ~,=)r vs. N can be obtained from the FE
simulation. By best fitting the FE results using Eq. 7, the three constants in the equation
can be obtained. Therefore, the residual strain can be obtained for any number of rolling
passes.

5-
t o Es,mu,=,oo I J ,:
2-
0.1~
3
Z 4:
~2 2-
~ o.oi
4Z
2"

10 100 10 100
N, Number of Rolling Passes N, Number o f Rolling Passes

(a) (b)
FIG. 9- Variation of residual shear strain with the number of rolling passes.
(a) residual shear strain vs. N; (b) residual shear strain rate vs. N.

Surface Ratchetting

Surface displacement is a result of the residual shear strains beneath the surface.
The relationship between the surface displacement, 6, and the residual shear strain,

+co

8= [(r,,),a, (s)
0

In an FE analysis, the surface movement is obtained directly from the simulation.

Shown in Fig. 10 are the variations of the surface displacements with the number of
rolling passes for different loading conditions. The results in the figure further confirm
that the tangential force has a great influence on the residual strain. It can be found that
pure rolling (Q/P=O, dashed lines in Fig.10) results in a "positive" surface movement.
According to Fig. 2, a positive 6 corresponds to a "forward" (rolling direction) surface
flow. Therefore, the FE model predicts "forward" surface movement for pure rolling
contact. This is in agreement with the general experimental observations.

~
(p olk=7, QIP=-0.3)
_

(7,-0.2)
4
(9,0)
2
(7,0)
r~ 0- (5,0)

-2 -- (7,0.2)

-4- (7,0.3)
-6 --
. . . . . . . I . . . . . . . . I

1 10 100
N, N u m b e r o f R o l l i n g Passes

FIG. 10 - Variations of surface movement with number of rolling passes.

One of the main focuses of the present investigation was on the implementation of a
realistic cyclic plasticity model into a finite element analysis of rolling contact problems.
Early FE analyses of rolling contact generated very significant different results when
different constitutive models were used. They failed to reflect the experimentally
observed surface movement. Although no experimental data can be found to compare,

the simulations in the current investigation capture the general rolling contact
experimental phenomenon. It is well recognized that the residual stresses measured from
laboratory roller specimens are all compressive and the maximum residual stresses occur
subsurface [31]. Shima et al. [21] and Bhargava et al. [32] reported that the surface
ratchetting continued for very long loading cycles and the rate of ratchetting decayed as
the number of rolling contacts increased. The results shown in Fig. 9 and Fig. 10 agree
with these observations.
It should be noted that a very small yield stress, k=-100MPa, was used in this
investigation. This yield stress value corresponds to the linear part of the stress-strain
curve. With a realistic yield stress, very small plastic deformation can be simulated.
With the detailed stress and strain histories obtained from the FE simulations,
failure models such as that proposed by Jiang and Sehitolgu [33] can be used to assess the
service life of a rolling component. Also, a consideration of the slip/stick condition in the
contact area is important. When plastic deformation occurs, the contact area may differ
from that of Hertzian contact. For general rolling contact problems, three-dimensional
analyses should be considered. Efforts are being undertaken to study these influences,
and results will be reported in a future presentation.

Conclusions

Finite element models with the implementation of a realistic plasticity model were
used to conduct stress analysis of line rolling contact. Several rolling contact conditions
were simulated and residual stresses and shear strain accumulation were obtained.
Residual stresses stabilized after a limited number of passes of rolling contact, but the
ratchetting displacements accumulated over many cycles and did not saturate.

Acknowledgements

Partial financial support was provided by the University of Nevada, Reno, through a
Junior Faculty Research Award. NCSA at University of Illinois is acknowledged for
providing computer time.

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[16] Ham, G. L., Hahn, G. T., Rubin, C. A., and Bhargava, V., "Finite Element Analysis
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Sliding Contact," Tribology Transactions, Vol.32, 1989, pp. 311-316.
[1 7] Kumar, A. M., Hahn, G. T., Bhargava, V., and Rubin, C. A., "Elasto-Plastic Finite
Element Analyses of Two-Dimensional Rolling and Sliding Contact Deformation of
Bearing Steel," ASME Journal ofTribology, Vol. 111, 1989, pp. 309-314.
[18] Bhargarva, V., Hahn, G. T., Ham, G., Kulkami, S., and Rubin, C. A., "Influence of
Kinematic Hardening on Rolling Contact Deformation," Proceedings of the Third
International Symposium on Contact Mechanics" and Wear of Rail~Wheel Systems,
Cambridge, U.K., 1990, pp. 133-146.

[19] Howell, M., Hahn, G. T., Rubin, C. A., and McDowell, D. L., "Finite Element
Analysis of Rolling Contact for Non-Linear Kinematic Hardening Bearing Steel,"
ASMEJournat ofTribology, Vol.117, 1995, pp. 729-736.
[20] Hamilton, G. M., "Plastic Flow in Rollers Loaded above the Yield Point,"
Proceedings, Institution of Mechanical Engineers, London, Vol. 177, pp. 667-675.
[21] Shima, M. and Okada, K., "Measurements of Subsurface Plastic Flow in Rolling
Contact," Journal of JSLE, Int. Ed., No.2, April 1981, pp. 75-80.
[22] Jiang, Y. and Sehitoglu, H., "Modeling of Cyclic Ratchetting Plasticity: Part I---
Development of Constitutive Equations," ASME Journal of Applied Mechanics,
Vol.63, 1996, pp. 720-725.
[23] Jiang, Y. and Sehitoglu, H. "Modeling of Cyclic Ratchetting Plasticity: Part II---
Implement of the New Model and Comparison of Theory with Experiments," ASME
Journal of Applied Mechanics, Vol.63, 1996, pp. 726-733.
[24] Ohno, N. and Wang, J. D., "Kinematic Hardening Rules for Simulation of
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519-531.
[25] Jiang, Y. and Kurath, P., "A Theoretical Evaluation of the Incremental Plasticity
Hardening Algorithms for Cyclic Nonproportional Loadings," ACTA Mechanica,
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[26] Jiang, Y. and Kurath, P., "Characteristics of the Armstrong-Frederick Type Plasticity
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[27]Jiang, Y. and Kurath, P., "NonProportional Cyclic Deformation: Critical
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[28] Jiang, Y. and Kurath, P., "An Investigation of Cyclic Transient Behavior and
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[29] Kurath, P. and Jiang, Y., "Analysis of Residual Stresses and Cyclic Deformation for
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Development of a New Application-Related Test Procedure for Mechanical Testing

of Hydraulic Fluids *

Reference: Feldmann, D. G., and Kessler, M., "Development of a New Application-

Related Test Procedure for Mechanical Testing of Hydraulic Fluids," Hydraulic
Failure Analysis: Fluids, Components, and System Effects, ASTM STP 1339, G. E. Tot-
ten, D. K. Wills, and D. Feldmann, Eds., American Society for Testing and Materials,
West Conshohocken, PA, 2001.

Abstract: Traditionally, various testing methods are used to determine the lubrication
properties of hydraulic fluids. The standard for mechanical testing of hydraulic fluids is
based on the Vickers V-104 vane pump (DIN 51 389, DIN 51 524). Numerous other pro-
cedures for mechanical testing of lubricants are used with the FZG-Test (DIN 51 354)
being the most important one, in which the tested fluid is exposed to a particular load by
shearing it in a gear set. Moreover, industry uses several non-standard "in-house" testing
methods.
This situation cannot be satisfying in many respects since only part of the interac-
tion between fluid and component is tested with the existing test procedures and the va-
lidity of test results is limited, especially in the case of the vane pump test. When run
under the same conditions, some tests are lead widely varying with the problem of repro-
ducibility. Due to the number of necessary test procedures, cost and time expended is too
high. Finally, there is no proof that commonly used procedures will be suitable for more
modem fluids such as biodegradable fluids.
This paper describes the development of a new application-related test procedure
for Mechanical Testing of Hydraulic Fluids, performed by the authors to overcome the
problems discussed above.

Keywords: tribology, mechanical testing, hydraulic fluids

1 Professor, Institute for Mechanical Engineering Design I, Technical University of

Hamburg Harburg, Denickestrage 17, D-21073 Hamburg, Germany
2 Research scientist, Institute for Mechanical Engineering Design 1, Technical University
of Hamburg Harburg, Denickestrage 17, D-21073 Hamburg, Germany
* Research work, realized at the authors' institute, financed by DGMK (German Society
for Oil, Gas and Coal, Hamburg) and BMWi (German Ministry for Financial Eco-
nomics, AiF-No. 10509 N1) [1]
Copyright by ASTM Int'l (all rights reserved); Fri Aug 31 00:20:19 EDT 2018
Downloaded/printed by 75
YanShan University (YanShan University) pursuant to License Agreement. No further reproductions authorized.
Copyright9 2001 by ASTM International www.astm.org
76 HYDRAULIC
FAILUREANALYSIS

Introduction

The objective of the research project discussed in this paper is to develop a test
procedure for qualification of hydraulic fluids which produces a meaningful data relating
to applicability of hydraulic fluids in various applications. Figure 1 provides a flow chart
for the development of a new test procedure: The first step is an extensive analysis of
friction and wear, followed by a detailed investigation of the tribocontact-systems of hy-
draulic power systems and components. Also, existing test procedures will be classified
with respect to their ability to reproduce the complex tribological conditions of the wear
contacts in hydrostatic machinery.

Figure 1- Mechanical testing of hydraulic fluids - sequence of the project

The '~ribology research" discussed here is being performed to determine the lribo-
logical loads of each contact of interest, the kind and order of motions and the mecha-
nisms of wear. Where possible, physical values of contact parameters will be quoted from
literature, or they were estimated.

This work is being performed to develop a specification for a testing strategy. De-
rived from the above investigations, it shall be kept as simple as possible, offering com-
plete reproduction of the various interactions between fluid and components with adjust-
able test conditions and test parameters as they are found in hydraulic machines.
The most suitable concepts were generated by using a 2D- and 3D-CAD-System.
The test runs were performed at the authors' institute and experimental work is still in
progress.

Systematic Investigation in Friction and Wear

The first step was to conduct a detailed investigation of:

9 important sliding and rolling contacts in hydrostatic machines (i.e. pumps and motors
of different types, valves, cylinders, bearings),
9 to provide an overview of the functions, properties and applications of commonly
used hydraulic fluids, and
9 compile a listing of standard test procedures with different criteria to evaluate their
potential for mechanical testing of hydraulic fluids.

Tribological Load on Contacting Surfaces in Hydraulic Machines

Depending on the lubricating conditions, friction and wear occurs on the contact
surfaces in relative motion. A new test procedure for mechanical testing of hydraulic
fluids must reproduce all relevant operating parameters in kind and magnitude which
occur in hydrostatic machines.
To determine the relevant tribological loads, all sliding- and sliding/rolling-contacts
of tribological interest were classified for different types of hydrostatic machines, fol-
lowed by a detailed analysis of friction and wear for these contacts. Values for relative
speeds and loads were quoted from literature or they were estimated.
A total of 22 interesting tribocontacts were classified into subgroups vane-type
pumps, piston pumps, gear pumps, cylinders and miscellaneous. Figure 2 describes the
types of tribological load, motion, contact geometry, movement and other parameters of
tribological interest. Pressure differences and dynamic loads are assigned to the different
contacts. For some tribocontacts, e.g. between vanes and sideplate of a vane-type pump,
there is typically a pressure difference caused by leakage flow over the contact zone,
which influences the lubricating and wear behaviour compared to a tribocontact without
such a pressure difference, e.g. between slipper and slipper guiding plate for an axial
piston-type pump. Some tribocontacts, e.g. vanetip to ring are adjustable. Wear did not
influence the gap heigh where the gap width is determined by the manufacturing process.
Normal wear widens the gap height at the tribocontact piston - bore of an axial piston
pump.
Physical values for gap height, contact speed, rate of shear, stresses and tempera-
tures are specified in Figure 3.

Tribological loads
overview
kind of motion contact movement other tdbologkial parameters
geometry

vane-type pumps

1 vanetip - dng O • 0 : ~¢'

" • : yes rye s ; U ; ; n o i ,' n 0 ; , . . .yes
.. .
2 vane - slot • • • ~: i Y~ ~; no (no,
3 vane - sideplate • I :: : • • yes no

piston pumps
4 piston-
bore (A / R) • • • yes yes yes ( yes ) no
5 slipper - 1 : : I i i ] I :i I J
slide plate (A) • • • . : yes: yes :no , yes: , :yes ,
• , ,,,
6 slipper-
ring (R) , • • • yes yes no ', n o i yesi'
7 slipper- •
piston head (A) • ? ? no yes no ? ( yes )
8 slipper- •
• ? ? no yes no ? ( yes )
piston head (R)
9 valve plate -
cylinder block (A) • • • yes no yes no yes
10 swashplate
(bearing) (A) • • • no no no no yes

11 axialerheader (R) • • • no no yes no no

12 rotary valve (R) • • • no no no no ( yes )

13 slipper guiding
• • no no no no yes
plate - guideball (A) •
14 slipper - slipper •
• • no no no no ( yes )
guiding plate (A)

gear pumps
15 gear - sideplate yes no no no no
16 gears no yes no no yes

cylinders
17 plunger- cyliner yes no no no no
18 sealing yes no no no ( yes )

miscellaneous
19 roller bearing • ! • no no no no (no) I
20 radial shaft sealing • • • yes no no no ( yes )
21 serrated hub • • • no no no no yes
22 joumal bearing • • • yes no no no ( yes )

[~ important for friction and wear caused failure

A - a]dal pistons ? - contradictory statements
R - radial pistons ( ) - in limits

Figure 2- Tribological loads in hydrostatic machinery - overview

Tribological loads #¢ ~-
physical values ,~ oo~ ~6~'~b
-
, ;;. 4 0 0 O N / r a m 2
vanepumps 1 vanetip - ring Oi3.~iilxm ~;~11 m/e herlzlanstress::'
._ 5000 N/ram2
2 vane - slot 10 ,,, 25 pm ... 1,2 m/s hertzianstress
3 vane - sideplates 10...25 run .:.Smls 0 N/mm2 .

pistonpumps 4 piston - cylinder (A / R) 5...20(40) pm ... 4 rnls i ... 35 (42) hYmm2

• J , : .
5 slipper - slideplate (A) 5;.,20(60) ~m :~.~2 7 m/s ..~17N/mm~
6 slipper - ring (R) 5 ,, 20:lxm ..,271m/S .~. ~ZN/mn~
7 ! 8 slipper - piston head (A / R) ... 150 Ilm (._3m/s) ...tgNImm"
o 9 valve plate - cylinder block (A) O,5...5(25) pJln ..; 2 7 m/s ..:1 N/mm~
•-~ "B. ... 2000N/rnnf
Q._ 10 swashplate (roller bearing) (A) hertzian stresS
-~._~
~ 11 axial header (R) ... 10(20)IJm ... 1,3 m/s ON/mm~

<~ ~: 12 rotary valve (R) 5...20(40)pm ... 5 mls ... 2 0 N / n ~

13 slipper guiding plate - guideb. (A) ... 1,1 m / s ... ~eN/mn~

14 slipper - slipper guiding plate (A) ... 5,5 m/s ... 2 h Y m r r F

hiqhlighted: ~ . important for friction and bold quoted from literature ita/ic: estimated
L_u. wear caused failure ( ) bzw.( ) : peak values : irrelevant

Figure 3- Tribological loads in hydrostatic machinery physical values -

TEST PROCEDURES EXAMPLES RESULTS

category specification test procedures duration fluids components
I service conditions .... &
:;u) (field test) I s~sgc~ds I
.,ebo t /

T
LU

>.~ II test rig conditions ~ flywheel-teStr__l T=300h 0 0 • 0

(n L_.~ a2___l ( ~ = 1 1-[~ -]~ = f l = [ ~ T = 1 0 0 0 h • • • •

increasing:
~: III component tests - complexibility FZG-test T=15min • • • O
- test duration (DIN 51 354) (max. 3 h)
- costs
IV test with reduced
dimensions [irrelevant for m e c h a n i c a l testing o f h y d r a u l i c fluids]
u)

non standardizised tests dependent on

~ ]]: : comPonents :: ]
: : :: :: : : ii :MECHANICALI static, dynamic the p r o c e d u r e

o° ::VI .... : (.rnod.e!):test!ng

" : 0 f :: HYDRAUUC::
i:::/i iin¢: .....
3~ : :: s!mp!e spe:c!mens: i i - ~ v ~ " " ;: i Fourball-test T=60s - O • •
(DIN 51 350) (max. 1 h)

O - low influence
• - hi.qh influence

Figure 4- Categories of wear testing (DIN 50 322),

examples for typical test-setups, -durations and -results

Existing Testing Methods

Important for the function of hydrostatic machinery is the ability of the hydraulic
fluid to provide a lubricating film to separate part surfaces in relative motion. To examine
the lubrication and anti-wear properties of hydraulic fluids, different types of mechanical
bench tests are used. These tests can be divided into six categories as shown in Figure 4.
The most reliable way to evaluate the application properties of hydraulic fluids is the
field test (category I), where the fluid is "tested" under typical working conditions in field
operation. The results of such tests are only as good as the monitoring system used to
keep track of system loads, pressures, speeds, temperatures, leakage and replacement of
fluid, water content and other external impacts on the fluid. In addition, it is necessary to
have a sufficient number of applications of different types to cover the typical range of
operating conditions for each fluid that shall be used. This makes a qualification proce-
dure using field tests costly and also risky, as insufficient properties of the fluid may
cause the working system to fail. Therefore, producers of hydraulic fluids and hydraulic
components desire a limited number, if possible only one non-complex laboratory test, to
ensure that fluids that are put into a field test have shown sufficient performance in the
laboratory tests. These tests must provide typical application loads on the fluid and
should be low cost and not time consuming (scheduled in category V or VI). Different
tests focus on different tribological conditions, as it can be seen in Figure 4. Some exam-
ples for existing test procedures are given for each test category.
An important test procedure of category II is the flywheel test, where fluids are
tested under loads typical for mobile applications. The most important laboratory test of
category III is the FZG-test (DIN 51354). Although it is standardized and often used, it
does not represent the complex tribological loads of hydrostatic machinery in field appli-
cations. As standard bench tests do not give sufficient information about the fluid per-
formance the industry uses several non-standardised "in-house" testing methods (nor-
mally of testing categories V and VI). Their results are normally not published.
More simple reproducible test methods of category V and VI are reliable. The
problem is to correlate the observed wear to hydrostatic machinery in applications. So
common laboratory tests utilizing complete hydrostatic transmissions (like the flywheel-
test) are still preferred, with reproducibility problems and laborinvestment. It must be
stated that, frequently, newly developed fluids do not fulfill the expectations of the fluid
supplier, producer and end-user of hydrostatic systems. Therefore there is a continued
interest to develop test procedures which allow qualification of new fluids through labo-
ratory tests with a high correlation between test results and the results of practical appli-
cation in the field.
A new test concept for "mechanical" testing of hydraulic fluids must overcome
these disadvantages. For reliable testing, it should reproduce the wide spectrum of tribo-
logical loads in hydrostatic machines using simple test specimens in an easy to handle,
low power consumming and automated apparatus (refer to the grey field in Figure 4:
category V or VI).

Development of a New Test Procedure

A useful mechanical test for hydraulic fluids will not require 22 different tribologi-
cal systems as shown in Figures 2 and 3. A catalogue of basic solution-principles for the
different "tribotypes" was developed.

Deduction of a Suitable Concept

Friction and wear are part of the tribosystem (DIN 50320). The contacting surfaces
were interact with each other and with the hydraulic fluid seperating them. The tribologi-
cal load (i.e. normal force, velocity) and the structure of the tribosystem (i.e. geometry,
materials, surface properties) influence the resulting gap-parameters (i.e. gap height, gap
temperature, debris). The complex interaction of all these parameters and their influence
on the wear-behavior is shown in Figure 5 schematically. A conclusive theory for the
complete calculation of the processes in the tribosystem does not exist, since many influ-
ences are still unknown.

Tribological parameters
interactions

NORMAL FORCE

PRESSUREDIFFERENCE DEBRIS
D- type of relative motion
geometry materials
VELOCITY /
MOVEMENT GAP HEIGHT
TRIBOSYSTEM
surface fluid properties GAP
OIL
TEMPERATURE (microgeometry) TEMPERATURE

adjustability

Figure 5- Tribological parameters and their interactions

To achieve economic testing, it is necessary to reduce the test parameters to a

minimum. Therefore the relevance and influence of operating conditions for the wear-
behaviour such as kinematics, contact geometry, pressure difference, temperature, asym-
metric load, adjustability and accuracy of specimens had to be estimated from literature.
This led to a specification for the design of a suitable test-rig. The objective is to obtain a
test rig of Category V or VI. From the initial investigation, it turned out that the most
important tribocontacts can be represented by two main tribosystems. One is a heavily

loaded (pnertz . . . . 5000 N/ram2)line contact with sliding/rolling motion (Vcontact . . . . 11(17.5)
m/s) and the other is an area contact, with sliding motion (Veont~t. . . . 27 m/s) and a normal
load of p . . . . 20(42) N/,~m2.Typically, there is a pressure difference over the contact zone
of area contacts in hydrostatic machines, which therefore has to be incorporated in the
test configuration. The test specimens used should be of simple design and their manu-
facture shall provide highly reproducible geometry and tolerances.

Des~n

To design a test machine which fulfills these requirements, it is useful to create

catalogues of basic solutions for all subfunctions. Figure 6 shows the possible geometry-
combinations fulfilling the specification "basic design elements for area and line con-
tacts".
For line contacts, there are three and for area contacts there are two subgroups of
possible geometry. For completeness tribocontacts in hydrostatic machines are assigned
in subgroups shown in Figure 2.
A combination of the subfunction principles leads to multiple test concepts. These
were evaluated by focusing on their conformity with the specification. The scheme of
chosen concept is shown in Figure 7.
The line contact is provided by a vane in rolling/sliding motion on the surface of a
cylinder, where the radius of the vane-tip is small related to the radius of the cylinder.
The cylinder is mounted eccentrically to the driving shaft and the amount of the rolling
component of the motion is determined by the eccentricity e.
The area contact is formed by the piston (fixed to the vane) and the bushing, as-
sembled to a rotating drum. The main component of the sliding motion results in the ro-
tation of the drum circumferencial relative to the piston which depends on the eccentric-
ity e and the drive shaft rotation n2. There is an additional component of motion, perpen-
dicular to the first component.
Cylinder, vane, piston and bushing are the four test specimens. They are easy to as-
semble/disassemble and can be manufactured from any kind of material.
The Hertzian pressure in the line contact is determined by the pressure of the oil
(which gives the pressure difference across the area contact at the same time) which is
transmitted through the rotary transmission. The normal load of the area contact is gener-
ated by tipping the drum against the piston, i.e. bracing the piston against the vane guide.
Relative motions and normal forces in both contacts are independently adjustable
and their values do not influence each other significantly.
A test rig has been designed and assembled at the authors' institute. Figure 8 shows
a drawing (sectional view) of the main part of the test rig, the oil test chamber. The com-
plete test-rig with its drive system, two electric motors connected to the system with belt
drives, can be seen in Figure 9. The test rig is designed as a prototype. Optimization of
the test rig volume and arrangement of the test rig components (e.g. drive system compo-
nents) is currently being determined experimentally. New findings will be integrated into
the design of the second optimized apparatus.

line contact area contact

1. cylinder-cylinder z~__.x 3. plane-plane

1.1 DA, D B > 0 y
\ \ \ \ \ N. N.N. ~ . -

~ . A [ Nr. (1), (2), B

(10), (13), (15),
(19), (20)] 3.1 s q u a r e - plane
[ Nr. 3, (16), (21)]
1.2 DA> 0; D B < 0; IDBI > > IDAI 3.2 circle - plane
[ Nr. 5]
[ Nr. (1), (2), 3.3 ring - plane
(10),12, (13), 14, [ Nr. 9, 11, (16)]
(15),19, (20), 22]

1.3 a) DA> 0; De--> co 4. cylinder - hollow cylinder

(with DA= DB) z1`
/~/ [ Nr. (1), (2),
10, (13), (15), A
// //
B 19, (20)1

b) DA--> 0; DB'--) O0

/
B
,.•,, .,.
[ Nr. 1,2, (10),
(13), (15), (19),
(20)]
[ Nr. 4, (6), 12, 14, 17, 18, 22]

5. sphere-hollow sphere
(with DA ~' DB)

2.1 sphere-hollow cylinder

(D A > De) z ~
#-*x [Nr. 7, 8]
[ Nr. (1), (2), (10),
B 13, (15), (19), 2o] symbols:
Nr. - number of tribocontact (fig. 2),
2.2 cone-hollow cylinder which is directly of this kind
Z

(Nr.) - number of tribocontact (fig .2),

which is similar
[ Nr. (2), (12),
(14), 20, (22)]

Figure 6 - Basic kinds of tribocontact-geometry -principles

9, z~p = f(t)
rotary transmission

IS
t

vane ,, ~ \
guide - - ~ 7/\

vane_ //

eccentric
cylinder ~shaft drive

I
I

Figure7- Test concept for mechanical testing of hydraulic fluids (scheme)

Figure 8 - Technical drawing (sectional view) of the test-rig (without drive system)

Figure 9 - Test rig for application related mechanical testing of hydraulic fluids

First Results

As the first step, systematic variation of the operating parameters was performed.
The operating conditions, where the lubricating power of the fluid can be tested without
appearance of excessive wear, was determined. The observed wear pattern after a test run
should be significant but without specimen seizure. For these investigation, high quality
mineral oil based hydraulic fluids and reference fluids were used. To obtain reliable in-
formation about transferability and suitable operating parameters for a test run, the results
of the new test rig and of standard tests must be compared and evaluated.

Tests with Reference Fluids Using Existing Procedures

Standard tests for fluids with known properties were run with two mineral oil based
fluids, a "high-reference" and a "low-reference" product. The "high-reference" mineral
oil fluid is a commonly used hydraulic fluid, which has proven its success in field opera-
tion in heavy duty applications. To get a "low-reference" product, the extreme-pressure
and anti-wear components of the additive package, used for the 'high reference'-product,
are reduced in quantity.

The results, shown in Table I, illustrate the reliability of fluid-testing. The higher
amount of total weight loss is observed for the "high-reference", and the "low-reference"
product exhibited lower wear in the vane-pump-test. This is in clear contrast to the results
of the FZG and VKA test. As expected, in both tests the "low reference" product showed
lower performance. From the flywheel test one gets no additional information in this
case. Both fluids seem to be equally poor.

Table 1 - Results of reference-fluids in standardised tests

testpro 9 'low-reference' fluid 'high-referenca' fluid

weif:lht loss (after 250 h): weiaht loss (after 250 h):
vane-pump vane: 3.3 mg vane: 3.2 mg
test ring: 69.0 mg ring: 88.0 mg
total : 72.3 mg total: 91.2 mg

comparable to typical high-quality comparable to typical high-quality

mineral oils, tested in former projects mineral oils, tested in former projects
flywheel-test
-> no significant wear -> no significant wear

result: result:
FZG-test
load carrying capacity: 9 load carrying capacity: 12

area of ball imprint: area of ball imprint:

150N / 60 min: 0.32 mm 150N / 60 min: 0.32 mm
VKA-test 300N / 60 min: 0.40 mm
300N / 60 min: 0.47 mm
welding force: evaluation not possible welding rome: 1200/1400 N

The New Test-Rig in Operation

The new test-fig was put in operation testing the functions of all components. This
phase ended with the proof of the general function of the test-fig shown. Operating con-
ditions were not reproducible during this phase, so the observed wear on the test speci-
men was not representative. Experimental work is in progress at the authors' institute.
Systematic experimental investigation will show the use of the developed test-fig focus-
ing on:

9 the influence of the operating parameters (e.g. speeds, loads) on friction and wear,
9 load cycles to be preferred for special test applic.ations,
9 the influence of different materials on friction and wear and
9 the influence of different types of fluids on friction and wear.

In the experimental part of the project, seven types of reference fluids (four differ-
ent types of mineral oil-based fluids, two biodegradable products and one fire-resistant
fluid) shall be tested, using different kinds of test specimen material.

In a following design phase, the experiences from the experimental part shall be
used to optimise the test-rig to achieve reduced size, lower power loss and smaller vol-
ume of test fluid; the development of an efficient test-procedure is the other aim of the
present work.
In a theoretical part of the project the importance of single operation parameters
for friction and wear shall be clarified, based on the experimental experiences.

Summary

This paper describes the development of a new test procedure for the "mechanical
testing" of hydraulic fluids. Initial investigations to friction and wear problems in hydro-
static machines are introduced, physical values are quoted from literature, otherwise es-
timated. It can be seen that existing and common test methods do not reproduce the load
conditions occurring in tribosystems of hydrostatic machines in field operation.
The new test rig for the "mechanical testing" of hydraulic fluids has to overcome
these deficiencies. On the one hand it should be able to realize all conditions of tribologi-
cal interest; on the other hand its design should be kept as simple as possible.
To fulfill this specification, all kinds of basic functions, necessary to realize such
"realistic" operation conditions, are listed. Combinations of these (sub-)functions are pos-
sible solution principles. These principles were valued and the most promising one was
chosen for design. Meanwhile the general function of the test-rig could be proven in op-
eration at the authors' institute.
The experimental work, scheduled for the following phase of the project, is drawn
out at the end of the paper: The operating conditions of the new test procedure (i.e. loads,
speeds, combination of specimens' material) shall be varied systematically to investigate
their influence on friction and wear, relevant in hydrostatic machines.
Based on the generated (test)results the design of the testrig shall be optimized to
prepare it for a possible use as a new standard for testing of hydraulic fluids.

References

[11 Kessler, M., and Feldmann, D. G.: "Mechanische Prtifung von Hydraulikfltissigkei-
ten", DGMK Forschungsbericht 514, DGMK Hamburg, 1999

[2] Feldmann, D. G.: "Procedures and equipment for the test of new hydraulic fluids in
hydrostatic transmissions", 3rd International Conference on Fluid Power Transmis-
sion and Control, Zhejiang/China 1993

[31 Totten, G. E., Kling, G. H., Smolenski, D. J. (Editors), "Tribology of Hydraulic

Pump Testing", ASTM Symposium, STP 1310, Houston, 4. - 5.12.1995 ASTM
Publication Code Number (PCN): 04-013100-12

[4] Hinrichs, J.: "Gebrauchseigenschaften von Druckfltissigkeiten ftir hydrostatische

Verdr~germaschinen auf Basis von Raps/51, synthetischem Ester61 und Polyal-
kylenglykol",
Dissertation, Technische Universit~it Hamburg-Harburg,
VDI Verlag, Reihe 1, Nr. 271, Dtisseldorf 1996

[5] Feldmann, D. G.: "Biologisch schnell abbaubare HydraulikfliJssigkeiten - Ergebnisse

yon Prtifstandstests und Folgerungen fur die Anwendung", Aachen 1996, 12.3. -
14.3.1996, 12. AFK

[6] Feldmann, D. G., Hinrichs, J.; Kessler, M.; Nottrodt, J.: "Ermittlung der An-
wendungseigenschaften von biologisch schnell abbaubaren HydraulikfRissigkeiten
durch Labortests". 11. Internationales Kolloquium Tribologie "Industrial and Auto-
motive Lubrication", Bd. 1, S.271-282, 13.-15. Januar 1998, Esslingen.

[7] Feldmann, D. G.; Kessler, M.: "Evaluation of Application Related Properties of Hy-
draulic Fluids by Laboratory Tests and Experiences with Biodegradable Fluids in
Laboratory and Field". Int. Off-Highway and Powerplant Congress, Milwaukee,
Wisconsin, 14.-16. Sept. 1998. SAE Technical Paper Series, No. 982002.

Modeling Abrasive Wear of Homogeneous and Heterogeneous Materials

Reference: Elalem, K., Li, D. Y., Anderson, M. J., and Chiovelli, S., "Modeling
Abrasive Wear of Homogeneous and Heterogeneous Materials," Hydraulic Failure
Analysis: Fluids, Components, and Systems Effects, ASTM STP 1339, G. E. Totten, D. K.
Wills, and D. Feldmann, Eds., American Society for Testing and Materials, West
Conshohocken, PA, 2001.

Abstract: A micro-scale dynamic approach was recently proposed to simulate wear of

materials. The model was developed based on fundamental physical laws without
employing empirical equations or tribological rules. In this model, a material system is
discretized and represented using a discrete lattice. Each lattice site represents a small
volume of the material. During wear, a lattice site may move under the influence of
external force and the interaction between the site and its adjacent sites, which depends
on the mechanical properties of the material, such as the elastic modulus, yield strength
and work-hardening. The movement and trajectory of lattice sites during wear were
determined using Newton's law of motion. A bond can be broken when the total
accumulated plastic strain exceeds the fracture strain. A site or a cluster of sites is worn
away if all bonds connecting the site or the cluster to its neighbors are broken. The
model can provide information on the strain distribution in a contact region, consistent
with finite element analysis. This model was applied to single-phase and composite
materials abraded under dry sand/rubber wheel abrasion testing condition. Good
agreement between the modeling and experiments was found.

Keywords: computer modeling, Newton's law of motion, abrasive wear, dry sand/rubber
wheel abrasion tester

x Graduate student, 2Assistant Professor, Chemical and Materials Engineering

Department, University of Alberta, Edmonton, Alberta, Canada T6G 2G6.
3'4Metallurgical research engineer, Syncrude Canada Ltd., Edmonton Research Center,
9421-17 Ave., Edmonton, Alberta, Canada T6N 1H4.
Copyright by ASTM Int'l (all rights reserved); Fri Aug 31 00:20:19 EDT 2018
Downloaded/printed by 9O
YanShan University (YanShan University) pursuant to License Agreement. No further reproductions authorized.
Copyright9 2001 by ASTM International www.astm.org
ELALEM ET AL. ON MODELING ABRASIVE WEAR 91

Introduction

Wear is a surface destructive process that can result in significant material loss
and failure of machinery and equipment in various industries such as oilsand, mining,
petroleum, manufacturing, and agriculture. The repair and replacement of worn parts of
the machinery and equipment as well as the lost production in these industries lead to a
large amount of capital loss. Development of effective technologies and materials
against wear is therefore an urgent task for tribologists and materials engineers. At
present, experiment is the prime approach to investigate wear of materials. However, a
wear process might involve several wear mechanisms and the synergistic interaction
between these mechanisms may make the explanation of experimental results difficult.
Therefore, other approaches are also being developed to study wear phenomena.
Computer simulation provides an effective and economical approach, which allows the
investigation of effects of different factors on wear under controllable conditions. Each
parameter involved in wear process can thus be studied separately.
There are a number of computer models proposed to simulate wear processes [1-
3]. The current models could be classified into two groups. One group is performed on
macro-levels. Earlier models were developed, for example, employing the slip line
theory [4,5], upper-bound method [6, 7], and the finite element method [8-10]. The finite
element method approach has been widely used to analyze two-dimensional and three-
dimensional elastic/plastic contact problems. The strain or stress distribution in a contact
region can be determined using the FEM method, and consequently the nucleation and
propagation of cracks in the contact region could be predicted. However, to deal with a
realistic engineering surface, one has to treat a large number of mesh elements because of
the existence of many surface asperities that always change during a wear process; this
makes the finite element approach unfeasible [11]. For heterogeneous materials, the
difficulty is enhanced. There are also other macro-models proposed to simulate erosion
[12,13], friction and sliding wear [14], and wear at elevated temperatures [15], as well as
other different situations [16-18]. However, many of the models are only suitable for
limited situations; they may only work for particular pairs of materials, limited contact
geometry, operating condition range, or particular environment [3]. In addition, many
models were developed on some assumptions or based on existing tribological rules, or
incorporated with empirical equations. This, more or less, weakens their predictive
function. Furthermore, quite a number of macro-models only take into account the
average mechanical properties of heterogeneous materials (e.g. multiphase and composite
materials). This makes them not suitable for characterizing wear behavior of materials in
fine details such as the microstructural effect on wear.
Another group of models is developed on fundamental physics laws, such as the
Molecular Dynamics (MD) simulation [19,20] and first-principles techniques [21]. The
MD technique may well characterize friction processes at nanometer scale, when
appropriate atomistic potentials are used. However, it is difficult to directly apply the MD
approach to a micro/macroscopic wear process because o f the limited capacity o f current
computing facilities. For instance, to simulate a material system with its volume equal to
1 gm 3 , one has to deal with 1 0 9 ~ 101~ atoms. The MD technique is usually used to
handle 10 4 atoms, limited by the current computing capability. Obviously, it is difficult

to apply the MD method to analyze a system on microscopic level, which may involve a
significantly large number of atoms.
Considerable efforts have been continuously made to improve our ability to
simulate wear and fi'iction processes and progress in this area is being achieved. The
authors recently proposed a micro-scale dynamic model (MSDM) to simulate wear
processes. Details about the MSDM model were given elsewhere [22,23]. This paper
reports some of our recent studies, including modeling wear o f single-phase and
composite materials.

Results and Discussion

Description of the Micro-Scale Dynamic Model (MSDM)

In order to make the paper self-contained, a brief description of the micro-scale

dynamic model is given here. In this model, a given specimen is discretized using a
square lattice or grid, each site of which represents a small volume of the material. The
current modeling is performed in a two-dimensional space. The model can be easily
expanded to 3-dimensional space and performed in a similar way. During wear, a lattice
site may move under the influence o f the external force and the interaction between the
site and its neighbors. The interaction between two adjacent sites is dependent on the
mechanical properties of the material. In the case of single-phase material, the
interaction is a function of the Young's modulus (E), the yield strength (tJy), and the
tensile strength ( a r ) o f the material [22],

f = k .Al = k(E,CyCr). Al (1)

where, A/ is the deformation o f the bond connecting a pair of sites and f is the force
between these two sites, k is a force coefficient that characterizes the interaction between
this pair o f sites. The total force on a site, e.g., site p, is a sum of forces between this site
and its n nearest neighbors,

P =Zk.zff(p,q)+L (2)
q

jPp is the external force on site p if this site is on surface. If site p is not a surface site,
.fp is equal to zero. When the total force, Fp, is known, one may determine the velocity
o f site p and its next position and velocity after a time interval At,

~(p) = ~o(p) + 1 F ( p ) A t (3)

;(p) = ~ (p) + ~ (p)At (4)

where, rn is the mass of the site, ~o(p) is the velocity of site p at the time t, while f ( p )
is the velocity at time t + At. ~ (p) is the position vector of site p at time t, while ~(p)
is the new position of site p at time t + At. In such a way, one may determine the force
on this site at t + At based on its new position and thus predict the next changes in
velocity and position of the site. A site or a cluster of sites is worn away during wear if
all bonds connecting this site or the cluster to its nearest neighbors are broken.
In the case of composite, the interaction is dependent on the mechanical
properties o f both the matrix and the reinforcing particles,

f = k. Al = k(Ec,E m,(Ymy,O~y,CYmr)" AI (5)

where, Ec, Em are the Young's moduli of the ceramic and the metal, respectively; while
Omy and Ocy are the yield strength of the metal and the ceramic (or fracture strength for
ceramic), respectively. 6mV is the tensile strength of the metal. The movement and
trajectory of a site is determined using Newton's law of motion. The failure of a ceramic-
metal bond will occur when either e,,r or ~cr is reached, where e,r and e~r are fracture
strains for the metal and the ceramic phase, respectively. Details of the interaction
between a pair of ceramic and metal sites and modeling composites have been given in
the appendix and previous papers [22,23] respectively.

Application of the MSDM Approach to an Abrasive Wear Process

The model was applied to an abrasive wear process that is similar to the case of
dry sand/rubber wheel abrasion test [24,25]. The set up o f the rubber-wheel test is
illustrated in Figure I. In the modeling, a flow o f abrasive sand particles passed through
the gap between the rubber wheel and the specimen surface. A monolayer o f sand
particles was assumed. When a sand particle got into the gap, the pressure on it changed
gradually from zero to maximum and then back to zero when it got out o f the gap. The
sand particle was also discretized and it could rotate during wear, depending on the force
on its sites.

a) Justification of the MSDMApproach- Wear is strongly affected by the contact

stress. In order to ensure that the MSDM approach can provide correct information of
contact stress, the stress in a contact region where a sand particle was pressed by normal
force was analyzed using the MSDM method. The result was compared to that predicted
using the finite element method. Such an analysis was made by calculating the
volumetric strain in the contact region. For the present 2-D modeling, the distribution of
the volumetric strain e = e I +e2 = A V / V was analyzed. Here, E1 and E2 are the
principal strain components. Figure 2(a) illustrates the distribution of the volumetric

strain in the contact region. One may see that the zone right below the contact area is
compressively strained while the surrounding region is tensile strained.

Figure 1 - a) Dry sand~rubber wheel abrasion tester, b) Schematic illustration

In order to justify the MSDM approach, this volumetric strain distribution was
also analyzed using the finite element method with a commercial package (ANSYS)
performed in 2-dimensional space. Figure 2(b) illustrates the FEM result; one may see
that the FEM result agrees with the MSDM analysis and this consistency demonstrates
the capability of the MSDM approach for determining the contact strain/stress state. It
should be mentioned that this MSDM analysis was performed on a lattice with 100x50
nodes and the resolution is therefore not high. One may expect a more accurate result
if the system is discretized using a larger number of nodes.
It is well known that wear o f a material is strongly affected by the shape of
abrasive sand particles. Angular sand can result in greater wear loss than spherical sand.
Simple test was performed to check if the MSDM approach can provide such
information. Wear losses of an aluminum alloy respectively caused by square and
circular sand particles (in 2-dimensional space) were predicted using the MSDM method.
Figure 3 illustrates the result, which agrees with the expectation. In addition, the linear
relationship between the wear loss of the A1 alloy and the applied load was obtained.
This linear relationship is consistent with general wear response of metals to the applied
load under the dry sand/rubber wheel abrasion condition [24,26], excluding hard metals
such as D2 tool steel [27].

Figure - 2(a) Volumetric strain distribution predicted using the MSDM approach

Figure 2(b) -Strain distribution obtained using a commercial FEM package (ANSYS)

1000

8OO

Square1
_9
~
Q

600
,
4OO
9 Sphere
2OO
n.-

0
2 3 4
Relativeload

Figure 3 - Effects of abrasive particle shape on wear losses

b) Modeling Wear of Homogeneous Materials- The MSDM model was first used
to evaluate wear losses of several homogeneous materials, including an A1 alloy (A1
6160), a copper alloy (Cu 110), a hot rolled steel (HR steel), and stainless steel 304
(304SS). Mechanical properties of these materials were obtained by tensile testing using
a universal testing machine (Instron 8516) and the results are listed in table 1. In the
modeling, it was assumed that the failure of a bond occurred when this bond was
elongated and its length exceeded the critical value for fracture (ej.), no matter how
complex the local stress is.

Table 1 - Meehanicat properties of the materials under study

E (GPa) G y (MPa) o r (MP~ e y (%)

A16160 66 300 349 15
Cu 110 107 278 302 17
304 SS 194 270 670 39
HR Steel 211 340 418 36

Based on the mechanical properties, relative wear losses of these materials were
predicted using the MSDM approach. Silicon carbide sand was used as the abrasive
particles and its mechanical properties were obtained from literature [28]: E c =430GPa,
ef--0.2%, ~y =862Mpa. The simulation result is shown in Figure 4, which illustrates the
linear relationship between the wear loss and the applied load as well as the rank o f these

tested materials. As demonstrated, the aluminum alloy has the highest wear loss,
followed by the copper alloy, stainless steel, and then the HR steel.
In order to justify the validity of the modeling, wear losses of these four materials
were measured using a dry sand/rubber wheel abrasion tester. For each material, five
specimens were tested under five different loads at the speed of 80 rpm. Each abrasion
process lasted 10 minutes. Weight loss of each specimen was measured and converted
into the volume loss. The result of the experiment is presented in Figure 5, which
illustrates the linear relationship between the wear loss and the applied load as well as the
rank of the materials. The experimental result is consistent with the MSDM modeling. It
should be pointed out that in the modeling, potential increase in the specimen temperature
was neglected. The neglectfulness was based on the fact that the temperature rise during

900
BOO
_o 700
A16160 1
600
-~ 5 0 0
> 400
>= 300
200
n" 100
0
,@

i Cu 110
HRstee'/[
304SS i

0 2 4 6
Relative Load

Figure 4 - Relative volume losses of aluminum, copper, stainless steel and steel
predicted using the MSDM

0.45
I I
! o., i
i o.a5J

=:1
E o.1s 1
0.1
0.05 t
0~----
0 1 2 3
Load(kg)

Figure 5 - Volume losses of aluminum, copper, stainless steel and steel (experiment)

this abrasion process may not be significant [24], since the abrasion system is relatively
open and the sand flow always carries fresh sand passing through the contact area.
Therefore, the temperature variation could not be substantially large to significantly
influence the mechanical properties of the tested materials and thus their wear
performance.

c) Modeling Wear of Heterogeneous Materials- The MSDM method was also

applied to investigate wear performance of heterogeneous materials. This paper presents
results of modeling wear of an aluminum alloy-matrix composite reinforced by SiC
particles. The SiC-A1 alloy interfacial bonding was assumed to be strong enough so that
the failure of the bond occurred only when the local strain of the SiC phase or that of the
aluminum alloy phase reaches its critical strain at fracture (w In the modeling, silicon
carbide sand was used as the abrasive particle.
The wear resistance of a MMC composite greatly depends on the volume fraction
of the ceramic particles. The effect of volume fraction of SiC particles in the composite
on wear was investigated. Several volume fractions of SiC particles were considered;
they were 0%, 10%, 20% and 30%. In order to simplify the modeling, SiC particles
having square or tetragonal shapes were randomly generated in an aluminum alloy matrix
as Figure 6 illustrates.

Figure 6 - Sample mierostrueture (20%SiC-AI alloy)

Relative wear losses of the composite with different SiC fractions were predicted,
and the result is presented in Figure 7. One may see that the SiC particles significantly
enhanced the wear resistance of the aluminum alloy, and its wear loss decreased with an
increase in the SiC fraction. This result agrees with experimental observations [26].
Effects of SiC particle size on wear of the SiC/A1 composite was also
investigated. Several sizes of the reinforcing SiC particles were chosen, which were 1,
1.5, 2, 2.5, and 3 times as big as the average size of the SiC particles shown in Figure 6,
respectively. The size of the abrasive sand particles used for modeling was about two
times bigger than that of the reinforcing SiC particles shown in Figure 6. The simulation

demonstrated that the larger the carbide size, the lower was the wear rate (Figure 8). The
simulated size effect is in agreement with the results obtained by other investigators [26].

900
800

6ooI
.~ 5oo t
4oo~ ~.~
~. 2004
1004 J~
OI
0 10 20 30
Carbide volume fraction, %

Figure 7 - Relative volume loss against the volume fraction of SiC particles
under a relative load L=6

150
o

100

.~ 50

rr 0
1 1.5 2 2.5 3
Relative Particle size

Figure 8 - The effect of carbide size on the relative volume loss of the
SiC-Al alloy composite (under relative load L=2)

Conclusion

A dynamic model was developed to simulate wear processes and predict wear
performance of materials at the microscopic levels. This model is simple, flexible and
easy to apply. In the model, a material system is discretized and mapped onto a discrete
lattice or grid, each lattice site or node represents a small volume of the material. Under
the influence of external force and the constraint from its neighbors, a lattice site may
move obeying the Newton's law of motion. Simulation was conducted to study a dry
sand/rubber wheel abrasion process. Relationship between the wear loss and the applied

load, effects of abrasive sand shape on wear, and the contact stress were analyzed using
the MSDM approach. The obtained results are consistent with experimental observations
and finite element analysis. The model was applied to homogeneous and heterogeneous
materials. Good agreement between the modeling and experimental data was found.

A p p e n d i x - Interaction between a pair of adjacent ceramic and metal sites

lo The unit length of the lattice or the bond length in stress-free condition
l Bond length after deformation
E The slope of the stress-strain curve of a material
f Force between a pair of adjacent sites
3~c,,,) The force on the ceramic site from the metal site
j~,,.c) The force on metal site from the ceramic site
AI Total deformation of a bond
Alc Deformation of the ceramic bond
A/m Deformation of the metal bond
Almy Deformation of metal bond at yielding
Ec Elastic modules of ceramic
Eme Elastic modulus of metal
Emp Plastic modulus of metal
ey Yield strain of the metal
ec Strain of ceramic
•m Strain of metal

Ceramic
Metal

i; >

Figure A. 1 - Schematic illustration of tensile curve of ceramic and metal ~aterials

When under extemal force, the ceramic and metal phases in composite will
experience different deformation due to their different mechanical properties. Figure A-1
illustrates typical tensile curves of ceramic and metal materials, The difference in the
mechanical behaviour makes the deformation of a ceramic-metal bond complicated. In the
present work, it is assumed that the ceramic only experiences elastic deformation when
under a stress.

1) When only elastic deformation occurs

AI = AI~ + AIm

v f(c,,,)= E c 8.cl? ~ Alc ,2 EmeAl",l 2 E,.eg,.l?

.'. A I m = - - A l c
E,,,

v AI = A l c + AI,~ = A l c + E c A l c = (1 +--~)Alc
E,n~

AI AI
Alc = , Al - - -
1 + __Ec m 1+ Eme
E.,~ E~

Let lo = 1

2Al 2EmeEc
.'. f (c.,,) = E c A l c = E c - - - - - A I
Ec E,,e + E c
I+--
E,,,

f(c,,.) = f(,.,c) (in opposite directions)

Since AI is determined from previous force, the new force ~c,m) and 3~m,O can thus be
calculated. Once ~,m) and 3%~c9 are obtained, one may predict next deformation.
However, if em is larger than ey, plastic deformation occurs. In this case, the force and
deformation of a ceramic-metal bond may be calculated in the following way:

2) When plastic deformation takes place

let 5l = AI~, - Almy, AI = AI~ + AI m

~176 Al~,y ~2 + E,op ~__~_l

. =E~MCl2
o o

.'. EmeAlmy + Emp( M - M c - A l my ) = E c A l c

AJ - (1 - ~:~)AJ,,y
E.,vM + ( Eme - Emp)Almy l~mp
Alc =
(E.p + Ec) (1 + E c )
Ernp

and
Eme .
AI = AI - AI = AI Ec + ( 1 - )Almy
m c c Emp

Let lo = l, we have
A / - (1 - E"~)Almy
:,c.,= (89 Ec mlc=
+Ec
Emp
- f(m,c)

Emp)

Acknowledgement

The authors are grateful for financial support from the Natural Science and
Engineering Research Council of Canada (NSERC), Syncrude Canada Ltd, and Alberta
Science and Research Authority (ASRA).

References

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Hydraulic Gear Pump Failure Analysis and Tribology Simulation

Reference: Wedeven, L. D. and Bourdoulous, R., "Hydraulic Gear Pump Failure

Analysis and Tribology Simulation," Hydraulic Failure Analysis: Fluids,
Components, and System Effects, ASTM STP 1339, G. E. Totten, D. K. Wills, and D.
Feldmaun, Eds., American Society for Testing and Materials, West Conshohocken, PA,
2001.

Abstract: Surface analysis of hydraulic gear pumps used in gas turbine failure power
generation reveals service life limitations due to gear wear and scuffing. A flexible
tribology testing capability (WAM) provides an ability to simulate lubrication and
failure mechanisms. A load capacity test protocol developed for gas turbine MIL-PRF-
23699 oils is found to invoke the same lubrication and failure mechanisms experienced
in hydraulic gear pumps. Scuffing, micro-scuffing and traction (friction) data from load
capacity tests show variable lubricating qualities among turbine engine oils used in
service. A test protocol that monitors the traction coefficient over a range of load stages
reflects both wear and scuffing attributes of oils used in service. The test method shows
performance differences among oil types within the same specification and a reduction
in wear performance with used oils. The test approach provides an opportunity for
more efficient development of gear materials, lubricants and engineered surfaces.

Keywords: gear pumps, hydraulic fluids, load capacity tests, oils for gas turbines,
scuffing, surface failure analysis, traction (friction), tribology testing, wear

Introduction and Background

The resolution of lubrication limits of hydraulic pumps requires good failure

analysis and simulation testing. Success in both endeavors requires a mechanistic
understanding of the lubrication and failure modes in service hardware and a good test

I President, Wedeven Associates, Inc, 5072 West Chester Pike, Edgmont, PA 19028-0646
2 Project Engineer, Ancillary Systems, United Technologies, Pratt &Whitney, 400 Main Street
M/S 103-15, obf-2, East Hartford, CT 06108-1873
Copyright by ASTM Int'l (all rights reserved); Fri Aug 31 00:20:19 EDT 2018
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YanShan University (YanShan University) pursuant to License Agreement. No further reproductions authorized.
Copyright9 2001 by ASTM International www.astm.org
106 HYDRAULICFAILURE ANALYSIS

simulation of the mechanisms controlling performance. The purpose of this paper is to

illustrate a new approach for resolving hydraulic pump lubrication limits. The
application is a gas turbine driven electrical generation system, where limited life was
experienced in a gear pump for a hydraulic system. Limited gear life was being
experienced primarily at one operating site. The working fluid for the hydraulic system
is the same fluid used to lubricate the gas turbine engine. The customer is allowed to
use gas turbine oil brands qualified under MIL-PRF-23699. The hydraulic pump
delivers eight gpm (.03m3/min) at a pressure of 750 psig (5.17 MPa). The gear material
is AISI 8620. Bulk operating temperature is on the order of 132 ~

Failure Analysis

Failure analysis is difficult when service hardware from the field is limited and the
only gear hardware available is in a severely worn condition (see Figure 1). To
establish the root cause for limited life, it is important to identify the sequence of events
that leads to failure. While the failure criteria is excessive wear and loss of tooth
profile, the inability to develop or sustain lubrication mechanisms is the source of the
problem. Using new gear hardware, the original gear tooth surface roughness was
found to be on the order of 1 p.m, Ra. For normal operating conditions, the calculation
of elastohydrodynamic (EHD) oil film thickness with MIL-PRF-23699 oils gives a
value much smaller than the combined roughness of the gear teeth pair. The X ratio, or
ratio of EHD film thickness (h) to combined surface roughness (~), is on the order of
0.2. With relatively rough surfaces and a )~ ratio of 0.2, initial run-in of the surfaces will
require good oil chemistry.

Hydraulic Gear Pump Wear

Figure 1 - Severe wear in hydraulic gear p u m p

The only useful surface features found from failed hydraulic gears were small areas
near the pitch line, where some original surface finishing features can be found (see
Figure 2). The preservation of original surface features at the pitch line implies that
high contact stress during single tooth contact under near-pure rolling conditions is
sufficiently lubricated for potential long-life operation. Regions above or below the
pitch line show polishing wear, abrasive scratches and scuffing. The abrasive scratches
are associated with wear debris. Scuffing and polishing wear of surface features,
especially with the absence of visible surface films, indicates insufficient reaction
between the oil and gear surface to form surface films. The generation of "boundary
lubricating" surface films is essential to avoid local adhesion, plastic flow, wear and
scuffing.

Figure 2 - Hydraulic gear pump surface features at pitch line

To help develop a failure scenario, gear pump hardware from the engine main oil
pump and scavenge pump were examined. These gear pumps, which are lubricated
with the same oil as the hydraulic pump, show surface features similar to the scavenge

pump gear shown in Figure 3. Most of the original grinding features have been
removed. Polishing and micro-pitting can be seen on the elevated ridges of the grinding
features. These features are near the pitch line, where the sliding velocity is low relative
to the rolling (i.e. entraining) velocity. The presence of micro-pitting at grinding ridges
implies that the viscous properties of the oil at operating temperature do not provide
sufficient EHD film thickness to avoid high local stresses at asperity sites. Asperity
stresses during initial operation, before surface features are polished down, can be
particularly severe. The material immediately below the grinding ridges can
accumulate damage, which leads to early micro-pitting. After the grinding ridges are
polished down, the progression of micro-pitting can diminish, even to the point where it
is of no further consequence. While the micro-pitting itself may be of no further
consequence, the debris particles it generates can remove boundary lubricating surface
films and cause abrasive wear. There is some evidence of this in Figure 3.

Figure 3 - Surface features on scavenge pump gear

The area of most concern in the gear pumps with respect to lubrication is the
region of high sliding near the root and tip of the gear teeth. With insufficient EHD
film thickness, good surface film formation from oil chemistry is required to avoid local
adhesion, wear and scuffing. From the evidence gathered from used gear pump
hardware, the following failure scenario is derived:

1. High initial wear rate during run-in (postulated)

2. Generation of micro-scoring (scratches) marks; also micro-pitting
3. Wear rate becomes affected by the presence of wear debris
4. Progression of adhesive wear into scuffing and local plastic flow, which
spreads from tip and root of teeth toward the pitch line
5. Loss of tooth profile, high stress and transition into severe wear
Field experience shows that when a hydraulic gear pump evidences failure, the
wear life of a newly installed gear pump is less than the previous pump. A shorter gear
pump life, as well as a life reduction of rolling element bearings in the system, is
associated with secondary damage caused by wear debris and inadequate drain and
flush procedures following a failure event.

Technical Approach for Improved Gear Pump Life

One technical path for improved gear pump life is improved gear surface finish.
Changing the gear material and surface treatment to a nitrided rather than a carburized
surface has potential benefits. These technical approaches, which require engineering
and process changes, are good long-term solutions. For near-term and long-term
improvement, the oil lubricating quality was examined.
To examine oil lubricating quality in the laboratory, it is essential that the
lubrication and failure mechanisms encountered in the hydraulic gear pump are
adequately simulated in a bench test. The sequence of events postulated in the failure
scenario discussed above should be replicated in the test protocol. To do this, a "load-
carrying capacity" test protocol developed for MIL-PRF-23699 oils was selected. The
test method is conducted with a WAM (Wedeven Associates Machine) test machine
described below.

WAM Test Machine

A WAM test machine is shown in Figure 4. The machine is capable of controlling

the entraining velocity, sliding velocity and bulk temperature of the specimens
independently. The machine and associated test methods are described in a U.S. Patent
[1]. Ball and disc specimens are generally used when the desired materials and finishes
are available. Custom designed crowned rollers are used in place of ball specimens
when special materials or surface finishes are required.
Both specimens are mounted in motorized spindles. The motors are servo-
controlled with drive system electronics that give precision control of rotational
position, angular velocity and angular acceleration. The relative position of the
specimens can be arranged to change the orientation of the surface velocity vectors of
the two specimens at the contact point. This feature provides independent control of the
entraining velocity and sliding velocity.

Figure 4 - W A M test m a c h i n e

The test machine allows the direction of the velocity vectors to be changed by
moving away from an aligned position where the velocity vectors are collinear. An
angle Z between the ball and disc velocity vectors can be continuously varied between 0
and 180~ The entraining velocity is defined as one-half the sum of the ball and disc
velocity vectors. The sliding velocity is defined as the vector difference between the
ball and disc velocity vectors.
The ability to vary surface velocities in direction and magnitude provides a large
range of entraining velocities and sliding velocities. The independent control of
entraining velocity and sliding velocity allows the formation of EHD film separation
between the surfaces to be made independent of the tangential strain within the contact.
This "decoupling" of film thickness from tangential strain provides the opportunity to
control EHD and boundary lubrication mechanisms, along with their failure pathways.
The test machine is capable of independently controlling the bulk temperatures of
the test specimens. Specimen temperatures are monitored with trailing thermocouples
and controlled with a multi-channel PID temperature controller.
The disc specimen is loaded against the ball with a stepper motor-driven actuator.
Contact load and friction forces are measured using load cells positioned in three
orthogonal directions. The ball spindle is suspended below the top plate, which is
supported in the vertical direction by air bearings. Load cells, which are positioned in a
horizontal plane, provide friction force measurements in both X and Y directions. Load
cells positioned under each air bearing are used to measure the vertical force on the
contact.
The machine provides a number of mathematical calculations to translate between
the tribological parameters and ftmdamental machine movements. A host computer
translates the user's commands into basic machine functions. The computer has control
over the position of the ball in relation to the disc, as well as the rotational speeds of the
two specimens. The computer can move the ball spindle in the plane of the disc using a
set of stepper motor-driven ball screws. Position feedback is received from linear
encoders mounted on both axes. This real-time feedback automatically corrects for
some of the deflections within the machine due to friction forces. Using circular
interpolation, the computer can move the ball concentric with the disc axis of rotation.
This feature allows the angle between the velocity vectors to be changed during
operation. Both hardware and software allow precision control of the contact
kinematics.
The WAM software is developed to provide a flexible operator interface and
programmable control. The machine is manually operated from a keyboard and mouse.
Approximately seventy variables can be monitored or controlled. A basic screen format
provides availability of ten boxes on the screen to display variable names and values.
The variable names and values can be changed at may time. The ten digital boxes
provide the major communication link between the operator and the test machine. Up
to ten variables can be saved to a file. Test protocols are easily programmed. Because
of test protocol complexities and precision requirements, most tests are conducted from
automated run files.
The screen format provides space for graphical display for plotting of test variables
in real time. Up to four dependent variables can be plotted simultaneously. The axis

scales for the dependent and independent variables can be varied and changed at any
time during a test. The horizontal axis will scroll to the right and left if the displayed
values go out of range. While the test is running, graphically displayed values are
updated in their selected colors once each period. At the top left of the screen is a set of
pop-up menus that are used to change various configurations and to provide
miscellaneous house keeping functions. The machine and software provides a highly
flexible testing environment for tribological simulation of component hardware.

W A M Test Method for MIL-PRF-23699 Oils

Load capacity tests are conducted with ball and disc specimens, which are
operated under conditions similar to the United States Navy Ryder Gear Test Method.
The Ryder Gear Test Method is a high-speed gear test developed in the 1950s for
qualification of jet engine oils. Several test protocols at Wedeven Associates, Inc. have
evolved for the simulation of the Ryder Gear Test Method. The underlying objective of
the test protocols is to invoke the same lubrication and failure mechanisms that have
been discovered to be controlling performance in the Ryder Gear Test Method. From
the failure analysis of the hydraulic gear pump described above, the lubrication and
failure mechanisms, and their pathways to surface failure, appear to be quite similar to
the WAM simulated version of the Ryder Gear Test.
The test protocol used for the results presented in this report was developed
partially under Navy PO No. N00421-98-M-6001, June 24, 1998. The test conditions
selected tend to highlight the load capacity performance features of low performing oils
currently qualified under the MIL-PRF-23699 specification.
It is important to recognize that the Ryder Gear performance criteria are based
upon the visual observations of "scuffing" damage on the Ryder gear teeth. Some
scuffing features used in the failure criteria include "micro-scuffing." Micro-scuffing is
a superficial form of scuffing, which is confined to the surface topographical features of
the gear teeth. Micro-scuffing is generally associated with surface damage at low load
stages where contact stresses are relatively low. The micro-scuffing features found on
Ryder Gear surfaces appear to be similar to the wear surface features on the hydraulic
pump gears.
Scuffing, or "macro-scuffing," is associated with the complete loss of surface
integrity. Scuffing involves gross failure of near-surface material, in addition to surface
roughness features. When traction (friction) is measured, micro-scuffing is generally
detected by a rapid decline in traction coefficient. The decline in traction coefficient is
associated with the removal of surface roughness features. While this action actually
restores some of the EHD fluid film separation between the surfaces, the rapid removal
of surface features by plastic flow reflects a failure of the oil to provide adequate
surface films for boundary lubrication. Full-scale scuffing is associated with a sudden
increase in traction coefficient, due to massive adhesion and plastic flow of near surface
material. A sudden and massive scuffing failure requires high contact stresses in the
presence of high sliding velocities.

The observation of traction coefficient during a load capacity test is quite

informative. Traction coefficient identifies "events" like scuffing and micro-scuffing,
as discussed above; but it also reflects the continual interactive process between oil
chemistry and the surface material with respect to wear. To simulate the lubrication and
failure mechanisms encountered in the Ryder Gear Test Method, the following test
specimen features and test conditions have evolved.

Ball 2.06375 cm (13/16") dia., AISI 9310, "hard grind" surface roughness,
Ra -- 0.25 ~tm (10 gin), hardness Rc 62.5-63.5.
Disc 10.16 cm (4") dia., AISI 9310, surface finish Ra = 0.15 ~tm (6 ~in),
hardness, Rc 62-64.
Ball vel. Ub = 7.21 m/sec (284 in/sec).
Disc vel. Ud = 7.21 m/sec (284 in/sec).
Orientation Non-collinear velocity vectors (angle between velocity vectors = 75 ~
Entraining vel. 5.72 m/sec (225 in/sec).
Sliding vel. 8.78 m/sec (346 in/sec)
Load Exponential increase from 1.8 kg (4 lbs) to 63.6 kg (140 lbs) in 30
stages
Test duration Until scuffing failure or suspension (30 stages = 30 minutes)
Failure criteria Scuff defined by loss of surface integrity and sudden increase in
traction,
Micro-scuff defined by rapid decline in traction coefficient.
Performance Oil performance judged by load stages causing micro/macro scuffing
event(s) and traction behavior, which reflects wear of surface
topography.
Temperature Specimen temperatures controlled by frictional heating. Surface
temperatures increase with load stage from ambient to -200 ~
Oil supply Computer controlled peristaltic pump, approximately 1 drop/sec.

Types of MIL-PRF-23699 Oils

Three types of jet engine oils are qualified under MIL-PRF-23699 specification.
Standard (STD) oils have served jet engine and gear box applications for more than
three decades. Because of higher temperatures in modem engines, high thermal
stability (HTS) oils have been developed and qualified to avoid coking deposits at
lubrication system sites in the engine where oil wetted surfaces are at elevated
temperatures. In addition, corrosion inhibited (CI) oils have been developed to avoid
corrosive attack on surfaces when hardware is not in service.
The type of oil being used in the hydraulic system described above is an HTS oil
HTS oils are formulated to reduce degradation on hot surfaces. Since surface film
lubrication is accomplished by the generated reaction produces at the surfaces, the
apparent conflict between HTS attributes and boundary lubrication attributes makes it

difficult to formulate oils without compromising performance of one or both

requirements.

Typical WAM Load Capacity Test Results

Load capacity tests were run with the oil brand used in the hydraulic gear pump
application. The test oil brand being used is identified as HTS oil A. Four test
determinations are generally conducted for the test oils.
A typical test plot is shown in Figure 5. The test plot shows the loading profile,
ball and disc surface temperatures and the traction (friction) coefficient. The rise in
traction coefficient after the first several load stages is the result o f decreasing h/m A
continual rise in traction occurs when the oil is able to protect the surface features from
wear and cause an additional decrease in h/m A gradual decrease in traction reflects
controlled polishing wear of the surface finishing features. A sudden drop in traction
corresponds to rapid wear or micro-scuffing of the surface features. For the HTS oil in
Figure 5, a micro-scuffing event occurs at a load stage o f nineteen. A micro-scuffing
event reflects insufficient surface film formation to avoid rapid wear of surface features.
Since a micro-scuffing event is a negative attribute, it is used as a failure criteria.

0.14 ]Test: PW1895 220

| Lube: HT$ oil A 200
0.12 t Ball: 9310. Ra=0.25 pin.
| Disc: 9310, Ra=0.15 pin
| Entraining Velocity: 5.72 m/sec. 180 A
0.10 -~Stiding Velocity 8.79 m/see. O
| Initial Temperature = 23~ Ball Temperature 160 ~
ECD
0.08
Velocity Vector Angle (Z): 75" . _ ~ M ~ 140 ~
~E
120 o.
O 0.06 E
100 I~

~
0.04 Traction Coefficient ~ ~'~ j Mac~-scuff
~ ~ 24
6o "~
0.02
o
40 "J
0.00
~pDlied Load 20
-0.02
0 150 300 450 600 750 900 1050 1200 1350 1500 1650 1800
0
Run T i m e ( s e c o n d s )

Figure 5 - W A M load capacity test plot f o r HTS oil A.

Oils that survive operation into the higher load stages reflect good scuffing
resistance. A load capacity test is terminated by a major scuffing event, which is
characterized by a gross loss of surface integrity and a sudden increase in traction.

Lubricating Information from Traction Behavior

The traction data for each load capacity test is processed to obtain an average
traction coefficient for each load stage. The average traction coefficient at each load
stage for a number o f MIL-PRF-23699 oil brands is shown in Figure 6. The average
scuffing load stage is identified on each plot with a vertical arrow.

0.10
Test Oils: MIL-L-23699
Ball: AISI 9310. Ra=0.25
0.09 -
Die~ AISI 9310, Ram0.15pm cl c~lwl~lh~ We,lit
Enll~ining Ve~oci~: 5.72 ml$oC, renaeaa~a. I ~ ~,v
0.08 - Sliding Velocity: 8.79 m/sea scta'freeeesmce
Velocity Vect~A~le (Z): 78" (2tests)
r
.e_ .~s.~.
0.07 -

0.06-

8
-.= 0.05 -
r
o3
0.04- STD ,~ v~s~i ~

0.03 - =cuffraststance. (4 tams)

0.02 -

0.01 a,~.~sTo ~1 ~. no aad~ves

a~ aoCc~d (4 tests)
~rt~
0.00 i i i i ~ t i i i i ] r i h i

2 4 6 8 10 12 14 16 18 20 22 24 25 28 30 32

Load Stage

Figure 6 - Fluid lubrication attributes derived from scuffing micro-scuffing

and traction behavior. Average traction coefficient vs. load stage.

From all the load capacity traction data collected over time, there is a strong
connection between traction coefficient and wear of surface finishing features. While
fluid temperature within the contact also affects traction, the rise and fall of traction
coefficient still reflects the process associated with how the physical and chemical
properties of the oil handle the intimate collisions of surface features within the contact
during a load capacity test. To contrast the effects o f surface roughness features on
traction behavior, load capacity tests have been conducted with polished surfaces. For
the most part, polished surfaces operate with a full, or nearly full, EHD oil film between
the surfaces. The traction behavior for polished surfaces is shown in Figure 6. With

polished surfaces, a low traction coefficient on the order o f 0.02 occurs throughout the
load stages. Traction is controlled by the bulk EHD oil film. The traction coefficient of
a bulk EHD film is controlled by the limiting shear strength of the oil, which transforms
to a pseudo-solid under high pressure. The limiting shear strength is a function of
pressure and temperature within the contact. Pressure increases the traction coefficient,
and temperature decreases the traction coefficient. The net effect during a load capacity
test is a nearly constant traction coefficient.
Since the WAM load capacity test protocol covers a large temperature range (see
specimen temperatures in Figure 5), we assume that the lubricating ability of the oil, as
reflected in traction, is also being tested over a large temperature range. The traction
behavior of the standard (STD) MIL-L-23699 oil in Figure 6 reflects good wear
resistance and no evidence of micro-scuffing. The extended operation into high load
stages reflects good scuffing resistance. One of the corrosion inhibited (CI) oils
encounters rapid wear as evidenced by a sudden decrease in traction coefficient. This
CI oil also has low scuffing performance. The traction behavior of a second CI oil
shows good wear resistance, but low scuffing resistance. The traction behavior for the
HTS oil shown in Figure 6 reflects poor wear resistance during the initial load stages,
but better wear resistance during later load stages. This type o f behavior is associated
with boundary lubricating chemistry, which becomes more effective at elevated
temperatures.
If both scuffing and micro-scuffing characteristics are used to evaluate the
performance of these oils, the results correlate with the Ryder Gear Test Method. The
flexibility of the WAM test machine allows the same lubrication and failure
mechanisms to be invoked. It also provides additional information on wear, even with a
simple and economical test procedure.
The previous data reveals that the lubricating ability of a family of oils varies with
respect to wear resistance and scuffing resistance. Some of the oils have good wear
resistance in the low temperature (low load) range, while others seem to gain lubricating
ability in the high temperature (high load) range. These results imply that slight
modifications in oil chemistry can significantly change oil performance attributes with
respect to topographical run-in, chemical run-in, wear resistance, scuffing and micro-
scuffing. If we were to judge lubricating ability with a scuffing criteria alone, the true
character of the oil's lubricating ability would not be revealed.
From the above discussion, it can be postulated that the desired lubricating
attributes of an oil are good wear resistance and scuffing resistance "across-the-board"
o f temperature and stress. While attributes for surface fatigue resistance is also
important, it is beyond the scope of this discussion. To assure applicability of these
tests, correlation with tribological surface features from service hardware is required.

Performance of New and Used Hydraulic Fluid

Load capacity tests were conducted with new and used fluids from the gas turbine
driven electrical generation site with hydraulic gear pump problems. The load capacity

traction behavior o f three HTS oil A fluids from this site are shown in Figure 7. For
reference purposes, the traction data of a standard oil and a second HTS oil (oil B) are
also included in Figure 7.

0.~0
Run File: naa.run
Bell: 9310, Ra = .25 ~trn (10 pin)
0.09 Disc: ~ Failure ctitena
9310, Ra = .15 tam (6 pin) "(avg, of all tests)
iEntraining Velocity:. 5.72 nYs (225 iNsec)
r 0.08 Sliding Velocity:, 8.78 m/s (345 in/sec)
Velocity Vector Angle (Z): 75=
. 0.07 HTS oil A, new . PITSoil B

8 0.06
c
~ o.os D/,/ / I "~:~',~,...- (4 tests)
.//" / I I , ~ 3of4tests
~ 0.04
~0.03

0.02
---"-'--'~"-~- Lowerbound reference,
0.01 polished surfaces, $TD od

0,00
2 4 6 8 10 12 14 16 18 20 22 24 26 28 30 32
Load Stage

Figure 7 - WAM load capacity test data for new HTS oil A and used fluid from
hydraulic fluid system. Average traction coefficient vs. load stage

The traction coefficient o f the new HTS oil A is relatively low compared to the STD
oil and HTS oil B. The scuffing and traction data for HTS oil A represents low
lubricating performance compared to most products on the qualified products list for
MIL-PRF-23699.
The two used HTS oil A samples shown in Figure 7 give a slightly lower traction
coefficient than the new HTS oil A. The HTS oil A with high iron content (11 ppm Fe)
shows a noticeably lower traction coefficient than the other used oil sample, which has a
measured iron content o f 3 ppm. The traction results imply greater wear with used oils.
It is postulated that wear increases due to the presence o f iron wear debris. The abrasive
action o f contaminant particles can remove chemically formed surface films and near-
surface material.
There is insufficient data to claim any differences in scuffing attributes o f the used
oils relative to the new oil. There is some evidence that used oils may actually increase
scuffing attributes o f the oil. This may come about by the availability o f degradation
products in the oil which help surface film formation. Also, used or contaminated oils,
which cause more wear, can lower the propensity toward scuffing by way o f a
sacrificial wear process.

It is concluded from the above results that hydraulic gear pump performance can
be improved with a better selection of MIL-PRF-23699 oil brand for lubricating
attributes. When hydraulic gear pump life is marginal with MIL-PRF-23699 oils, the
selection of particular oil brands, which possess superior performance, is worthwhile.
The lubricating performance of qualified products under MIL-PRF-23699 is clearly not
the same.
A WAM load capacity test method and database has been developed for 5 cSt gas
turbine oils. The replication of lubrication and failure mechanisms found in hydraulic
gear pumps gives confidence for its use in developing lubricants, gear materials and
surface technologies. With appropriate modifications for viscosity and chemical
activity, the WAM load capacity test method can be used for other types of hydraulic
fluids.

Conclusions

1. A highly flexible test machine (WAM), along with a jet engine oil qualification test
method, has been found to be useful for evaluating the lubricating performance of
hydraulic gear pump fluids. The applicability of the approach is judged by the
replication of wear and scuffing features found on gear tooth hardware.
2. From scuffing, micro-scuffing and traction (wear) test results, HTS oil A shows
lower lubricating ability than typical MIL-PRF-23699 oils. Test results with this oil
correlate with field experience.
3. Traction data from performance tests show that used oils with high iron content
(contaminant particles) increase wear rate. Reduced gear life with contaminated
oils is also experienced in service.

Acknowledgment

The authors gratefully acknowledge the support from Pratt & Whitney, Turbine
Power and Marine, East Hartford CT and the U.S. Navy, NAWCAD, Patuxent River
MD.

References

[1] Wedeven, L. D., "Method and Apparatus for Comprehensive Evaluation of

Tribological Materials," U.S. Patent No. 5,679,883, October 21, 1997.

CORROSIVE WEAR IN HYDRAULIC SYSTEMS: AN OVERVIEW

REFERENCE: Liang, H. and Totten, G. E., ~Corrosive W e a r in Hydraulic Systeas:

An Overview," Hydraulic Failure Analysis: Fluids, Components, and System
Effects, ASTM STP1339, G. E. Totten, D. K. Wills, and D. Feldmann, Eds.,
American Society for Testing and Materials, West Conshohocken, PA, 2001.

ABSTRACT: H y d r a u l i c e q u i p m e n t c o n t i n u e s to g r e a t l y improve, resulting

in m o r e powerful, faster, and v e r s a t i l e m a c h i n e s t h r o u g h a d v a n c e m e n t s
in h y d r a u l i c d r i v e s and controls. O n e b a s i c step in i m p r o v i n g
h y d r a u l i c systems is to u n d e r s t a n d t h e i r f a i l u r e mechanisms. In this
work, b a s i c c o r r o s i o n m e c h a n i s m s are s u m m e r e d and p r e s e n t e d a l o n g w i t h
d e s c r i p t i o n of c o r r e s p o n d i n g h y d r a u l i c s y s t e m failure modes as well as
a c o l l e c t i o n of c o m m o n c o r r o s i v e f a i l u r e modes. Mechanisms and
p o t e n t i a l remedies are i l l u s t r a t e d a n d discussed. Additionally, a w i d e
c o l l e c t i o n of e x a m p l e s from c o n t r i b u t o r s is provided.

KEYWORDS: corrosive wear, electrochemical corrosion; hydraulic system

T e c h n o l o g i e s h a v e i m p r o v e d the p e r f o r m a n c e of h y d r a u l i c systems
over the last few decades. A d v a n c e m e n t s in l u b r i c a t i o n and d e s i g n have
r e d u c e d the w e a r and failure s i g n i f i c a n t l y [i]. This w o r k will focus
on c o r r o s i v e w e a r in h y d r a u l i c systems, including: cavitation, e r o s i o n
corrosion, and e l e c t r o c h e m i c a l corrosion. The m e c h a n i s m s are d i s c u s s e d
for e a c h f a i l u r e mode and i l l u s t r a t i v e examples are provided.
H y d r a u l i c p u m p s convert m e c h a n i c a l e n e r g y into h y d r a u l i c e n e r g y
and s u p p l y the f l u i d - f l o w r e q u i r e d to a c t u a t e the v a r i o u s h y d r a u l i c
elements. There are three b a s i c types of h y d r a u l i c pumps: gear, vane,
and piston, as shown in Figure 1 [2]. Apparently, the contact b e t w e e n
p u m p p a r t s and fluid and p u m p p a r t s m a y cause w e a r due to c o n t a c t
pressure. H y d r a u l i c fluids, g e n e r a l l y b a s e d on water, petroleum,
synthetic, and fire resistant, are o f t e n c h e m i c a l l y reactive w i t h p u m p

a D e p a r t m e n t of M e c h a n i c a l Engineering, University of Alaska,

Fairbanks, A K 9 9 7 7 5 - 5 9 0 5

9 Union Carbide Corporation, 771 O l d Saw Mill R i v e r Rd.,

Tarrytown, N Y 10591
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120 HYDRAULIC FAILURE ANALYSIS

parts [3]. There are m a n y r e a s o n s c a u s i n g a h y d r a u l i c s y s t e m to fail

[4], such as foaming a n d aeration, cavitation, contamination, fluid
oxidation, o v e r - p r e s s u r i z a t i o n , improper viscosity, etc. A m o n g those,
c o r r o s i v e wear c o n t r i b u t e s significantly.

FIG. 1--Basic types of h y d r a u l i c pumps [2].

CAVITATION CORROSION

C a v i t a t i o n in a h y d r a u l i c s y s t e m takes p l a c e s w h e n v a p o r b u b b l e s
c o l l a p s e near a metal surface. [5, 6]. C a v i t a t i o n m a y o c c u r if the
h y d r a u l i c fluid is too c o l d / h o t or the fluid v i s c o s i t y is e x c e s s i v e l y
high. This will l e a d to the f o r m a t i o n of voids w i t h i n the fluid c a u s e d
by oil s t a r v a t i o n on the s u c t i o n side of the pump. C a v i t a t i o n is a
form of e r o s i o n corrosion. It is caused by the f o r m a t i o n and c o l l a p s e
of vapor bubbles in a l i q u i d n e a r a metal surface. Cavitation damage
occurs in h y d r a u l i c turbines, ship propellers, p u m p impellers, and
other surfaces where h i g h - v e l o c i t y liquid flow and p r e s s u r e changes are
encountered. C a l c u l a t i o n s have shown that r a p i d l y c o l l a p s i n g vapor
b u b b l e s p r o d u c e shock waves w i t h p r e s s u r e as h i g h as 60 000 ib/in. 2 (413
685 KPa) [7]. Forces this h i g h can p r o d u c e p l a s t i c d e f o r m a t i o n in m a n y
metals. The m e c h a n i s m s are shown s c h e m a t i c a l l y in F i g u r e 2 [8]. Most
c a v i t a t i o n c o r r o s i o n takes p l a c e f o l l o w i n g some or m o s t of these steps:
(i) A c a v i t a t i o n b u b b l e forms on the p r o t e c t i v e film. (2) The b u b b l e
c o l l a p s e s and destroys the film. (3) The n e w l y e x p o s e d metal surface
c o r r o d e s and the film is reformed. (4) A n e w c a v i t a t i o n b u b b l e forms

at the same spot. (5) The b u b b l e c o l l a p s e s and d e s t r o y s the film. (6)

The e x p o s e d area corrodes and the f i l m reforms. The r e p e t i t i o n of this
p r o c e s s results in deep holes. C a v i t a t i o n damage is the result of b o t h
m e c h a n i c a l and chemical action. F i g u r e 3 (courtesy of C h e v r o n R e s e a r c h
company) shows an e x a m p l e of c a v i t a t i o n damage of a b r o n z e flex p l a t e
of h y d r a u l i c vane p u m p o p e r a t i n g on diesel engine l u b r i c a t i n g oil under
SEM.

FIG. 2--Schematic representation of steps in c a v i t a t i o n [8].

Bronze Flex Plate of

Hydraulic Vane Pump Operating
on Diesel Engine Lubricating Oil
Magnification20x MagnificationlOOx

FIG. 3 - - S E M m i c r o g r a p h of c a v i t a t i o n damage.
Source: C h e v r o n Corporation, Richmond, CA.

Several m e t h o d s can l e a d to the p r e v e n t i o n of c a v i t a t i o n

corrosion: c h a n g i n g the h y d r o d y n a m i c p r e s s u r e in p r o c e s s flow streams,
u s i n g c o r r o s i o n - r e s i s t a n t m a t e r i a l s , s m o o t h i n g finishes on h y d r a u l i c
systems, c o a t i n g w i t h r e s i l i e n t films, etc.

EROSIVE CORROSION

E r o s i v e c o r r o s i o n is a c o m m o n f a i l u r e in a h y d r a u l i c system.
E r o s i v e c o r r o s i o n a c c e l e r a t e s the rate of d e t e r i o r a t i o n or a t t a c k on a

metal s u r f a c e b e c a u s e of r e l a t i v e m o v e m e n t b e t w e e n a c o r r o s i v e fluid
and the m e t a l surface. Generally, this m o v e m e n t is quite rapid and
m e c h a n i c a l w e a r e f f e c t s or a b r a s i o n are involved. Metal is r e m o v e d
from the s u r f a c e as d i s s o l v e d ions, or as solid c o r r o s i o n p r o d u c t s that
are m e c h a n i c a l l y swept from the metal surface.
E r o s i v e c o r r o s i o n is c h a r a c t e r i z e d in a p p e a r a n c e b y grooves,
gullies, waves, r o u n d e d holes, and v a l l e y s and u s u a l l y exhibits a
d i r e c t i o n a l pattern. Figure 4 [9] shows a typical w a v y a p p e a r a n c e of
an e r o s i v e - c o r r o s i o n failure. This p u m p i m p e l l e r was taken out of
s e r v i c e a f t e r three weeks of operation. Figure 5 [ I 0 ] is a s k e t c h
r e p r e s e n t i n g the e r o s i o n c o r r o s i o n process. As shown in the figure,
the a t t a c k g e n e r a l l y follows the d i r e c t i o n s of l o c a l i z e d flow a n d
turbulence around surface irregularities. E r o s i v e wear Occurs w h e n
there is a c h a n g e in fluid flow d i r e c t i o n s u c h as in orifices, line
r e s t r i c t i o n s , turns in fluid p a s s a g e w a y s , turns in fluid p a s s a g e w a y s ,
and the l e a d i n g edge of r o t a t i n g parts [ I I ] .

FIG. 4 - - E r o s i o n c o r r o s i o n of s t a i n l e s s a l l o y pump i m p e l l e r [9].

(Note the large amount of m a t e r i a l r e m o v e d from the impeller.)

FIG. 5--Erosion c o r r o s i o n of a c o n d e n s e r tube well [i0].

C o r r o s i v e mediums, i n c l u d i n g gases, aqueous solution, o r g a n i c

c h e m i c a l s a n d l i q u i d m e t a l s can cause chemical erosive in m o s t m e t a l s
and alloys. B e c a u s e w i t h i n a h y d r a u l i c s y s t e m that are e x p o s e d to h i g h
v e l o c i t y fluids, such as tees, v a l v e s and pumps are p a r t i c u l a r l y
s u s c e p t i b l e to chemical erosion. There are several p o t e n t i a l s o l u t i o n s
for e r o s i o n c o r r o s i o n such as use of m e t a l s that form a p a s s i v a t i n g
film, and m i n i m i z i n g shape edges on o r i f i c e s or the m e t e r i n g edges of
valves. In a d d i t i o n the c o r r o s i v e n e s s of a h y d r a u l i c fluid can be
r e a c h e d t h r o u g h the use of a d d i t i v e s and inhibitors.

ELECTROCHEMICAL CORROSION AND WEAR

It is not u n c o m m o n to see e l e c t r o c h e m i c a l c o r r o s i v e wear in a

h y d r a u l i c system. E l e c t r o c h e m i c a l c o r r o s i o n occurs w h e n its metal
atoms lose e l e c t r o n s and b e c o m e ions. As the metal is g r a d u a l l y
c o n s u m e d by this process, a b y p r o d u c t of the c o r r o s i o n p r o c e s s is
t y p i c a l l y formed. E l e c t r o c h e m i c a l c o r r o s i o n o c c u r s most f r e q u e n t l y
w h e n ions are p r e s e n t in w a t e r or moist air. In this process, an
e l e c t r i c c i r c u i t is c r e a t e d and the s y s t e m is c a l l e d an e l e c t r o c h e m i c a l
cell.

Galvanic Corrosion

An e l e c t r i c a l p o t e n t i a l u s u a l l y e x i s t s b e t w e e n d i s s i m i l a r m e t a l s
w h e n they are i n c r e a s e d i m m e r s e d in a solution. If these m e t a l s are
p l a c e d in c o n t a c t (or o t h e r w i s e e l e c t r i c a l l y connected), this p o t e n t i a l
d i f f e r e n c e p r o d u c e s e l e c t r o n flow b e t w e e n them. F i g u r e 6 [12] is an
e x a m p l e of the e l e c t r o c h e m i c a l c o r r o s i o n of a p i e c e of zinc i m m e r s e d in
a h y d r o c h l o r i c a c i d s o l u t i o n and c o n t a c t e d to a noble metal such as
platinum. F i g u r e 7 [13] shows the s c h e m a t i c of g a l v a n i c corrosion.
Generally, corrosion of the less c o r r o s i o n - r e s i s t a n t metal is u s u a l l y
i n c r e a s e d and a t t a c k of the more r e s i s t a n t m a t e r i a l is decreased, as
c o m p a r e d w i t h the b e h a v i o r of these m e t a l s w h e n t h e y are not in
contact. The less r e s i s t a n t metal b e c o m e s a n o d i c and the more
r e s i s t a n t metal cathodic. U s u a l l y the c a t h o d e or c a t h o d i c metal
corrodes v e r y little or not at all in this type of couple. B e c a u s e of
the e l e c t r i c c u r r e n t s and d i s s i m i l a r m e t a l s involved, this form of
c o r r o s i o n is c a l l e d galvanic, or bimetallic, corrosion.

Zinc
._,.@
--'-@ |

Platinum
( |
t-~1 solufion

FIG. 6 - - E l e c t r o c h e m i c a l r e a c t i o n s o c c u r r i n g on g a l v a n i c
couple of zinc and p l a t i n u m [12].

FIG. 7 - - G a l v a n i c c o r r o s i o n at p e r f o r a t i o n in
tin- and z i n c - c o a t e d steel. A r r o w s i n d i c a t e c o r r o s i v e attack.

G a l v a n i c c o r r o s i o n can be p r e v e n t e d by a v o i d i n g the use of

d i s s i m i l a r metals or u s i n g a d i e l e c t r i c material, paint, or c o a t i n g to
s e p a r a t e d i s s i m i l a r m a t e r i a l s if t h e y must be used.

C r e v i c e or Cell C o r r o s i o n

I n t e n s i v e l o c a l i z e d c o r r o s i o n f r e q u e n t l y o c c u r s w i t h i n crevices
a n d o t h e r s h i e l d e d areas o n m e t a l surfaces e x p o s e d to c o r r o s i v e
liquids. This type of a t t a c k is u s u a l l y a s s o c i a t e d w i t h small v o l u m e s
of stagnant s o l u t i o n c a u s e d b y holes, g a s k e t surfaces, lap joints,
s u r f a c e deposits, a n d c r e v i c e s u n d e r bolt and rivet heads. Figure 8
[14] is the example of a c r e v i c e corrosion. This type d a m a g e m a y not
occur d i r e c t i o n on the s u r f a c e w h e n a h y d r a u l i c s y s t e m f a c i n g fluid.
O t h e r parts of p u m p f a i l u r e are expected.

FIG. 8--Gasket (crevice) c o r r o s i o n on a large stainless

steel p i p e flange [14].

C r e v i c e c o r r o s i o n s i m p l y r e s u l t s from d i f f e r e n c e s in metal ion or

o x y g e n c o n c e n t r a t i o n b e t w e e n the c r e v i c e and its surroundings. Figure
9 [15] i l l u s t r a t e s the b a s i c m e c h a n i s m of c r e v i c e corrosion. The
o v e r a l l r e a c t i o n i n v o l v e s the d i s s o l u t i o n of metal M and the r e d u c t i o n
of o x y g e n to h y d r o x i d e ions:

Oxidation M -> M + + e

Reduction 02 + 2H20 + 4e -> 4OH-

(a) (b)

FIG. 9--Illustration of crevice corrosion. (a) initial stage;

(b) later stage [15]

Initially, these r e a c t i o n s occur u n i f o r m l y over the entire

surface, including the interior of the crevice. Charge c o n s e r v a t i o n is
m a i n t a i n e d in b o t h the metal and solution. Every e l e c t r o n p r o d u c e d
d u r i n g the formation of a metal ion is i m m e d i a t e l y c o n s u m e d by the
o x y g e n r e d u c t i o n reaction. Also, one hydroxyl ion is p r o d u c e d for
every metal ion in the solution. A f t e r a short interval, the o x y g e n
r e d u c t i o n ceases in this area.
Methods of p r e v e n t i o n for crevice corrosion involve either
d e c r e a s i n g the a g g r e s s i v e n e s s of the environment or i n c r e a s i n g the
r e s i s t a n c e of materials. For examples, decrease the a c i d i t y and
t e m p e r a t u r e of fluids; p r o v i d e surface cleaning; add inhibitors;
increase chromium, nickel, molybdenum, and nitrogen; etc.

Dealloyinq and D e z i n c i f i c a t i o n

An a l l o y i n g element that is active (negative electrochemically)

to the m a j o r solvent element is likely to be p r e f e r e n t i a l l y c o r r o d e d by
dealloying. Selective l e a c h i n g and p a r t i n g are a l t e r n a t i v e terms u s e d
o c c a s i o n a l l y for the same phenomenon. One example of d e a l l o y i n g is
k n o w n as g r a p h i t i c corrosion. It is the selective l e a c h i n g of iron
from g r a y cast iron, leaving b e h i n d a weak, porous n e t w o r k of inert
g r a p h i t e that can be s c r a t c h e d w i t h a p e n knife (Figure i0) [16].

FIG. 10--Graphitic corrosion in a g r a y cast iron w a t e r p i p e [16].

Zinc is s t r o n g l y active to c o p p e r and r e a d i l y leaches out of

brass, l e a v i n g b e h i n d r e l a t i v e l y p u r e p o r o u s copper w i t h p o o r
mechanical properties. U n i f o r m or layer d e z i n c i f i c a t i o n is e a s i l y
r e c o g n i z a b l e b y the red, c o p p e r - c o l o r e d m a t e r i a l v i s i b l e on the bolt
surface. A b l a c k - w h i t e figure is shown in Figure ii [17].

FIG. l l - - B r a s s bolt (30% Zn) w h i c h was bent to show u n i f o r m

p e n e t r a t i o n of d e z i n c i f i e d layer [17].

D e a l l o y i n g and d e z i n c i f i c a t i o n can be p r e v e n t e d by u s i n g a less

c o r r o s i v e f l u i d or u s i n g a l t e r n a t i v e materials.
A f i e l d case e x a m p l e of e l e c t r o c o r r o s i v e wear is shown in F i g u r e
12 (courtesy of Chevron). In the figures, the wear of the m e t e r i n g
edges of a steel s e r v o m e c h a n i s m v a l v e u s e d in a jet a i r c r a f t u s i n g a
c o m m e r c i a l f i r e - r e s i s t a n t h y d r a u l i c fluid is shown. Corrosion occurred
at the a n o d i c area of b o t h the l a n d a n d the o r i f i c e a n d d e p o s i t s f o r m e d
in the c a t h o d i c area.

FIG. 12--Example of e l e c t r o c o r r o s i v e w e a r of an aircraft servomechanism

valve. C o u r t e s y of C h e v r o n Corporation.

PITTING

B o t h p i t t i n g a n d c r e v i c e c o r r o s i o n are l o c a l i z e d forms of a t t a c k
that result in r e l a t i v e l y r a p i d p e n e t r a t i o n at small discrete areas.
C r e v i c e c o r r o s i o n has v a r i o u s forms. The p e n e t r a t i o n or road s h a l l o w
d e p r e s s i o n s p r e s e n t w i t h i n c r e v i c e m o r e often. Pits are often p r e s e n t
o n l y n e a r the m o u t h of v e r y tight crevice. Pits are a p p a r e n t l y s m a l l e r
than that of c r e v i c e corrosion. P i t t i n g is g e n e r a l l y a s s o c i a t e d w i t h
h i g h t e m p e r a t u r e or acids [18]. P i t t i n g can be d e s c r i b e d as a c a v i t y
or hole, as s h o w n in Figure 13 [19]. The c o r r o s i o n p r o c e s s of p i t t i n g
is i l l u s t r a t e d in Figure 14120]. In h y d r a u l i c applications, p i t t i n g
might be c a u s e d b y the c o n t a m i n a t i o n of p e t r o l e u m b e c a u s e fluids w i t h
m o i s t u r e or salt water.
P i t t i n g can be p r e v e n t e d or r e d u c e d in m a n y instances by the
p r e s e n c e of hydroxide, chromate, or s i l i c a t e salts in the fluids.

FIG. 1 3 - - P i t t i n g of 18-8 s t a i n l e s s steel by

a c i d - c h l o r i d e s o l u t i o n [19].

FIG. 14--Autocatalytic processes occurring in a c o r r o s i o n pit [20].

CORROSION FATIGUE

Fatigue stresses m a y occur to a metal in a h y d r a u l i c s y s t e m w h i c h

are c a u s e d by internal or external p r e s s u r e s such as on a nut or a
bolt. This will c r e a t e a p a t h w a y w i t h i n the m a t e r i a l w h i c h will
c o r r o d e more rapidly. If stresses are cyclic, a c c e l e r a t e d c o r r o s i o n or
c o r r o s i o n fatigue m a y result. C o r r o s i o n fatigue is the r e d u c t i o n of
fatigue r e s i s t a n c e due to the p r e s e n c e of a c o r r o s i v e medium.
Therefore, c o r r o s i o n f a t i g u e is d e f i n e d in terms of m e c h a n i c a l
properties. A s c h e m a t i c i l l u s t r a t i o n of a typical fatigue fracture in
a c y l i n d r i c a l bar is s h o w n in Figure 15 [21]. Generally, in c o r r o s i o n
fatigue there is a large area c o v e r e d w i t h c o r r o s i o n p r o d u c t s and a
s m a l l e r r o u g h e n e d a r e a r e s u l t i n g from the final b r i t t l e fracture.
C o r r o s i o n Fatigue is a special case of s t r e s s - c o r r o s i o n cracking.
C o r r o s i o n fatigue can be p r e v e n t e d by r e d u c i n g the stress on the
component. This can be a c c o m p l i s h e d by a l t e r i n g the design, by stress-
r e l i e v i n g heat treatments, or by s h o t - p e n n i n g the s u r f a c e to induce
c o m p r e s s i v e stresses. C o r r o s i o n fatigue m a y also be p r e v e n t e d t h r o u g h
c o r r o s i o n inhibitors and p r o t e c t i v e coatings.

FIG. 15--Schematic illustration of fatigue and

corrosion-fatigue failures [21].

FIG. 16--Intergranular corrosion of a sensitized austenitic stainless

steel surface viewed by scanning electron microscopy [22].

INTERGRANULAR CORROSION

Intergranular corrosion happening in a hydraulic system mainly

relates to a material itself. When corrosive environments exist, grain
boundaries may become reactive. This may lead to localized attack at
or adjacent to grain boundaries. As shown in Figure 16, very little
corrosion of grains is associated with intergranular corrosion [22].
Figure 17 [23] illustrates the mechanisms of this type of corrosion.

Chromium-
depletedzo

Chromiumcarbide~
precipitate

Grain

Dissolvedmetal / /

FIG. 1 7 - - S c h e m a t i c r e p r e s e n t a t i o n of c a r b i d e p r e c i p i t a t i o n at
a g r a i n b o u n d a r y d u r i n g s e n s i t i z a t i o n to i n t e r g r a n u l a r
c o r r o s l o n in s t a i n l e s s steel [23].

I n t e r g r a n u l a r c o r r o s i o n can be c a u s e d by impurities at the g r a i n

boundaries, e n r i c h m e n t of one of the a l l o y i n g elements, or d e p l e t i o n of
one of these e l e m e n t s in the g r a i n - b o u n d a r y areas. Small a m o u n t s of
iron in aluminum, w h e r e i n the s o l u b i l i t y of iron is low, have b e e n
shown to s e g r e g a t e in the g r a i n b o u n d a r i e s and cause i n t e r g r a n u l a r
corrosion. It has b e e n shown that b a s e d on surface t e n s i o n
c o n s i d e r a t i o n s , the zinc content of a brass is higher at the g r a i n
boundaries. D e p l e t i o n of c h r o m i u m in the g r a i n - b o u n d a r y regions
results in i n t e r g r a n u l a r c o r r o s i o n of s t a i n l e s s steels.
I n t e r g r a n u l a r c o r r o s i o n can be p r o t e c t e d by using c o r r o s i o n
inhibitors, s e l e c t i n g a l t e r n a t i v e materials, and reducing stresses.

SUMMARY

This r e v i e w p r o v i d e s a c o l l e c t i o n of c o m m o n c o r r o s i v e f a i l u r e
m e c h a n i s m s and m e t h o d s of p r e v e n t i n g c o r r o s i o n in h y d r a u l i c pumps. The
cause of some p u m p failures is readily, w h e r e a s others are not. Common
failure modes in h y d r a u l i c systems are s u m m a r i z e d in F i g u r e s 18 to 21.
The c o r r o s i v e wear in h y d r a u l i c systems can be c o m p l i c a t e d and
t h e r e f o r e it is not feasible to have an e n c y c l o p e d i c c o v e r a g e of all of
the f a i l u r e modes. Nevertheless, a g o o d g r a s p of c o r r o s i v e w e a r
m e c h a n i s m s can f a c i l i t a t e finding e f f e c t i v e m e t h o d s for p r e v e n t i n g
c o r r o s i v e w e a r in h y d r a u l i c systems.

FIG. 1 8 - - H y d r a u l i c failure c o r r o s i o n in axial p i s t o n pumps.

Source: Mit f r e u n d l i c h e n GraVen, Essen, Germany.

FIG. 1 9 - - H y d r a u l i c failure w e a r in a vane pump.

Source: Mit f r e u n d l i c h e n GraVen, Essen, Germany.

FIG. 2 0 - - H y d r a u l i c r o l l e r b e a r i n g s f a i l u r e in an axial p i s t o n pump.

Source: Mit f r e u n d l i c h e n GraVen, Essen, Germany.

FIG. 21--Example of cavitation marks on a cylinder block

inlet/outlet in an axial piston pump.
Source: Mit freundlichen GraVen, Essen, Germany.

ACKNOWLEDGEMENT

The authors would like to thank Drs. Jack Zakarian and James
Ziemer from Chevron Corporation, Richmond, CA and Juergen Reichel from
Mit freundlichen GraVen, Essen, Germany providing photos of wear modes.
This work was partially supported by the Alaska Space Grant Program and
the President's Special Fund Project of UAF. Help in editing of the
text from Mr. Glenn Webster was greatly appreciated.

REFERENCES

[1] Vickers Inc., ~Pump Failure Analysis," Brochure Number 513-K91JJ,

Vickers, conc., 5445 Corporate Drive, Troy, Michigan.

[2] W.E. Wambach, Jr. "Hydraulic Systems and Fluids," CRC Handbook of
Lubrication, Vol. I, ed. E.R. Booser, 1983, p. 152-153.

[3] W.E. Wambach, Jr., "Hydraulic Systems and Fluids," CRC Handbook
of Lubrication, Vol. I, Ed. E.R. Booser, p.149-166, 1983.

[4] H. Liang, K. Mizuno, G. Torten, R. Bishop, Jr., S. Lembeger,

"Fundamental Hydraulic Wear Processes," Hydraulic Failure
Analysis: Fluids, Components, and System Effects, in preparation.

C5] Mobil Oil Co., Ltd., "Foaming and Air Entrainment in Lubrication
and Hydraulic Systems," Technical Bulletin 5214, Mobil, London,
UK, March 1971.

[6] Fowle, T. I., ~Problems in the Lubrication Systems of

Turbomachinery," Proc. Instin. Mech. Engrs., 186, 1972, p. 705-
716.

[7] Fontana, M. G. Corrosion Engineering, 3rd ed., McGraw Hill,

1986, p. 104-105.

[8] R. W. Henke, "Cavitation", Fontana, M., Corrosion Engineering,

1986, p. 105.

[9] Fontana, M., Corrosion Engineering, McGraw-Hill, Inc., 1986, p.

91.

[i0] Fontana, M., Corrosion Engineering, McGraw-Hill, Inc., 1986, p.

91-92.

[11] Caterpillar, "Fundamentals of Applied Failure Analysis, Module 4:

Analyzing Wear," Caterpillar Reference Number, TEBB9007, Peoria,
IL.

[12] Fontana, M., Corrosion Engineering, McGraw-Hill, Inc., 1986, p.

28.

[13] Fontana, M., Corrosion Engineering, McGraw-Hill, Inc., 1986, po

50.

[14] E. V. Kunkel, "Crevice", Fontana, M., Corrosion Engineering,

McGraw-Hill, Inco, 1986, p. 52.

[15] Fontana, M., Corrosion Engineering, McGraw-Hill, Inc., 1986, p.

54-55.

[16] Steigerwald, R., Metals Handbook, Vol. 13, Corrosion, 9th ed.,
ASM International, Metals Park, OH, 1987, p. 132.

[17] Jones, D. A., Principles and Prevention of Corrosion, 2nd ed.,

Prentice Hall, 1996, p. 22.

[18] Jones, D. A., Principles and Prevention of Corrosion, 2nd edo,

Prentice Hall, 1996, p. 64.

[19] Fontana, M., Corrosion Engineering, McGraw-Hill, Inc., 1986, p.

64.

[20] Fontana, M., Corrosion Engineering, McGraw-Hill, Inc., 1986, p.

67.

[21] Fontana, M., Corrosion Engineering, McGraw-Hill, Inc., 1986, p.

139.

[22] Jones, D. A., Principles and Prevention of Corrosion, 2nd ed.,

Prentice Hall, 1996, p. 21.

[23] Jones, D. A., Principles and Prevention of Corrosion, 2nd ed.,

Prentice Hall, 1996, p. 292.

Root Cause Analysis to Identify Hydraulic Failure Modes

REFERENCE: Reichel, J., and Wahl, M., "Root Cause Analysis to Identify
Hydraulic Failure Modes," Hydraufic Failure Analysis: Fluids, Components, and
System Effects, ASTMSTP 1339, G E Totten, D.K Wills, and D. Feldmann, Eds.,
American Society for Testing Materials, West Conshohocken, PA, 2001.

ABSTRACT: Different tribological systems work under different conditions in axial

piston pumps, vane pumps, or radial piston motors. Root cause analysis procedures are
used to identify the failure modes discovering typical performance limits of hydraulic
fluids and fluid power components. Therefore, pump lubrication and operation
requirements, preferably existing in pump manufacturer specifications, must be
determined. Hydraulic fluid performance standards are developed in International
Standards ISO 11158, "Specifications for mineral oils hydraulic fluids (H)", ISO 12922,
"Specifications for fire-resistant fluids (HF)" and ISO/DIS 15380 "Specifications for
environmentally acceptable hydraulic fluids (HE)". All these standards represent
minimum requirements. Fire-resistant and environmentally acceptable fluids show the
most different performances in comparison to mineral oil based fluids. Fluid and
components properties should be in good balance. The performance of different
hydraulic fluids and various pumps has been predicted using small - and large - scale
bench tests. Performance limits on fluids and pumps were finally tested together,
followed by root cause analysis to identify hydraulic failure modes. Finally, fluid
additives or component modifications led to high system performances and optimized
fluid power applications. This paper describes important failure modes, reasons for fluid-
depending material damages and rolling contact fatigue failures in roller bearings for
hydraulic systems which are significant for the components life span. The report is
focused on both useful fluid and appropriate pumps. Results from hydraulic pump tests
with new steel quality for roller bearings are useful for optimized tribological systems,
aqueous or non aqueous hydraulic fluids and new applications in fluid power industries.

KEYWORDS: failure modes, hydraulic, hydraulic fluids, pump failures, root cause
analysis, roller bearings, steel quality, tribological systems, testing.

1 Dipl.-Ing., Publicly Sworn Expert, Hydraulic Fluid Power Consultancy,

Hirschanger 12, D-45259 Essen, Germany.
2 Dipl.-Ing., Research Engineer, Deutsche Montan Technologie GmbH,
Am Technologiepark 1, D-45307 Essen, Germany.
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138 HYDRAULICFAILURE ANALYSIS

INTRODUCTION

Modem hydraulic systems experience a constant increase in productivity, joined

with always higher reliability of components and an always better environmental
compatibility. Particularly, the application of hydraulic fluids with additional
characteristics (e.g. fire-resistant, environmentally acceptable) in hydraulic systems
requires an inclusive consideration of individual components and an analysis of
individual tribological systems. This paper describes root cause analysis procedures used
to identify the failure modes discovering typical performance limits from hydraulic fluids
and fluid power components. Herewith the hydraulic fluid has to be considered as an
essential part of hydraulic systems design. The hydraulic fluid co-determines through its
technological characteristics decisively the fitness for use of other components.
Performance of hydraulic fluids and their individual selection, knowledge of operating
instructions and monitoring programs have to be used optimally.
By the common appraisal of components and hydraulic fluids, manufacturer and
users receive information about the fitness for use. Good cooperation between Original
Equipment Manufacturers "OEM" (manufacturer of the hard ware components),
hydraulic fluid suppliers and users offers the possibility, to improve a technological
potential, to meet the economy and safety requirements under the intensified demands of
environmental protection.

FAILURE MODES

System failures are costly, followed by expensive maintenance, loss of

production, environmental damages and finally loss of image in fluid power industry.
The causes of system failures are abundant in nature. Defective maintenance and care of
hydraulic systems are herewith still the simplest to recognize.
The improper installation of components, not duly purified tubing i.e. rubber
waste after installation of the armature, remainders of clothes and even parts of filler
caps have been found already in hydraulic systems as shown in figure 1. The Filter
system and filter in hydraulic systems serve as monitors or sensors. Microscopic
"filtergram" examination of this wear fingerprint can diagnose the causes of any
abnormal wear within the machine compartment sampled. Abrasion or oxidation wear is
probably the most serious type and is usually caused by the fatigue or gouging of
component surfaces by hard particles such as dust grit or wear particles of sizes larger
than the lubrication film. Tribology based failure modes consists of two separate
methodologies being particulate based failure modes and hydraulic fluid based failure
modes. By monitoring the characteristics of solid particulate contamination in hydraulic
fluid it is possible to monitor some aspects of incipient failure modes and assess their
severity. By monitoring the physical and chemical properties and non particulate
contamination of the hydraulic fluids ability to continue to perform its original function
can be assessed. The performance of fluid power systems depends on both the physical

and lubrication properties. The hydraulic fluid should be regarded as an important design
element in the fluid power system. Both pump tests and bench tests may be performed on
hydraulic fluids to identify hydraulic fluid based failure modes of the system before
practical applications are going on. The evaluation of pump sensitivity to solid
contamination is analyzable [ 1 ].

Figure 1 -- Blocked filter element with filler cap and particle contamination

Mechanical Tests

In addition to pump testing, mechanical (bench) testing of hydraulic fluids in test

rigs, such as four-ball, pin-on-V-block, Tirnken anti-wear test machines or testing in
standardized gear test rigs are run for determination of anti-wear properties. When
standardized vane pump testing is performed the criteria of failure is the total weight loss
on both the cam rings and vanes. When testing is conducted using a standard gear testing
rig such as FZG gear test, the testing criteria are the load stage or the failure stage. In
both cases, pump tests or bench tests, the performance is compared to minimum
standardized specifications. Wear properties of roller bearings and drives of axial-piston
pumps may be determined for hydraulic fluid, especially non-mineral oil fluids including
vegetable oil, aqueous or non aqueous fire-resistant fluids and anhydrous synthetic oil
based fluids using either changing or constant load. The (load capacity) performance of
critical components is a function of the hydraulic fluid being tested, the pump operation

pressure and the sequence and amount of pressure variation, if any. The criteria for
failure should be determined in test by pump manufacturers.

Kinematic viscosity mm=ls [cSt]

L \ ]I
<3)

,%.

-40 -20 -10 0 5 20 40 60 80 100 120

Temperature ~

1 HFC 46 4 HFA 1
2 HFD T 46 5 HEES 46
3 HM 46

Figure -- 2 Viscosity-temperature behavior of different hydraulic fluids

For hydraulic fluids classified in accordance to ISO 6743-4 "Lubricants,

industrial oils and related products (class L) - Classification - part 4: Family H
(Hydraulic systems)", viscosity as function of temperature is shown in figure 2.
Hydrostatic drives have a work space between kinematic viscosity from 10 to 1000

mm2/s. Outside of this work space and under extreme pressure conditions anti-wear
properties of the fluid are important. Oxidation stability, corrosion effects on steel or
non-ferrous metals, and elastomer compatibility are other important fluid properties.
Through the application of suitable additives the extreme pressure- and anti-wear
characteristics of fluids can be improved. Corrosion prevention can be provided in
limited extent by additives. However, certain characteristics of hydraulic fluids cannot be
influenced. Particularly with the application of water-containing fluids the different
physical characteristics must be accommodated.
Hydraulic pump and motor testing with investigations on different test rigs the
characteristics and changes of hydraulic fluids and components has been determined and
rated [2.,1. The test includes the appraisal of chemical and physical fluid characteristics, i.
e. aging behavior, which means the process of oxidation and polymerization of hydranlic
fluids. Temporary high system temperatures, entry of air, dust or humidity affect the
aging behavior. Metals, particularly colored or yellow metal as copper and zinc, work
here as accelerating catalyst under increasing temperatures and have important influence
on chemical corrosion effect which is followed by pump wear mechanism during the
operation time. Therefore hydraulic fluids may not work corroding on metals. High anti-
wear performance means at frequently existing sliding contact sufficient wear protection
of surfaces through fluid viscosity or fluid additives. In addition changes in viscosity
admit conclusions on shear stability of hydraulic fluids or confirm those.

Figure -- 3 Schematic illustration o f the FZG gear test machine

The compatibility of hydraulic fluids with different raw materials, elastomers and
sealing material is for users by decisive meaning, to recognize an impairment of the
functional ability of the system. Furthermore hydraulic fluids may not work corroding on
metals and fluid cleanliness must be guaranteed in good operating hydraulic systems.

Likewise contamination with other hydraulic fluids can have undesirable influences on
the individual components. Tests on miscibility o f fluids on same chemical type are
sometimes most helpful.
Hydraulic fluids containing additives for improved wear and corrosion protection,
are tested in oil test machines by means of simple standard friction material pairs to
determine fluid anti-wear performance. One of the advantages of these tests is the
relatively low cost of the test specimens and the relatively short testing times. Minimum
anti-wear requirements for mineral-oil-based hydraulic fluids are specified per DIN
51524 and require standard testing in oil testing machines. These machines and methods
have become standard in Europe and overseas. Examples o f this standards include:
"Mechanical Testing o f Hydraulic Fluids in the Vane Pump" DIN 51389 and "Testing in
the FZG gear test rig to method A 8,3-90" DIN 51354 part 2. The FZG test machine is
schematically illustrated in figure 3. In many applications, mineral oil based hydraulic
fluids are absolutely excluded. For example, fire-protection in steel-works or coal-
mining. Healthy and safe workplace concerns, product compatibility,-and environmental
protection requirements demand the use o f alternative hydraulic fluids, which are almost
mineral oil-free.
Currently, there is increasing use of fire-resistant fluids or environmentally
acceptable hydraulic fluids. However, only some o f these fluids are covered by pump
performance standards. Some properties of fire-resistant fluids or rapidly biologically
degradable fluids are significantly different from mineral oil. If thermal or anti-wear
properties are not met, pump failure due to excessive wear can happen.
Pump manufacturers and users typically have insufficient information on the
wear properties of non-mineral oil derived hydraulic fluids used in gear pumps, vane
pumps, axial- or radial-piston pumps which are adequately lubricated with most mineral
oil based fluids. From the viewpoint of the pump manufacturers, lubrication of certain
points of friction in pumps and machinery operation should be assessed. There are two
possibilities: Field trials are usually conducted at the user's expense.There is a greater
probability o f success if the pumps and motors have been tested under mechanical
conditions of field use.
Vane pump testing using the Vickers V 105 C vane pump is standardized by
ASTM D 2882, CETOP RP 67H and DIN 51389. Parts o f Vicker's vane pump are
shown in figure 4. This testing procedures have served the industry well and their use has
led to substantial anti-wear fluid formulation improvements. Particularly for HFC fire-
resistant fluids the wear (vane and ring) decreased from 10.000 mg to 100 mg in vane
pump tests. Furthermore, cost-effective tests for assessing a fluids "life" under wear
conditions that may be encountered in field use.
Field practice has shown that while axial-piston pumps may be successfully
operated using HFC fluids, roller bearing failures reduce their operational lifetimes as
noted after 1000 hours with constant pressure of 280 bar(4000 psi). In axial-piston pump
tests on HFC fluids [3] and test rigs at DMT in Essen, Germany, was shown that even
after three sets of roller bearing assemblies had failed due to material fatigue, the moving
parts (pistons, cylinders, and controls) of bent-axis axial-piston pump had not yet
reached the end of their useful lives, even after 6000 hours of operation under 4000 psi
continuous load.

Figure-- 4 Parts of Vickers vane pump V105 C

The common used HFC fluid had also not reached the end of its useful life when the test
was comPleted. Viscosity, water content and corrosion protection properties has not
changed significantly after 6000 hours. Condition monitoring with continuous acoustic
measurement of body sound on the pump test rig allowed the detection of impending
roller bearing failures. Thus early signs of wear such as pitting on roller bearings surface
can be recognized only with continuos acoustic analysis and would not have been
possible in actual field trials. Beatings deserve large regard with the application of
aqueous polymer solutions, which have a much lower pressure-viscosity behavior than
mineral oil. At Hertz" compression (contact of roller bearings) the viscosity of mineral
oil increases greatly.

Figure -- 5 Damaged roller bearing in an axial-piston pump tested l O00h with H F C

fluid

Roller bearings are normally produced in standard quality steel 100 CR 6. The bearing
failures with HFC fluid as shown in figure 5 essentially result from material fatigue. This
can be remedied by the novel nitrogen-treated stainless steel quality Cronidur 30 | (X30
CrMoN15) which is used by a beating manufacturer (FAG Kugelfischer Group,
Germany) especially for roller bearings [3].

SOLID PARTICLE CONTAMINATION

In fluid power systems, particle contamination has to be maintained at a low

level, particle counters which may be either "online" or "offline" instruments for
measuring the level of contamination are used. Counts are taken for particle size ranges
from 1 to 100 ~m but are usually quoted for 2, 5 and 15 ~m as an "ISO cleanliness code"
according to ISO 4406.2: t 999 "Code for defining the level of contamination of solid
particles". Insistence on care and attention to cleanliness during manufacture, installation
and maintenance of the machine, and in the supply of new hydraulic fluid, will
significantly reduce the risk of damage or failure [1]. Particle contamination in hydraulic
systems has essential influence on the flawless function of components. Determination

and maintenance of demanded cleanliness and monitoring of filters give information

over the condition of the fluid and the behavior of the components. Every damage, which
appears at components, leads to consequences on other parts in the system and can
generate consequential damages. Consequential damages emerge at originally not-
affected components, because the particle passes these components, before being held up
in the filter. In axial piston pumps the slipper pads, cylinder and piston surfaces and the
control plate are to be called as critical components. Scratched undersides of slippers
pads and concentric scoring on cylinder surfaces are the consequence of insufficient fluid
cleanliness.

FLUID CHARACTERISTICS AND PUMP TESTS

Mechanical bench tests with axial piston pumps in open and etosed circuits using
synthetic esters based biodegradable fluids (HEES) and aqueous polymer solutions
(HFC) allow the evaluation of the special properties of these fluids. Tribological systems
in high-speed axial piston pumps of swash plate design and low speed radial-piston
motors exhibited, even after successful fluid-testing on the FZG gear test rig, wear on
steel-on-steel friction points when run on synthetic Polyol Esters. Piston pump testing at
DMT in Essen, Germany, showed that this unexpected wear-increase was due to fluid
contamination with small amounts of water, < 1%. Subsequent analysis showed that the
non-ferrous metals, such as brass, metal components had undergone, and the fluid
contained small amounts of soluble zinc. Color changes on the surface of roller bearings
(standard material 100 CR6 ) indicate area of high strength and are reaction layers.
Changed color on unencumbered surfaces are to be led back to corrosion and oxidation.
This is determined with the increased alloy components in the fluid - i.e. iron, brass,
copper, zinc was found after 1000 hours. I f oxidation becomes severe, the hydraulic fluid
will corrode the equipment's critical surfaces. Degradation of the lubricant through
oxidation wear elements and reaction products can be determined with Inductively
Coupled Plasma Atomic Emission spectrometry (ICP), IR-spectra or other fluid
monitoring methods. Herewith regular monitoring of the fluid demonstrates changes.
This problems can sometimes resolved by changing the additives.
In other tests using HFC and HFD hydraulic fluids with non-supercharged type
axial-piston pumps on variable-load test rigs, the control plates exhibited cavitation-
induced damage. This problem was remedied by design modifications of the pump,
which was originally designed for use with mineral oil hydraulic fluids.
Cavitation occurs if the hydraulic fluid is too cold and therefore fluid viscosity is
excessively high. If the pressure of a system is reduced below the vapor pressure of the
fluid, vapor bubbles will form (vaporous cavitation) and lead to cavitation erosion wear
[4]. Cavitation as shown in figure 6 can emerge on control plates of axial piston pumps
and is not avoidable in general. It is depending from the fluids vapor pressure in the
damaged area and can occur in pumps despite of overpressure in the suction line.
Avoidable are damages through unfavorably designed tanks with air getting into the
fluid, restricted passages in the piping and strainers (wrong tubing) or also non
synchronized control processes from pump and motor.

Cavitation is a purely physical problem, which cannot be avoided through the

application of other materials. Herewith dissolved (not entrained) gases go - according to
Henry's law - more quickly from solution than in solution. This effect is directly
proportional to the pressure on the fluid and becomes strengthened at the employment of
hydraulic fluids with a higher density. The greater propensity for cavitation of water and
water containing fluids compared to mineral oil is due to the higher density and vapor
pressure of water.
Not sufficiently dimensioned suction pipes (improper pump inlet designs) or to fast
reversing units favors cavitation. Cavitation marks on control plates and cylinder
surfaces from axial piston pumps or motors emerge at to fast reversing units.

Figure.-- 6 Axial-piston pumps, oxidation and cavitation on the control plate (brass)

Through supercharging the tank or using higher placed tanks one can limit cavitation or
work with higher service temperatures optimizing the systems performance for instance
it works with HFC-fluids. However, cavitation is not completely avoidable in hydraulic
systems.

RECOMMENDATION FOR ROOT CAUSE ANALYSIS

In pump tests run by DMT Essen, Germany, pumps and a motors were tested
simultaneously by connecting them hydraulically and mechanically to each other in the

"regenerative circuit" shown in figure 7. This test may be rtm in open or closed circuit.
By solenoid valve control the motor's stroke is varied over a part or its full range, and
the pump responds - in pressure control mode - by changing volume per stroke. With this
test, the fluid volume can be matched to the requirements from mobile or stationary
conditions from 80 to 800 liters in closed or open circuits. A fluid volume of 80 liters (L)
and a variable volume flow ranging between 20 and 350 l/rain may be run in open circuit
at an operation pressure o f 420 bar (6000 psi). In all these cases, only the total of motor
and pump losses needs to be catered for in terms o f drive energy. These losses are
approximately equal to 15 % of the total hydraulic performance output. In addition, the
cooling of the system, the hydraulic control energy, and, if necessary, system fluid top-
off needs to be monitored.

5 0 0 0 psi

p,=p,
320 psi (~) n=1500 mii

9s
400 "
8

1) drive motor 5) filter unit 25 pm

2) pump swash plate design 6) heat exchanger
3) motor bent shaft design 7) reservoir 80 L
4) boost pump 8) pressure relieve valve

Figure -- 7 Schematic f o r a regenerative test circuit for testing hydraulic fluids.

Due to the variety o f material friction pairs and components that may undergo wear such
as roller bearings, plain bearings, pistons, sliding elements, cylinders, control plates and
adjustment systems, the development of a hydraulic fluid test rig or apparatus using a
single axial-piston pump, in a standard analogous to the ASTM D 2882 or DIN 51389
vane pump test, is impossible. Test results cannot simply be reported in terms o f material
losses of certain components, since wear may occur by different fluid-related
mechanisms such as lubrication and cavitation induced failure.
Axial-piston pump tests, however, will be absolutely necessary for designs which
are commonly used in hydraulic drive technologies requiring the use o f non-mineral oil
derived hydraulic fluids, such as fire-resistant and rapidly biodegradable hydraulic fluids.

Therefore, the potential utility of these fluids in various piston pumps using various
bearing designs must be assessed. This assessment is product-specific and is referred to
,,suitability" testing. Potential utility of non mineral-oil derived hydraulic fluids cannot
be assessed by laboratory bench testing equipment only. Performance limits on fluids
and pumps have to be finally tested together. Followed by root cause analysis to identify
hydraulic failure modes.
Also, due to potential use hazards and equipment costs, the suitability of non-mineral oil
fluids cannot often be tested in field tests according to the customer's specific needs.

CONCLUSION

It is recommended [5] that testing and assessment criteria of an axial-piston

pump test on the variable-load test rig are summarized in a technical report which should
specify, in practice-oriented form, fluid volumes, load cycles, test temperature, test
pressure, and duration of the test. Fluid properties, such as aging, viscosity loss, anti-
wear properties, filtration, and behavior in contact with non-ferrous metals, steels, seal
materials, water, and mineral oil should be assessed. This test should provide
recommended threshold values. Values which control the useful life of the fluid are i.e.
the viscosity changes and changes in the neutralization number. With.this standard
suitability test, fluid formulators and users will have available equipment, manufacturer's
recommendations, and hopefully approval, for using a specific hydraulic fluid in a
particular hydraulic pump or motor.
This paper describes important failure modes, reasons for fluid-dependent
material damages and rolling contact fatigue failures in roller bearings for hydraulic
systems. Results from hydraulic Pump tests using HFC fluids and new quality steel
(Cronidur 30 | for roller bearings are useful for optimized tfibology systems. The focus
is on both useful fluids and appropriate hydraulic drives. Results are optimized
tribological systems for aqueous or non aqueous hydraulic fluids and new applications in
the fluid power industries.

REFERENCES

[1] Lehner, S. and G. Jacobs: "Contamination Sensitivity of Hydraulic Pumps and

Valves".
Tribology of Hydraulic Pump Testing ASTM STP 1310, George E. Torten,
Gary H. Kling, and Donald M. Smolenski, Eds., American Society for Testing
and
Materials, Philadelphia, 1997.

[2] Reichel, J. "Pump Testing Strategies And Associated Tribological Considerations

- Vane Pump Testing Methods ASTM D2882, IP 28t, and DIN 51 389".
Tribology of Hydraulic Pump Testing, ASTM STP 1310, George E. Totten, Gary

H. Kling, and Donald J. Smolenski, Eds., American Society for Testing and
Materials, West Conshohocken, PA 1997, pp.85-95.

[3] Reichel, J. "Fluid Power Engineering with Fire Resistant Hydraulic Fluids",
Lubrication
Engineering, 1994 Vol. 50, No. 12, pp. 947-952.

[4] Totten, George E. at all. "Hydraulic System Cavitation: A Review", SAE

Document Number 982036, 1998.

[5] Reichel, J. "Importance of Mechanical Testing of Hydraulic Fluids". Tribology of

Hydraulic Pump Testing, ASTMSTP 1310, George E. Torten, Gary H. Kling, and
Donald J. Smolenski, Eds., American Society for Testing and Materials, West
Conshohocken, PA 1997, pp.329-337.

Failure Analysis of the Hydraulic Drive System in a Storm Surge Barrier

Reference: Huks, M., "Failure Analysis of the Hydraulic Drive System in a Storm Surge
Barrier," Hydraulic Failure Analysis: Fluids, Components, and System Effects, ASTM STP
]339, G. E. Torten, D. K. Wills, and D. Feldmann, Eds., American Society for Testing and
Materials, West Conshohocken, PA, 2001.

Abstract : In 1997 the last part of the extensive "Delta Works" in the Netherlands was
completed and commissioned. This involved the construction of a storm surge barrier in
the most densely navigated waterway of Holland, connecting the harbor of Rotterdam
with the North Sea.
Due to the high risks involved when the barrier fails in its operation, a very low
failure probability is required : 1 x 10-3 for the complete barrier system. This however
resulted in much lower values for the numerous subsystems; in particular for the
hydraulic drive and control system a failure probability of less than lxl0 -6 is required for
each operation.
For evaluation and calculation of the failure probability it was essential to have a
good understanding of and consensus with the customer about a) the whole process and
requirements in the different phases of the operational cycle, and b) the criteria which
determine when the system is considered to fail.
Different analyses were performed to fred the critical items in the system, and some
adaptations (e.g. redundancy of certain components) and more detailed analysis of some
parts of the system was necessary to obtain the required contract value for the failure
probability.
Also it became necessary to perform a monthly inspection and check the drive and
control system by means of a semi-automated procedure.
Several aspects of the failure analysis of the hydraulic system are discussed in this
paper.

Keywords : failure analysis, failure probability, hydraulic drive system, semi-automated

system check, storm surge barrier

1 Manager Technical Development, Hydraudyne Systems & Engineering BV,

P.O. Box 32, 5280 AA Boxtel, The Netherlands.
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FLUKS ON A STORM SURGE BARRIER 151

Introduction

Background of the Project

A large part of Holland lies below sealevel, so a system of dunes, dikes and dams,
partly formed by nature and partly built and improved by the Dutch people during many
centuries, protect the country from flooding.
In 1953, however, an enormously heavy storm in combination with extreme high tide
level caused a number of dikes and dunes to give away under the violent forces of the
sea and a large southwestern part of Holland was flooded. A few thousand people were
killed and much material damage resulted. This event created the start of the so-called
"Delta Works," which involved a number of large infrastructural projects with the goal
to protect Holland from future flooding.
The final project was the construction of a storm surge barrier in the most densely
navigated waterway of Holland, connecting the harbor of Rotterdam with the North Sea.
The contract for the drive and control system for the "sector doors" was awarded to
Hydraudyne Systems and Engineering. The barrier project was successfully completed
and commissioned in May 1997.

Description of the Storm Surge Barrier

The storm surge barrier basically consists of two large floating steel doors (called
"sector doors" because of their partly circular form), each connected by lattice arms to a
land based hinge. Each of these constructions has the approximate size of the Eiffel
tower and weighs even far more (Figure I, [1]). The hinges (ball-joints with a diameter
of 10 meter) are supported by heavy foundations in order to take up maximum horizontal
forces in the range of 400 000 kN (40 000 tons).

I r-SECTOR DOOR
300 m .......................................................

250 m

200 m

150 m

50 m . . . . . . . . . . . . . . . . . ~ / k ' -Ns . . . . . . . . . . . . . . . .

, ~ " I FOUNDATION

Figure 1- Barrier size comparison

Under normal weather conditions the barrier installation is open (parking position);
each sector door is located in a graving dock in the bank of the river and the shipping
traffic can pass unobstructed. When extreme weather conditions are expected with the
associated high waterlevel the storm surge barrier must be closed. The prediction of an
unacceptable water level and the command to close the barrier are generated by a
computer system. The sector doors are floated up, the dock is opened and the doors are
floated out to mid-river position. Here the doors are ballasted and they submerge until
they rest on a sill at the bottom of the river, now virtually closing the waterway for high
tides and waves coming in from the North Sea (Figure 2, [1] ). After passing of the
extreme environmental conditions the barrier is opened in a reverse sequence.

Figure 2- Closing operation

Floating the sector doors out of the dock, pushing them to mid-river position and
holding them there, is performed by two "locomobiles." Each locomobile is situated on a
rail track on top of a sector door and connected by a push-puU rod to a vertical guiding
tower on land. At the bottom side of the locomobile 6 pinions engage in a rack with pins,
mounted parallel to the rail track on a sector door. By means of rotating the pinions
clockwise or counterclockwise, the door is pushed or pulled from dock to fiver position
(floating out) or vice versa (floating in); the locomobile remains stationary. Both in the
mid-river position as well as in the parking position the sector doors must be held in
position.
The system to move or to hold each door consists of an electro-hydraulic drive
system, together with the associated controls. When the barrier must be closed the drive
system is of course activated, but in the normally "open" situation of the barrier only
some subsystems are operational or in a stand-by mode. During the "normal open"
period, inspection and maintenance activities may be carded out while the
aforementioned subsystems keep the sector door in position.

The complete storm surge barrier has a design life time of 100 years and will be used
once every 5 years as an average, based on the present predictions of heavy storm
probability in the future.

Failure Probability

In a severe political debate it was decided that a small probability o f future

immersion of parts of South Holland had to be accepted. Derived from this decision it
follows that the design o f the storm surge barrier should be based on a probabilistic
approach; this approach is integrated in all systems. In order to determine the required
failure probability of the barrier, a lot o f sophisticated analyses were made.
The decision to close the barrier and the operation of the complete cycle was
originally envisaged to be "man made." After a special study it was concluded that the
aspect o f human failure could give a relatively high contribution to the failure
probability. Therefore the process o f making the "closing"-decision and the actual
closing operation of the barrier both had to be done fully automatic [2].
Based on the various analyses the required overall failure probability of the complete
barrier installation was defined to be 1" 10"3 (per demand) or less. This resulted o f course
in much lower values for the various main systems. In particular for the hydraulic drive
and control system in the locomobile an extremely low failure probability o f 1 10 -6 (per
demand) is required.

Hydraulic Drive and Control System

System Specifications
Apart from the already mentioned failure probability the following main data are of
interest:
a) in "driving" conditions
-nominal driving force Fnom= 2 000 kN
-nominal speed Vnom= 0.135 m/s
-maximum driving force Fmax = 4 240 kN
-spring characteristic Kl = 300 MN/m
b) in "holding" conditions
-speed v = 0 m/s
-positioning accuracy Ax = + / - 0.10m
-maximum force Fmax 6 220 kN (generative) =

-spring characteristic K1 = 300 MN/m

K2 = 10.5 MN/m, preload Fpl = 4 000 kN
-spring characteristic Ks = 10 MN/m
(in parking position only)
Also restrictions for the maximum power consumption and return power in different
operational stages are defined.

One of the special aspects of the hydraulic system is the realization of different spring
characteristics ( force versus deviation from the setpoint) in the drive system during
various operational stages. Because it is a unique feature for a hydraulic system to have
such requirements, the reason for them is briefly described hereafter:
9 K ] : this is the "natural" spring constant of the system, due to the compressibility
of the oil in the main circuit; a force variation on the pinions results in a small
position offset of the door.
9 K2 : when the sector doors are floating, they behave like very large ships and
make pitch, heave and surge motions which involve enormous forces; in order to
limit the maximum forces in the mechanical construction and in the hydraulic
system under dynamic conditions, the K2 spring characteristic can be activated.
This is used to avoid a permanent position offset which would occur if pressure
relief valves were used in the hydraulic system for the required force limitation.
9 K3 : in the parking position the sector door rests on flexible supports; the drive
system cannot be in "idle" condition, but must generate a continuous restoring
force depending on possible displacement due to e.g. wind forces.
A graph of the spring behavior is shown in Figure 3. (F is total pinion force; x is door
position)

2 t
i
i
0
i

t
I I ,
i
-4 F I
, .......-
-6

-0.2 -0.15 -0.05 O. I 0 0,05 O.1 0.16 0.2

x(rn)

Figure 3- Spring characteristics

Basic System Lay-Out

For each sector door six pinions are driven by low speed radial piston motors through
a planetary gearbox. Six electric motors of 75 kW, each drive a variable displacement
axial piston pump. Pumps and motors are connected in a closed circuit. In this way all 6
"drive" groups are working in parallel.

In order to cope with small differences in flow rate viz. speed, and to ensure an
identical pressure drop over each motor (thus creating an ideal load sharing over all
motors), compensation lines interconnect the A and B ports of all hydraulic motors.
Double acting piston accumulators o f a special design are mounted in each of the 6 main
circuits; these can be connected with or isolated from the circuit by means of isolating
valves. Flushing, filtering and cooling of the hydraulic system is performed by one or
two of the three available subsystems. Two variable displacement "positioning" pumps
with the associated manifold blocks and proportional valves form the two "positioning"
systems, and they can each be connected to the compensation lines; their function is
related to realizing and maintaining the spring characteristic KI/K2 or K3 in different
operational phases. See the principle hydraulic diagram (Figure 4).
The basic design was already chosen in the feasibility study [3], with the exception
of the "positioning" system; this system is necessary because of the spring characteristic
K3 that was added at a later stage and the elimination of holding brakes.
Of course various switches and sensors are integrated in the system for control and
measuring purposes. A motor control cabinet and electronics cabinet are mounted in the
locomobile. The drive system is controlled and monitored by a redundant PLC system.
Outside the locomobile 3 air-oil coolers and 6 electric ballast-resistors are mounted.
These latter ones are switched on in the event that the overall system generates power
(instead of absorbs power) above a certain level.

Failure Analysis of the Hydraulic Drive and Control System

Failure Mode and Effects Analysis (FMEA)

Basis for the failure analysis is the FMEA [4]; the purpose is to systematically
identify potential failure risks in order to avoid or to control these risks. The complete
drive and control system was divided in two parts:
A. the mechanical-hydraulic part, with a further subdivision in several parts
B. the electric part; also consisting o f further subsystems.
The failure mechanisms of each component were described in worksheets, with the
effect on:
9 the component itself
9 the subsystem
9 the sector door operation (end-effect)
For each failure mechanism also a detection method (if conceivable) and a possible
compensation method was mentioned; further the risk classification was indicated. Not
only single point failures were analyzed, but also combined failures of two components
were reviewed; after some considerations and test calculations it appeared not to be
relevant to take a simultaneous failure o f 3 components into account, because the failure
probability o f such an event was negligible.

It may be clear that a thorough understanding of the whole system with all different
interdependencies was necessary to make a good analysis, and that several iterations
needed to be made due to adaptations in the system, before the analysis could be
finalized.

--7

"-7

, ~t,O

-'7 Om

503

'7 ~

n'l-

Figure 4- Principle hydraulic diagram

Fault Tree

The fault tree was derived from the FMEA results and from analysis of the functions
and interrelations of the drive and control system components in all operating phases.
Top events causing the drive system to fail could be defined in the following statements:
9 sector door can not be closed or opened
9 spring characteristic differs too much from the ideal characteristic
9 positioning system fails
9 large intemal leakage
9 incorrect power management
Each of these events forms a branch of the fault tree and each was of course further
divided in subtrees, with their respective determining events for failure causes. The first
three levels of the fault tree are presented in Figure 5 (derived from [5]). Some branches
go down to the sixth level. In the context of this paper it would be too detailed to
describe the fault tree further.

Inspection Interval

Originally it was planned to perform a yearly inspection with a functional check of

the complete drive and control system. Although a reduced failure rate applies for most
components during the "normal open" position o f the barrier, the contribution o f the
inspection interval to the total failure probability soon appeared to be too high.
A shorter inspection period, one month or maybe a couple of months, was therefore
unavoidable.

Mission Time

The average mission time for the calculation of the failure probability consists of the
following elements:
9 Inspection interval, 1 month (730 h), so the average is 365.0 h.
9 Floating out the sector door from dock position to mid-river position, 0.5 h.
9 Submerging the sector door till landing operation, 2.0 h .
9 Landing on the sill, 10 rain, = 0.17 h.
9 Closing period, depending on various storm conditions, average 20.0 h.
9 First part of rising the door from the sill, 10 min, -- 0.17 h.
9 Emerging the door to floating level, 2.0 h.
9 Floating in the sector door from mid-river position to dock position, 0.5 h.

So altogether the mission time amounts to 390.5 h. (rounded).

Calculation of Failure Probability

The actual calculation of the failure probability was executed by a computer program
(LOGAN); this program was also used to perform various analyses; for instance a
sensitivity analysis [5].

~ (?2:

--[]

ff'J

~--~--
I I~ ~ ~ l /~ ~____f--L-~ ~ i

Figure 5- Fault tree

After the FMEA had been carried out and the fault tree was established, the first
computer runs were made. Because the results were not yet satisfactory, a number of
steps were taken; partly in sequence, and partly simultaneously. A close cooperation
between the hydraulic system engineers, the electric system engineers and the failure
analysis engineers was of paramount importance. By critically analyzing and discussing
the actual behavior of components and subsystems, a number of adaptations were
proposed; the associated calculations were made and the effects evaluated.
Some of the items that were investigated are:
9 Reduction factor for failure rate during stand-by or out of operation periods
9 Further refinement of the fault tree
9 Influence of variation in inspection-interval
9 Correct calculation of failure probability of components that are partly passive
and partly active during the mission time
9 Which components can be repaired or exchanged in a short time (during the
inspection interval) and how does this affect the failure probability
9 Where is (further) redundancy needed
9 Are generic failure rates to be used or can lower rates be shown to be realistic
The s proof that the required failure probability was reached demanded a lot of hard
work, skill and ingenuity of the people involved in the engineering process.

Repair Possibility

In the course of the inspection-interval, (some components are active; most of them
are in the "dormant" condition) certain failures might arise and not be revealed; only
during the actual testing of the system this will be detected and consequently repaired.
Failure of some redundant components/subsystems however will be detected by an error
signal in the PLC system. In these cases the redundant component takes over the
function and the other one can be repaired; where this possibility applies, repairs will be
done within 24 hours. In the repair period there will be a higher failure rate for this
subsystem because the redundancy is reduced or no more exists.
All these possible effects have been investigated and incorporated in the failure
probability calculation by the proper mathematical relations. Even the probability that a
maintenance-engineer will not be able to reach the storm surge barrier and execute the
repair, is part of the overall failure probability.

Special Considerations and Failure Aspects

As already described a number of adaptations were necessaryand special

investigations were made. The following paragraphs describe four examples.

Top Event "Door Not Closing or Opening"

The hydraulic system is dimensioned to fulfill the force and speed requirements in the
contract; this means that 6 hydraulic motors are needed to generate the specified force at
the rack of the sector door, and 6 hydraulic pumps are necessary to generate the flow for
obtaining the specified speed.
Now the question arises whether the drive system must be considered to fail if the
speed can not be reached, or if the maximum force can not be generated. If only a partial
speed can be reached, the door will still close or open, although it takes more time than
planned. A consensus with the customer was reached that only if the speed drops below
2/3 of the specified speed, this is considered as a failure. In the fault tree and the failure
probability calculation this means that a failure exists when 3 out of 6 pumps fail.
A similar consideration was used for the motors: detailed analysis of the available data
shows that the maximum force will only be needed during very small time intervals (due
to dynamic effects), and the sector door will only momentarily slow down its movement
a little bit if the hydraulic motors can not generate the force to overcome the peak
dynamic force. Shortly after this moment the required force will be lower again and not
all motors will be necessary to provide sufficient force. In addition to this the hydraulic
pressure may rise to a higher value than the "nominal" pressure and thus generate a
greater force.
These effects led to the conclusion that the definition of failure must in this case be
expressed by the statement: 3 out of 6 hydromotors fail.

Hydraulic Motor

A very important failure mechanism is the possible jamming of any of the six
hydraulic motors, because this occurrence might make the whole system inoperative and
thus lead to failure o f the barrier. Here redundancy does not reduce the failure
probability. For this reason much attention has been devoted to this aspect.
In the first place it was important that accurate failure data were available for the type
of motor to be used, and not be (solely) dependant on generic data from databanks. This
was possible because the manufacturer keeps a good historic record of the motors that
are used "in the field," of those that are returned for service and repair, and of the
problems that are encountered. This, in combination with the total number of motors and
the estimated operating hours, provided the evidence o f a very low failure rate; the
failure rate of actual or possible cases involving jamming was even considerably lower.
As mentioned above, this phenomenon is very important and therefore the few cases that
showed jamming or might have led to jamming were investigated in more detail. In
these cases the breakage of one o f the piston springs due to a material defect turned out
to be the cause of the trouble. Normally each batch o f springs is checked after
production by a random check o f 2% of the batch.
For this project it was decided to make a 100% material inspection of the springs. By
following this procedure the failure rate of jamming could be reduced by a factor 50 and
this resulted in the extreme low failure probability of less than 1 10"9.

Isolation Valves of Piston Accumulators

During "stand-by" operation (sector doors in the parking dock), the accumulators are
isolated from the closed circuit system by means of 4/2 directional valves (Figure 4).
Once the sector doors have been floated out to the mid-river position and they are
partially submerged, the spring constant Kz must be activated, (in addition to the
"natural" spring constant K0, which means that the isolating valves must be opened.
After the actual closing period of the storm surge barrier has ended, and the sector doors
are emerging to the floating position, the spring characteristic has to return to K1 by
closing the isolating valve of each accumulator.
The probability of the valve in failing to close is equal to that of failing to open ; but
the actual numerical values had to be reduced in view of obtaining the required overall
failure probability. For this reason the idea was to use two valves in series; this means
however that the probability of failing to isolate one accumulator is different from the
probability of failing to activate one accumulator:

e~i~ = e w ~ P v ~
and
Pn,a = P~no + Pvno
where:
Pnia : probability of not isolating the accumulator
Pnaa : probability of not activating the accumulator
Pvnc : probability of valve not closing
Pvno : probability of valve not opening

With Pvnc and Pvno in the order of magnitude 10-4 we find: Pnia -- 10-a, and Pn~a -- 2" 10-4.
The effect of not opening or not closing of this pair of valves was evaluated in order
to accept or reject the proposed modification of the system.

a) Effect of not opening of an isolating valve: this can be seen by comparing the spring
constant for 6 and for 5 "active" accumulators ( Figure 6).
Because the change in characteristic is acceptable for the operation of the barrier, the
end-effect was acceptable and would not lead to a failure of the system.

b) Effect of not closing of one of the isolating valves: in this case the change in spring
characteristic between 0 and 1 of the accumulators in active mode is shown (Figure 7).
This deviation of the desired characteristic was considered too large and would thus lead
to one of the top events "Spring characteristic not O.K."
Based on the foregoing considerations the original hydraulic system was adapted and
two accumulator isolating valves in series were used in each drive group.

0 I ' I

0 0.05 X(m) 0 . 1 0.15

F----------

Figure 6- Change in spring characteristic K2

t~ ............. NO ACCUMULATOR

4.
6 ///L_I ...... 1 ACCUMULATOR

0 i
0 0.05 0.I 0.15
X(m)

Figure 7- Change in spring characteristic K1

Positioning System

Although two redundant subsystems (each with a failure probability P1 = P2 = ~ , T m ,

failure rate times mission time) exist, the combined failure probability P1,2 = P1 " P2 still
had a too large contribution to the overall failure probability. This applies when both
systems are in the active mode. The first step to reduce this contribution was to keep
subsystem 2 normally in stand-by mode with an associated reduced failure rate of ~,/30,
and only activate this subsystem at the moment that subsystem 1 fails. Actual functional
failure of subsystem 1 can be detected by means of the sensors in the system and a
suitable subroutine in the PLC program. The combined failure probability Pi,2 could
now be reduced to 0.52 times the original value by reducing P2 with a factor 0.52 [5].
This follows from the following approach:
9 suppose subsystem 1 fails at time tl and subsystem 2 becomes active at that
moment, then:
9 probability that subsystem 2 has failed up to this moment:

P2.1 = (L/30) ' tl

9 probability that subsystem 2 fails (after tl ) up to the end of the mission

(t = Tm) :

Pz2 = ~, (Tm - h )

9 thus the total failure probability for subsystem 2 is:

P2 = 0d30) "tl + ~, (Tm - tl )

9 because tl may have any value between 0 and Tin, the total average failure
probability will be:

P2 = 1/Tm" S {(L/30) "tl + 7~" (Tm - h )} dtl

9
solving this integral between the boundaries 0 and Tm yields:
P2 = 0.517 3,' T m , as indicated above.
A further refinement and associated reduction in failure probability uses the
possibility that, when system 1 fails during the inspection-interval, system 1 can be
repaired and put back into operation. System 2 will then only become active during the
repair time of system 1 and at a later time only if system 1 fails during the actual
operation of the barrier, because no repair is possible during that period. Now the
combined failure probability can be reduced to approximate 0.10 times the original
value, due to a reduction in failure probability of system 2.
This is demonstrated hereafter:
9 suppose system 1 fails at time h, lying in the interval between 0 and (Ts - Tr )
(Ts is the start o f the barrier closing operation, and Tr is the repair time), then
the probability that system 2 fails is:

P2. : 0v/30) t l + )~ Tr + ()V/30) " {Tm - ( Tr + tl )}

this is presented graphically in Figure 8.

+l
I
I
I

--7/ I
I
+
I
,a TM

r5 Tm
ACTIVE
STANO-+Y 7-1 STAND-BY
t(h)

Figure 8- Failure probability P2a

9 suppose system 1 fails at time t l , lying in the interval between (Ts - Tr ) and
Tm, now the probability that system 2 fails is expressed by:

P2b = 0~/30) h + ~ ( Tm- tl )

Figure 9 shows this function graphically.

I
sz J

t
I
I

I
[

0 • ~ <
,~ STANO-BY ~A~TIVF

t(h)
Figure 9- Failure probability P2b

9 the average failure probability is found by the integral:

P2 = 1/Tin { 0~ Ts'~r {P2a } dh + vs-Tr ~Tm {P2b } dtl }.

9 solving this integral and rewriting the result yields:

P2 : )~ Tm {0.516 - 0.967 (Ts/Tm) + 0.967 (Tr/Tm) - 0.483 (Tr/Tm) 2 + 0.483 (Ts/Ym) 2 }.

9
actual values are: Ts = 365 h ; Tr = 24 h ; and Tm = 390.5 h, and thus we find:
P2 = 0.092 )~ T i n , which is about 10% of the original value.
This example shows that without changing the redundant system as such a substantial
reduction in failure probability can be achieved.

Automated Procedure for Monthly Inspection

It was already mentioned earlier that a regular, monthly, inspection is a necessity for
reaching the required failure probability value. The implicit assumption is that the proper
function of all components and subsystems can be checked during this test. It was rather
difficult to design a procedure according to which a functional check is possible, not
only due the relative large number of components in the system, but also because the
system must remain operational (stand-by operation, K3 spring characteristic).
After a suitable procedure had been found, it appeared that it would take many man-
hours to conduct the test, and that it was a full-time job for one man. This would not
only become a pretty boring job, but, more important, the costs involved would be far
too high. For this reason the testprocedure was semi-automated; now one man can do the
job for both sector doors in one day with the help of a dedicated software program
integrated in the electronics cabinet in the locomobile. He only has to press a few
pushbuttons and to supervise the automatic check-procedure o f the drive and control
system.

Conclusions

The present paper is based on experiences in this particular project and they lead to
the following conclusions:
* "Failure" o f a system must be carefully interpreted and then be defined in more
detail with the associated mathematical relations; it can not "simply" be defined
as "not performing according to specifications."
9 In cases where redundant components or subsystems exist, activation o f the
redundant component during the period that it is really required can assist in
reducing the failure probability o f a system; especially when repair is possible
during a part of the mission time, a further reduction may be realized.

9 Generic failure data from databanks were mostly used; however, the availability
of more specific data and a critical evaluation of the real operational conditions
can lead to a justified use of lower failure rates. This can tip the balance and
make the great difference between acceptance or rejection of a certain technical
solution.
9 In some cases it may be cheaper to add a few components to a system in order to
obtain the required failure probability than to make elaborate analyses, have
lengthy discussions and make various calculations to avoid adding these
components.
9 Although the hydraulic drive and control system basically is not very
complicated, the required extreme low probability of failure made it more
elaborate and it was a great challenge for all engineers to keep the system as
simple as possible and yet reach the final goal.

References

[1] N.N., "South Holland Fights Against High Waters at Three Fronts," publication
by Ministry of Transport, Public Works and Watermanagement, Holland,
Feb. 1993.

[21 Nederend, J.M., "Probabilistic Design of the Storm Surge Barrier in the New
Waterway, Holland, "Proceedings o f l3th ESREDA Seminar, "" Paris,
Oct. 1997.

[3] Fluks, M., "Hydraulische aandrijving sectordeuren Maeslantkering,"

Feasibility report, Hydraudyne S&E, 1 May 1991.

[4] Oetelaar, R. van den, Maas, W., Eijgel, C., "Failure Mode and Effects
Analysis," Engineering report 2-400796 A4, Hydraudyne S&E, l
Jan. 1996.

[5] Meulen, M.J.P. van der, "Faalkansberekening van de hydraulische

aandrijving van de sectordeuren van de Sormvloedkering Nieuwe
Waterweg," Failure analysis report, Simtech/Hydraudyne S&E, 1 Nov. 1996.

Hydraudyne S&E, P. O. Box 32, 5280 AA Boxtel, The Netherlands

Analysis of Failure Modes of a Military Hydraulic Fluid: MIL-H-46170

Reference: Mowery, R. B. and Purdy, E. M., "Analysis of Failure Modes of a Military

Hydraulic Fluid: MIL-H-46170," Hydraulic Failure Analysis: Fluids, Components, and
System Effects, ASTM STP 1339, G. E. Totten, D. K. Wills, and D. Feldmann, Eds.,
American Society for Testing and Materials, West Conshohocken, PA, 2001.

Abstract: The Army replaces the hydraulic fluids in its vehicles annually. A feasibility
investigation to determine if used military hydraulic fluid could be reused was conducted.
Samples of used fluid from military vehicles were collected, analyzed to
determine the physical and chemical properties, and compared against specification
requirements for new fluid. These fluids were then purified and retested to determine the
failure modes. Results showed that the ability to control foaming was the only property
that significantly suffered. Restoring the foaming resistance, and removing water and
particulate contamination returns the fluid to full specification performance. Adding anti-
foaming additive in the field is highly impractical because it is needed in such a low
concentration.
Virgin fluid is sufficiently robust in anti-foaming agent, that mixing one part of
virgin fluid to three parts of purified, used fluid would bring the mixture back to full
specification performance.

Keywords: military hydraulic fluid, contaminated fluid, decontaminated fluid, physical

and chemical properties, MIL-H-46170

Chemist, Fuels and Lubricants Technology Team, U. S. Army Tank-Automotive

Research, Development and Engineering Center, Warren, Michigan 48397-5000.
2 Senior Operations Research Systems Analyst, Analysis Division, Ofc. of the Asst.
Secretary of the Army, (Acquisition, Logistics and Technology), Headquarters,
Department of the Army, Washington, D. C.
Copyright by ASTM Int'l (all rights reserved); Fri Aug 31 00:20:19 EDT 2018
Downloaded/printed by
167
YanShan University (YanShan University) pursuant to License Agreement. No further reproductions authorized.
Copyright9 2001 by ASTM lntcrnational www.astm.org
168 HYDRAULICFAILUREANALYSIS

Introduction

The objectives~tl of the project were to:

9 Reduce the waste stream of Petroleum, Oil and Lubricant (POL) products of the
military establishment by recycling used military hydraulic fluid t2j.
9 Determine the availability of commercially technology that could successfully recycle
military hydraulic fluid.
Working fluids such as engine oils, greases, coolants and hydraulic fluids
customarily are not pure or simple fluids. They normally consist of one or more base
fluids (base stocks) to which one or more additives have been introduced. These
additives provide desired properties such as corrosion resistance, prevention of foaming
or oxidation prevention, not normally characteristic of the base stock. While the base
stock is not destroyed in use it is sometimes chemically altered and the additives may be
altered or used up, thus reducing the fluid's ability to perform properly. The degree of
this altered or depleted condition had to be quantified in order to determine the feasibility
of recycling the fluid. If used fluid could be shown to be restored to specification
compliance, then evaluation of commercial recycling technology could commence.

Background

The United States Army has thousands of vehicles and pieces of equipment that
use hydraulic fluid. For example, there are over 8,000 M1A1 Main Battle Tanks; each
one requires 23 gallons of MIL-H-46170 hydraulic fluid. Since most Army vehicles
change hydraulic fluid each year, the M1A1 fleet alone uses 184,000 gallons of hydraulic
fluid each year. As the fluid costs almost $10 per gallon and its disposal about half that,
it costs $2.8 million per year to fill the battle tanks and dispose of hydraulic fluid for this
one system. Thus, recycling the fluid, if feasible, would reduce both the waste stream
and considerable funds spent on replacement and disposal of the fluid.
The Army uses two kinds of hydraulic fluid in its fleet. MIL-H-46170, Hydraulic
Fluid, Rust Inhibited, Fire Resistant, Synthetic Hydrocarbon Base t3j, is a fire resistant,
synthetic fluid accounting for about 70 to 80 percent of the hydraulic fluid used. MIL-
PRF-6083, Hydraulic Fluid, Petroleum Base, For Preservation and Operationt41,is a
petroleum fluid used by those vehicles requiring a low temperature operating capability.
MIL-PRF-6083 costs $6 to $8 per gallon and disposal costs are the same as for MIL-H-
46170.
This study addressed the MIL-H-46170 Hydraulic Fluid only.

Technical Approach

The approach to this problem incorporated three steps. First, the condition of
used fluid had to be investigated. Second, methodologies for removing contaminants
were developed, and the decontaminated fluid tested against the specification. The third

step involved finding a method to return the fluid to specification performance and doing
so in a way that enabled soldiers to accomplish the task outside the laboratory [5].

Step 1. Used Fluid

Samples of used fluid from six different types of military vehicles were collected
at Aberdeen Proving Grounds, Maryland. These samples were analyzed to determine
their physical and chemical properties, which were then compared with the requirements
for new fluid. The physical and chemical properties of a composite of the six fluids along
with new fluid requirements are given in Table 1.

Step 2. Removing Contamination

The used fluid failed to meet nine property requirements. Of these nine
properties, only the flash point, fire point and foaming are not directly attributable to the
presence of contaminants. The cause of the drop in flash and fire points was not
determined. It is thought that the drop is most likely due to the presence of small
amounts of either a petroleum based hydraulic fluid (MIL-PRF-6083 or MIL-H-5606),
which have lower flash points and are fully miscible and compatible with MIL-H-46170
and or a cleaning solvent.
The method used in the laboratory to remove contaminants was straightforward.
To remove particulate contamination, the used fluid was centrifuged and decanted to
remove large and heavy particles. Then the fluid was filtered through 5-micron, then 0.8-
micron and through 0-45 micron filters until the particle count fell below specification
limits.
The procedure used to dehydrate the fluid was to heat it to 109 ~ C until the water
content fell below 500 ppm. A temperature o f 109~ C was sufficient to drive the water
offbut not stress the fluid thermally. While this procedure was effective but slow in the
laboratory for small quantities, it is not practical for dehydrating larger volumes in
maintenance facilities or in depot environments. The distillation temperature of 109 ~ C
was insufficient to remove all o f the admixed hydraulic fluids or solvent within the time
allotted in the laboratory procedure.
The properties of decontaminated hydraulic fluid are listed in Table 2.

Step 3. Returning the Fluid to Specification Performance

After removing the contaminants from the used fluid, the fluid still failed to meet
four requirements. The flash point of 208 ~ C met the requirement for Type II, but not for
Type I. It was 10 ~ C below specification limit and the fire point was 22 ~ C too low.
After the treatment, described immediately below, to bring the fluid into line with the
specification, the points remained 6 ~ C and 16 ~ C low respectively. These differences
were not considered significant in light o f the fact that there are other tests that enter into
the overall assessment o f vulnerability to fires in the equipment. These other tests such

T a b l e 1. MIL-H-46170 Properties- New and Used Fluid

Property Test Method N e w Fluid Used Fluid

VISCOSITY, in cSt A S T M D445 . . . . . .
@ 100 ° C (min) --- 3.4 3.6
@ 40 ° C (max) - - - 19.5 15.7
@ - 40 ° C (max) --- 2,600 2,506
@ - 54 ° C (max) - - - Report Not Measured
E V A P O R A T I O N LOSS, (max) A S T M D972 5.0% " 5.95%
FLASH POINT, ° C (min), I / A S T M D92 218/204 211
II
FIRE POINT. o C (min) A S T M D92 246 233
P O U R POINT, ° C (min) A S T M D97 - 54 < - 60
W A T E R WT. (ppm) A S T M D 1744 500 728
CORROSION/OXIDATION F E D E R A L TEST
STABILITY, 168 Hr @ 121 ° C M E T H O D 5308
Wt, change, m g / c m 2 + 0.2 PASS
Viscosity Change, % -5to+20 + 9.6
Acid No., Increase <0.3 0.22
A C I D NO., m g KOH (max) A S T M D664 0.20 0.25
E L A S T O M E R SWELL, FTM 3603
Percent
Nitrile 0-3 1.78

Fluorocarbon 0-1 0.46

Flourosilicone 0-2 2.04 : ::
Polyacrylate 0-2 1.44

Polyurethane --- 0- 1 0.37

NBR-L --- 15 - 25 NOT TESTED
P A R T I C L E C O U N T per 100 MIL-H-46170 . . . . . .
mL, (max)
5 -25 micrometers . . . . . 10,000 127,347
26 - 50 micrometers --- 250 32
51 - 100 micrometers . . . . . 50 2
Over 100 micrometers . . . . . 10 0
F O A M I N G , after 5 minutes A S T M D892 . . . . . .
blowing
@ 24 ° C, (max) . . . . . 65/0 180/0 ~ I
@ 93.5 ° C, (max) . . . . . 65/0 30/0
@ 24 ° C after 93 ° C, (max) . . . . . 65/0 60/0
F O U R - B A L L WEAR, A S T M D4172 0.65 m m 0.382 m m
40 kg, (max)
L O W TEMP. STABILITY FTM 3458 72 Hr @- 54 ° C. ,
GALVANIC CORROSION F T M 5322 10 Days, N O N E PASS
CORROSION INHIBITION A S T M D1748 100 I-It, N O N E PASS
NOTE: S h a d e d areas indicate failure to m e e t s p e c i f i c a t i o n r e q u i r e m e n t s .

Table 2. MIL-H-46170 Properties- New and Decontaminated Fluid

Property N e w Fluid D e c o n n e d Fluid

VISCOSITY, in CSt . . . . . .
@ 100 ~ C (min) 3.4 4.2
@ 40 ~ C (max) 19.5 16.4
@ - 40 ~ C (max) 2,600 2,494
@ - 54 ~ C (max) Report ---
EVAPORATION LOSS, Percent (max) 5.0% 4.36
FLASH POINT, ~ C (rain), Types I / II 218/204 ~ ~{~!
FIRE POINT. ~ C (min) 246 ,: ~:i~~ ;~224~ ~';~ii~;~:, ~
POUR POINT, ~ C (min) - 54 < -60
WATER WT. (ppm) 500 278
ACID NO., mg KOH (max) 0.20 0.15
CORROSION/OXID STABILITY, 168 Hr ---
@ 121 ~ C
Wt~' change, mg/cm ~ + 0.2 PASS
Viscosity Change, Percent - 5 to + 20 3.9
Acid No. Increase < 0.3 r,(~ ~~~~i:~ '~:~~ ~~N~.
: ~ ;:~
PARTICLE COUNT per 100 mL, (max) . . . . . . . .
5 -25 micrometers 10,000 1,257
26 - 50 micrometers 250 19
51 - 100 micrometers 50 1
Over 100 micrometers 10 0
ELASTOMER SWELL, Percent . . . . . . . .
Nffrile 0- 3 1.45
Fluorocarbon 0- 1 0.39
Flourosilicone 0- 2 ~:~ :~.~, ,~2~4~ ~, ~.~,e~
Polyacrylate 0- 2 1.44
Polyurethane 0- 1 - 0.26
NBR-L 15 - 25 Not Tested
PARTICLE COUNT per 100 mL, (max)
5 -25 micrometers 10,000 1,257
26 - 50 micrometers 250 19
51 - 100 micrometers 50 1
Over 100 micrometers 10 .... 0
FOAMING, ml, after 5 minutes l~low . . . . . .
@ 24 ~ C, (max) 65/0 ~7~........~ , ~ O i ~ : ~ y ~ e ~
@ 93.5 ~ C, (max) 65/0 30/0
@ 24 ~ C, after 93 ~ C, (max) 65/0 60/0
FOUR-BALL WEAR, 40 kg, mm, (max) 0.65 0.355
LOW TEMP. STABILITY 72 Hr @ - 54 ~ C PASS
GALVANIC CORROSION 10 Days, None PASS
CORROSION INHIBITION 100 Hr, None PASS
NOTE: Shaded areas indicate failure to m e e t specification requirements.

as autoignition temperature, hot manifold ignition temperature, high temperature-high

pressure spray ignition activity and flame propagation rate all are considered in
evaluating the vulnerability of a vehicle. Many vehicles and items of equipment
routinely use MIL-PRF-6083 or MIL-H-5606 which have flash points of 82 ~ C, much
lower than MIL-H-46170's 218 ~ C. For all the above reasons, the deltas from the
specification requirements in the flash point and fire point for the reusable fluid were not
deemed significant.
The foaming additive is a very small percentage of the overall quantity of the
fluid, less than one tenth of a percent. To measure such very small quantities outside the
lab would require precision instruments and require that a source of the additive be
available at the lowest levels. These requirements are obviously highly impractical. The
approach taken to restore the off-specification properties was to mix a quantity of new
(virgin) fluid with a quantity of recycled fluid. New fluid is readily available in the field
and the measurements have only to be approximate. Two mixtures were tested. A ratio
of 25% new fluid to 75% recycled fluid and a 50/50 ratio were checked to determine their
effects on bringing the recycled fluid back to specification performance. Both mixtures
brought the performance, with the exceptions of the flash and fire points, of the recycled
fluid to specification limits.
The flash and fire points remained low, but these small differences were not
considered significant as explained above. Since there was very little difference in the
effect of the 25/75 and 50/50 ratios, the 25/75 ratio was selected due it being more cost
effective.
A comparison of the effects of the 25/75 and 50/50 ratios is shown in Table 3.

Transition From Laboratory

Proving the feasibility of recycling hydraulic fluid and successfully identifying a

field-user friendly technique for bringing the recycled fluid back to specification
performance has been accomplished. The second objective of the project was to find
commercially available technology that could successfully recycle the used hydraulic
fluid. As the project evolved, finding this technology was not as straightforward as
anticipated. A notice was placed in the Commerce Business Daily seeking commercial
recycling equipment to recycle the hydraulic fluid. A test was conducted on all proffered
items of equipment. The test consisted of cleaning up and returning to specification
standards a batch of new hydraulic fluid that was doped with AC Fine Test Dust and 0.5
percent water. These contaminants were blended into the test fluid [6]. This test procedure
is fully defined in the User's Guide, Recycling Hydraulic Fluid. The removal o f test dust
proved to be no problem for the recyclers; all could successfully remove the particulate
material.
The water in the fluid proved to be the difficult part of the task. Due to the seal
swell esters in the fluid having an affinity for water, removing the water to specification
limits was a challenge that approximately half of the candidate recyclers could not meet.

Eventually, five recyclers were certified as b e i n g capable o f successfully recycling

M I L - H - 4 6 1 7 0 military hydraulic fluid tsJ.

Table 3. Performance of Recycled MIL-H-46170 Mixed with New Fluid

Property Specification 25/75 Ratio 50/50 Ratio

Requirement
VISCOSITY, in cSt . . . . . . . . .
@ 100 ~ C (min) 3.4 3.9 3.8
@ 40 ~ C (max) 19.5 16.4 17.0
@ - 40 ~ C (max) 2,600 2,473 2,183
@ - 54 ~ C (max) Report
EVAPORATION LOSS, %, (max) 5.0 3.84 3.30
FLASH POINT, ~ C (rain), I / II 218/204 212 210
FIRE POINT. ~ C (rain) 246 230 236
POUR POINT, ~ C (rain) - 54 < - 60 < - 60
WATER WT. (ppm) 500 324 342
ACID NO., mg KOH (max) 0.20 0.21 0.15
CORROSION/OXIDATION . . . . . . . . . .
STABILITY, 168 Hr @ 121 ~ C
Wt, change, mg/cm 2 _+0.2 PASS PASS
Viscosity Change, percent - 5 to + 20 - 1.34 - 4.42
Acid No., Increase < 0.3 0.13 0.21
ELASTOMER SWELL, Percent . . . . . . . . . .
Nitrile 0- 3 1.67 2.24
Fluorocarbon 0- 1 0.19 0.81
Flourosilicone 0- 2 1.62 1.91
Polyacrylate 0- 2 0.71 2.53
Polyurethane 0- 1 - 0.50 - 0.11
NBR-L 15 - 25 Not Tested Not Tested
PARTICLE COUNT per 100 mL, --- Not Necessary Not Necessary
(max)
FOAMING, 5 minutes blow . . . . . . . . . . .
@ 24 ~ C, (max) 65/0 55/0 55/0
@ 93.5 ~ C, (max) 65/0 30/0 30/0
@ 24 ~ C, after 93 ~ C, (max) 65/0 50/0 50/0
FOUR-BALL WEAR, 40 kg, 0.65 mm 0.34 0.37
(max)
LOW TEMP. STABILITY 72 Hr @- 54 ~ C PASS PASS
GALVANIC CORROSION 10 Days, None PASS PASS
CORROSION INHIBITION 100 Hr, None PASS PASS

Recycling in the Field

Recycling in the field, depending on the local conditions, can either be done a
vehicle at a time or in batches. Vehicles with large hydraulic reservoirs would be feasible
for recycling individually. For smaller reservoirs, it would probably be more efficient to
collect and recycle a batch of approximately 40-50 gallons. Smaller capacity recycling
machines would be more efficient at individual vehicle processing; larger machines could
better handle larger batches. Recycling time is dependent more on the contamination
condition of the used fluid than on the throughput capacity of the recycling machinery.
The technology or method used by the machine is also a factor in the time to recycle a
given batch of used fluid.

Results of Other Studies

Another study [7] evaluated MIL-H-6083 Hydraulic Fluid to determine the

in-service use limit for self-propelled artillery. This study found much the same results of
use of this fluid as with the MIL-H-46170 involved in this recycling effort. The fluid
became very contaminated in use but the physical and chemical properties remained
pretty much intact. This study was terminated before the evaluation was completed
because the vehicles involved were deployed to Southwest Asia during the Gulf war.
Therefore no definitive results were achieved.

Conclusions

9 The physical and chemical properties of military hydraulic fluids with the
exception of the anti-foaming ability are little affected by normal use.
9 The anti-foaming additive can become depleted in normal usage.
9 Recycled military hydraulic fluid can be returned to specification performance by
adding one part new fluid to three parts of recycled fluid.
9 There is commercially available technology that can recycle military hydraulic fluid.

References

[ 1] Purdy, E. M., Rutkowski, D. M. and Sterling, F. D., Recycling MIL-H-46170

Hydraulic Fluid to Extend Fluid Service Life, US Army Tank-Automotive
Research, Development and Engineering Center Technical Report No. 13619,
March 1995, p. 1.
[2] MIL-HDBK-118, Military Handbook: Design Guide for Military Applications of
Hydraulic Fluids, 1993, p. 1-9.
[3] MIL-H-46170, Hydraulic Fluid, Rust Inhibited, Fire Resistant, Synthetic
Hydrocarbon Base.
[4] MIL-H-6083, Hydraulic Fluid, Petroleum Base, For Preservation and Operation.

[5] Purdy, E. M., Rutkowski, D. M.and Sterling, F. D., Recycling MIL-H-46170

Hydraulic Fluid to Extend Fluid Service Life, US Army Tank-Automotive
Research, Development and Engineering Center Technical Report No. 13619,
March 1995, p. 2-4.
[6] User's Guide, Hydraulic Fluid Recycling,, US Army Tank-Automotive Research,
Development and Engineering Center, May 1997, p. A-2.
[7] Van Brocklin, C., Determination of MIL-H-6083 Hydraulic Fluid In-Service Use
Lirnitsfor Self-Propelled Artillery, US Army Belvoir Research, Development and
Engineering Center Technical Report, No. 2512, September, 1991, p. 3.
[8] User's Guide, Hydraulic Fluid Recycling,, US Army Tank-Automotive Research,
Development and Engineering Center, May 1997, p. 10.

WEAR PARTICLE ANALYSIS

Reference: Poley J., "Wear Particle Analysis," Hydraulic Failure Analysis: Fluids, Compo-
nents, and System Effects, ASTM STP 1339, G. E. Totten, D. K. Wills, and D. Feldmann, Eds.,
American Society for Testing and Materials, West Conshohocken, PA, 2001.

Abstract: Many industrial plants feature varieties of gearboxes and hydraulic systems that are
amenable to lube analysis monitoring, in addition to vibration testing. Typical 'basic' packages,
however, don't always provide a window to fully assess machinery condition. One reason is
because medium to slow speed rotating units often do not generate very small [<5microns]
wear particles proportionate to large. If the large particles are not monitored, failure may occur
without prior warning, if only basic lube analysis is in use. Wear particle analysis, e.g., ferro-
graphy, on the other hand, addresses these larger particles. In the case of ferrography or patch
analysis, microscopic analysis is available to observe particles directly. Pictures can be taken,
as well, as visual support of the Evalutor's conclusions.

Keywords: Oil oxidation products, Uv-based Spectormetric Testing, Micropatch, Rotary

Particle Deposition, Particle quantifier, Direct-Reading Ferrography, Analytical
Ferrography, Wear Particle Analysis

CTC Analytical Services Inc., 6619 S. Dixie Highway,Unit 303, Miami, FL 33143,USA;
E-mail:[email protected]

Copyright by ASTM Int'l (all rights reserved); Fri Aug 31 00:20:19 EDT 2018
Downloaded/printed by
179
YanShan University (YanShan University) pursuant to License Agreement. No further reproductions authorized.
Copyright9 2001 by ASTM International www.astm.org
180 HYDRAULICFAILUREANALYSIS

Background

"Oil Analysis" has existed for the better part of this century; however, it was in
the late 1940s that the notion of Wear Particle Analysis [WPA] was introduced into the
routine inspection-testing suite. UV spectrophotometers were adapted to the analysis of a
handful of wear metals, e.g., iron, copper, lead, chrome, silver; metals typically found in
railroad diesel engines, from whence this technique emanated.

The process was relatively tedious compared to today's automated, rapid-yield

instrumentation: photographic film was inserted into a cassette within the "spectrograph",
the sample arc-excited, the film developed and, finally, analyzed with a densitometer to
determine types and concentrations of elements in the lube sample.

Today's instruments can analyze 20+ elements in less than a minute in continuous
mode, attended by personnel with only a high school education, whereas the original
technique probably yielded 30 analyses per man-day at best, this with a qualified chemist.

It is easy to see, therefore, why spectrometric analysis became so popular: it was

inexpensive and highly effective overall, particularly in the reciprocating engine world in
which it was born. From the railroads this technique spread to the military, beginning
with naval aircraft, then into the commercial realm where it is well ensconced, and
continues to gain favor as maintenance managers become more concerned with
preventive and predictive technology and non-destructive testing [NDT] methods to
accomplish these ends.

As far back as the first military use of spectrometric analysis, however, it seemed
certain that less overall effectiveness was achieved for such componentry as high speed
gears and, more notably, gas turbines. It took some years before it became obvious that
spectrometric analysis, as still practiced today, had inherent limitations in terms of
detecting particles with a size range much beyond 3 micrometers [microns]. Some
refractory materials, such as silicon dioxide, are probably not effectively measure beyond
1 micron, while other metals, such as elemental lead, might be detectable up to 10
microns [see Fig. 1], but 10 microns is the approximate limit for effective particle
detection and measurement via spectrometric analysis.

This limitation, as well as technology directions for parallel disciplines, led to the
exploration and adaptation of additional ways to perform WPA, which is particularly
necessary for ROTARY vs. RECIPROCATING systems. Rotary systems tend to produce
larger wear particles in far greater proportion to small [<5 microns] than do reciprocating
systems. Sliding wear dominance in reciprocating systems is the reason.

Techniques For Wear Particle Analysis

Uv-Based Spectrometric Testing [Rotrode Or Inductively-Coupled

Plasma/ICP Or Atomic Absorption] Irrespective of the individual compositional
constraints on the analysis of various materials, it was clear that UV spectrometric
analysis, no matter how cost-effective it would ultimately prove to be, would not be a
panacea for monitoring wear particles nor, for that matter additive depletion despite
analyzing for additive metals. The spectrometer detects metals, but doesn't aid in the
determination of the chemical or alloyed form of those metals, thus one cannot deduce an
additive's effectiveness merely by analyzing for a lube sample's phosphorus content, for
example. One finds there is phosphorus, but one doesn't know if it's effective or spent at
that point.

M icrons (I/.m) Inches Com ponents

0 5 0.000019 Ant=i-Friction B e a r i n g s
0 5 0 000019 Slide Bearings
0.5-1 .000019-.000039 Vane Pump -Tip of Vane
0 5- 1 000019-.000039 Coritrol Valve - D i s k Type
05-5 .000019- 000197 Pis:ton P u m p - V a l v e P l a t e to C y l i n d e r
05-5 000019 - 000197 G e a r P u rn p ( p r e s s ure l o a d e d ) - G e a r to S ide P late'
0,5-5 000019 - 000197 G e a r Tip to C a s e
1.4 0 000055 Serve Valve - Spool Sleeve IRadial)
1 --23 000039 000904 Control Valve - Spool Sleeve ~Radial)
1 --25 ,000039 ,000984 Hydrostatic Bearings
5--13 000197 000511 VaNe Pump - Sides of Vane
5 --40 000197 001575 P i s t o n Pure p - P i s t o n to B o r e ( R a d i a l ) ....
13 -40 000511 001575 Control Valve - Poppet Type
18 -63 000706 002363 S ervo V alve - F lapper W all ....
50 - 250 .001969 009843 Actuators
130 - 450 .005118 .015748 S e;rvo V a l v a - O rifice
130-10000 .005118 .393700 Contro~ Valve - Orifme

Fig. 1 - Typical clearances in hydraulic systems

One should not conclude that UV spectrometric analysis has a limited place in
hydraulic systems analysis but, rather, that it should not be the "key" test applied to
hydraulic systems monitoring. More often than not this test clarifies a situation indicated
by the following techniques and, in any event, is very cheap insurance for the high
frequency of usefulness it still provides.

Particle Counting

This technique is surely the most popular for monitoring hydraulic fluid particles,
and rightfully so. Again, because of instrument technology developments, a semi-
automated approach is available, virtually eclipsing the original microscope-based
method [U.S. Army method ARP 598].

Two types of semi-automated counting are most popular today: laser-based optical
interrupt and fixed pore dynamic pressure-differential systems. Laser-based units are
more plentiful at this time, but it remains to be seen where this technology is headed in
terms of practical applications.

There are numerous pitfalls in the particle counting environment, most notably
THE environment. Representative samples are difficult to secure since atmospheric
particles can enter the container before, during or after the sampling process, dependant
on the sampling technique employed. Further there are similar issues once the samples
has reached the analytical venue. Careless handling by a laboratory technician, unchecked
contamination of fluids used for sample dilution and other types of contamination
exposure will directly bias the count, usually upward.

Another area that is presently a hotly debated subject is the manner in which
particles are actually sized. One school preferred the longest chord approach, while
another made the assumption that all particles are spherical. In any event it has come to
pass t]~at optical particle counter standards are being re-written in terms of reporting
ranges for virtually the same analytical methods, primarily because the previously
available standard reference material, AC Fine Dust, is no longer available.

As frequently is the case in the used lube testing world, the issue is more of
academic than practical concern. The test tends to reproduce well, thus a scalar
relationship is always available, at worst-case scenario, and the scale can be adjusted to fit
the phenomena detected by the maintenance community when systems are performance-
diagnosed or inspected for wear.

One caveat to note about optical counting is that water contamination essentially
precludes an effective result; fine water droplets are, unfortunately, counted as if they
were particles. On the other hand, again tending toward the practical, a water-laden
hydraulic system, other than a product designed to contain water, is likely a non-
representative sample, or it is emblematic of a system with greater problems than a
routine particle count analysis can likely help resolve. Thus the system should probably
be resampled and/or decision-making techniques like analytical ferrography should be
employed.

Direct-Reading Ferrography [Drf]

DRF, the lesser of two "iron writing" techniques, is a magnetically based means to
arrive at a semi-quantitative approach to detecting iron, iron-based and/or magnetic
particles in the system's lube. The sample is diluted with a solvent to allow it to be
flowed through a glass capillary tube onto a magnetic block. The block possesses an
increasingly magnetic gradient over its surface such that magnetizable particles of
diminishing size are pinned progressively farther down the capillary tube in order to size-
orient them.

Two resultants are provided: "L" and "S", representing scalar values for Large and
Small ferrous particles.

Particle Quantifier [Pq]

An alternative to DRF, PQ is also a magnetic-based technique that can be

performed directly on the container in which the sample arrives, providing a
'concentration' resultant

Rotary Particle Deposition [Rpd]

A more quantitative approach to magnetic particle sizing than DRF, the resultant
patch can be weighed and/or viewed under a microscope, providing additional
morphology information not available with DRF.

Micropatch

This is a straightforward microscopic examination wherein the fluid is diluted and

passed by vacuum through a very fine filter patch, often 0.8 microns absolute. The
resulting patch will contain virtually all particles of interest, therefore it's a very complete
composite process, however, particles are not separated or organized in any sort of
fashion and, occasionally, evidence is hidden due to layering of particles. When
particulate levels are low, this test is particularly effective. A small pencil magnet beneath
the patch will cause it to flex toward the magnet when significant iron fines are present.

Analytical Ferrography [All

Almost certainly AF has proved to be the most effective technique for decision-
making in terms of taking equipment out of service [clearly a major financial
consideration]. AF builds on the DR-ferrography and RPD concept, but utilizes a
specially prepared slide with a groove down its horizontal axis in order to precipitate the
diluted lube sample in an orderly manner, ready for microscopic examination.

A magnetic gradient is again applied to the slowly moving fluid; however, gravity
allows other particulates to be precipitated as well. While non-magnetic particles fail to
precipitate in a perfectly sized and oriented manner, it is this very imperfection that
allows us to distinguish, say, between steel and an aluminum particles. Moreover there
are perhaps a dozen other particle types that will 'show' on the slide. As well there are
chemical and heat-treating techniques which allow further investigation of specific

particle types. One such example allows easy differentiation between cast iron and steel
simply based on color changes upon specific heat-treating 'challenge' temperatures,
directly accomplished with the slide being set upon a hot plate.

While the non-magnetic particles present less consistently, they are often
invaluable for deducing the cause of a particular wear condition.

Monitoring Hydraulic Fluids: Supporting The WPA

The objective of WPA is to assess machinery condition based on empirical
evidence, however, it is frequently useful to have in one's possession additional
peripheral inspection results:

Viscosity [ASTM D4451

Hydraulic systems generally maintain extremely stable viscosity. When there is a

significant change, something is definitely wrong. In hydraulic systems, the three most
common occurrences are:

1. Addition of incorrect oil, either upon charging the system, or with makeup fluid.
The viscosity might be lower or higher than specification, dependent on the
product mistakenly added. Oftentimes this situation is discernible when the
viscosity is considerably off grade, but no other testing parameters are out of
norm.

2. Oxidation*[see Infrared Analysis] of the lubricant, wherein the viscosity is

considerably greater [at least a fluid grade] than its new specification, or since
previous analysis.

. Shearing, or cutting of thickening polymers from sliding action within the system.
This phenomenon is mostly limited to multi-grade fluids whose viscosity
proportionally increases with temperature, providing the advantage of pumpability
at cold temperatures along with film strength at operating temperature. Mobile
units, such as off-highway equipment, utilize products with such polymers owing
to the environment, as well as the added convenience of utilizing the same product
in the engines [and sometimes the transmissions] powering that same equipment.

In contrast, plant hydraulics generally operate in a controlled and protected

environment, therefore such systems are correctly served with straight-grade products,
producing less chemistry and maintenance issues in the long run. Long lubricant life
in these cases is not unusual, provided contamination is contained.

Total Acid Number [TAN] [ASTM D664]

This test addresses all acid-acting materials in a lubricant, therefore, it does not
necessarily pinpoint specific situations readily, unless viewed against additional testing
evidence, such as viscosity or infrared analysis. For hydraulic fluids, TAN is most useful
in corroborating evidence of oxidation. On rare occasions a high TAN will also indicate
acidic environmental conditions where acids are sometimes used in manufacturing
processes, and where molecules of such acids are inherent in the plant atmosphere. While
pH of a lubricant is difficult to determine, this is one instance where a very low pH can be
inferred to be indicative of direct strong acid contamination, either by environmental
ingestion, or lubricant mishandling.

Infrared Analysis

There are varieties of methodologies and instrumentation for infrared spectral

inspection of lubricants, however, virtually all techniques applied to used lube analysis
look at oxygen inclusion [oxidation]. In some specific instances, additive depletion
monitoring may also be a viable objective.

Most commercial providers of lube analysis report in Absorbance Units [AU].

Much of the time the AU values are normalized [by some multiple of 10] and rounded to
create a whole number, making it easier to present and evaluate the results. Most such
providers usually report AU deviation from the new fluid starting point, i.e., ifa new fluid
has an oxidation band value of 2, and the used fluid reading is 36, the reported value will
be 34 [AU].

*Oxidation is a deleterious condition which renders the lubricant increasingly less

capable of performing its primary function as an anti-friction medium. If a hydraulic
lubricant is oxidized there is clear evidence that excessive temperatures were experienced
over a reasonably extended period. While not always true, it is not unusual for viscosity
to rise significantly in the wake of oxidation. TAN may also support an oxidation
scenario.

Evaluation: Composite results and reasoning

Select The Correct Testing Suite

Key Test: Particle Count

Optional or add-on: Micropatch
Optional or add-on: RPD

Supportin~ Tests: Viscosity, UV Spectro Analysis, Infrared Analysis, TAN, Karl

Fischer Water [D1789]

Test Sensitivity & Sample Oualitv

It is important to recognize the built in constraints that lube test data represent, A
lube sample is necessarily a non-homogeneous liquid, containing [perhaps] dissolved
additives, undissolved spent additives, particles of various composition and size floating
around, either due to their relative size or the viscosity of the fluid under test. At best one
can expect 5% deviation tolerances in sampling, and the same tolerances exist in the
testing process because sample homogeneity is still a factor within the sample container.
Finally, there are tolerances and limitations in the tests, themselves.

The main point: view test data with a full understanding of the variables, noting
not only the specific value for the test you're evaluating, but how much movement
constitutes 'play' in the sampling method, and sensitivity within the test versus a certain
change from one sample to the next [see Figs. 2,3,4,5].

Iron Aluminum Copper Phos Zinc Visc. 40~

34 9 32 550 610 68.7
43 9 42 600 670 67.9
52 10 441 650 630 68.9
60 lO 44 600 650 68.1
365 10 40 690 700 68.3

Fig. 2 - Suspicious test datum [no supporting findings]

Iron Aluminum Copper Phos Zinc Vis40~

34 9 32 550 610 68.7
43 9 42 600 670 67.9
52 10 41 650 630 68.9
60 10 44 600 650 68.1
365 10 40 350 23 32.5

Fig. 3 - Correlating Data > > Iron wear is likely from addition of incorrect product. The
additive package is different from previous samples, and the viscosity is half of 'normal'

Low High Med. Avg Std. 1- 2- 3-sigma

Dev sigma sigma

Fe 8 156 42 54 20 74 94 114
Cr 0 30 3 4 5 9 14 19
A! 0 43 5 7 9 16 25 34
Cu 5 104 17 20 11 31 42 53
Pb 4 88 10 12 9 21 30 39

Fig. 4 - Setting limits >> Statistical analysis can be used to determine alert level
flagging points based on typical practice

Hydraulic System - Particles Without Detectable Wear Metals Changes

Ilron Copper Silicon DRF "L" DRF "S" Particles Particles

(parts per million) >5 micron >15 micron
i|

7 7 8.9 5.3 2300 800

8 8 4 10.9 8.1 3400 1050
8 9 3 19.7 10.3 5000 2000
10 8 4 54.1 20.4 19500 7000
Comment: DR Ferrography suggests particles are wear-oriented

Fig. 5 - An example of a wear problem signified by particles and DRF, but not supported
by UV Spectro metals

Based on the previous analytical data, an analytical ferrogram is advisable, producing the
results in Figs. 6 and 7:. Now it is relatively easy to make a decision to remove the
equipment from service and inspect for abnormal wear and contamination entry sources
[seals, etc.].

1 O0 micrometers ~-

Fig. 6: Severe sliding wear from pump gear material

1O0 micrometers

Fig. 7: Refractory particles [silica and ferrous oxides] are readily identified under
polarized illumination

Combining Other Forms Of Non-Destructive Testing

9 Vibration:
Mis-aligmnent precedes wear
Abnormal readings can trigger WPA
9 Thermography, Ultrasonics:
May isolate the trouble spot

Improving The Evaluation Process Through Computing

9 Programming focused on Evaluation

Expert Systems >> Artificial Intelligence
Feedback mining
9 Computers powerful enough to near-instantaneously sift through volumes of data
Live trending based on selectable constraints
Ancillary lookups and comparisons for alternative scenarios
Increasingly sophisticated particle imaging and analysis, including image-
matching algorithms

Conclusion

It is clear that particle analysis, particularly WPA, has been an important adjunct
to the routine fluid analysis scenario. So much additional information can be gleaned,
WPA has changed the testing and evaluation process into a far more revealing inspection.
One expects that the WPA platform will be substantially augmented as more powerful
image analyzing techniques are available.

It is equally clear that other forms of NDT: vibration and thermography, for
example, add significant value and enhancements to the fluid inspection. Accordingly we
should find the maintenance community increasingly employing multiple NDT
disciplines to provide them with the best odds toward achieving near-100% equipment
utilization.

Bibliography

1. Rowe, C.N., "Lubricated Wear", Handbook of Lubrication, Booser, Ed., CRC Press,
Boca Raton, FL (1984).

2. Fitch, J. C., "Maximizing Fault Detection in Rotating Equipment Using Wear Debris
Analysis", Oil Analysis Magazine, Tulsa, OK (1999)

3. Poley, J., "Oil Analysis for Monitoring Hydraulic Systems, A Step-Stage Approach:,
Lubrication Engineering, Park Ridge, IL (1990)

Problems and Possibilities with Bottle Sampling for Assessment of Particle

Concentration

Reference: G. C. Svedberg, K. Sundvall, "Problems and Possibilities with Bottle

Sampling for Assessment of Particle Concentration", Hydraulic Failure Analysis:
Fluids, Components, and System Effects, ASTM STP 1339, G. E. Totten, D. K. Willis, and
D. Feldman, Eds., American Society for Testing and Materials, West Conshohocken, PA,
2001.

Abstract: Reliable assessment of particle concentration is important for the condition

monitoring of fluid power systems. Good filter efficiency and low contamination levels
usually imply well working systems. But what should be regarded as low or acceptable
levels? Historically bottle sampling has been the reference method for assessment of
particle concentration. Recently more and more commercial equipment for on-line
connection is available. Many times there is a difference between the two methods, so the
question rises: Can we rely on these new on-line methods or is it the bottle sampling that
is not good enough for modem, well filtrated fluid power systems?
Sending bottles to different laboratories very often gives different results. This is
of course not satisfying. In Scandinavia there are several laboratories that perform particle
counting of bottle samples from hydraulic and lubricating systems. Eight of these
laboratories formed a group with the aim to produce results with better reproducibility.
Good results were achieved on a round robin with MIL-H-5606 hydraulic fluid and
standard Air Cleaner Fine Test Dust (ACFTD). Unfortunately similar round robin results
from some systems in service with other fluids were completely different. The
concentration was far higher compared with on-line measurements and the spread was
very large.
The conclusion is that bottle sampling can be very accurate and reliable if the
contaminants are standard test dust at high concentrations, with suitable fluids. Good
applications can then be filter testing or automatic particle counter calibration. In ordinary
fluid power systems, with good filtration, it seems to be very difficult to achieve relevant
results.

Keywords: hydraulic fluid, contamination control, particle counting, particle

concentration, bottle sampling, on-line sampling

l Present address: Binol AB, SE-374 82 Karlshamn, Sweden, [email protected]

2 Royal Institute of Technology, Dept. of Machine Design, SE-100 44 Stockholm,
Sweden, [email protected]
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SVEDBERG AND SUNDVALL ON BOTTLE SAMPLING 191

1.0 Background

Reliable assessment of particle concentration in lubricating and hydraulic oils can

often be difficult. The method used can be manual or automatic particle counting. With
manual counting particles from the fluid are collected on a filter membrane and then
counted under a microscope. This procedure is time-consuming and expensive. The
advantage is that particle analysis under a microscope can also be qualitative. Automatic
particle counters take less time and are more convenient, but they give no information
about particle quality. The only information provided is number of particles and size
distribution. However, this information is often sufficient. Automatic particle counters
were earlier used only in the laboratory for the analysis of bottle samples. Today portable
automatic particle counters are often used in the field and connected directly to the
systems. Very unusual and surprising results have been reported, when automatic particle
counters connected on-line have been used. [1-3]. Since there are many opportunities to
introduce errors with bottle samples taking the equipment to the field and doing the
analysis on-site, is a step in the right direction. Nevertheless there still is a need for using
bottle sampling for the assessment of particle concentration in lubrication and hydraulic
fluids. The objective of the work presented here is to develop procedures for the
treatment of bottle samples and calibration routines for automatic particle counters among
different laboratories in Sweden and in Norway. The objective is to reduce the difference
in results between the laboratories using automatic particle counting equipment.
Automatic Particle counter equipment consists of a sensor and a light source
perpendicular to the flowing sample. Opposite to the flowing sample is a phototransistor,
which sends out an electric signal proportional to the received light. A particle providing
a reduction in light will produce an electric pulse from the phototransistor. The amplitude
of the pulse is a measure of the particle size. The signal is compared with a reference
signal in an electrical circuit. If the signal from the sensor is higher than the reference
signal then a digital pulse is generated. Another electrical circuit counts these pulses.
Several references and counters are used in order to get information about the particle size
distribution.
Lack of knowledge and carelessness will cause deviations in the result. Bottle
samples must be treated with great care if the result is not to be affected in the end and the
equipment must be calibrated according to standard procedure. This work has been
limited to equipment with light scattering and light blocking principle sensors.

2.0 Particle counts on prepared bottles

The bottles were shaken by hand for at least 5 minutes. Then they were treated in
an ultrasonic bath for a maximum 30 s in order to eliminate air bubbles. The bottles were
cleaned in well filtrated (0.45 p.m) naphtha. The cleanliness was checked according to
ISO 3722 [4]. Procedures for cleaning the apparatus and checking the sensor flow rate
were also developed.
Calibration procedures were conducted according to a simplified ISO 4402 [5].
The shorter procedure has been developed among the laboratories and was certified
according to ISO 9000. A simplified calibration procedure is preferred among the users
of particle counters. A fast check that can be conducted in a standard time is necessary
for the quality of the results. The method should not be too complicated or time

consuming to perform. The most important

deviation from the standard is that no sensor Table 1: Coding level of
coincidence limits were tested. The contamination according to 1S0
manufacturer data was used and only up to 60% 4406
Number of particles per Code
of that value was allowed. The coincidence
I00 ml greater than
problem occurs at high particle concentration, indicated size
when several particles occupy the optical Lower limit Upper limit
window at the same time significantly often. The 1000000 2000000 21
measured output from the system is a reduced 500000 1000000 20
250000 500000 19
number of smaller particles and an increased 130000 250000 18
number of larger particles. 64000 130000 17
32000 164000 16
ISO 4406 [6] is an international standard 15
16000 32000
method for coding level of contamination by 8000 116000 14
solid particles in hydraulic fluids. According to 4000 8000 13
2000 4000 12
the standard, values shall be for particles greater 1000 2000 11
than 5p.m and 15gtm. These values shall also be 500 i 1000 10
250 500 9
coded according to a logarithmic scale. In Table 130 ' 250 8
1 the conversion from counted particles per a 64 130 7
specific volume to the standard code has been 32 64 6
16 32 5
given. This coding according to the standards 16 4
has become more and more common for its 3
convenience. 2
1
When comparing results, a better
resolution is preferable. This can be achieved by
a decimal representation of the codes in ISO 4406. This can easily be accomplished by a
mathematical formula

l~176 +1
0.3
where N is the particle concentration in number of particles per 100 ml
This formula will not fit exactly to the ISO 4406 coding. However, the deviations
are very small, and will usually have no practical importance.

2.1 MIL-H-5606 hydraulic fluid prepared with 1 mg/L ACFTD

Bottles were prepared by the KTH laboratory and sent out to the other laboratories
in the group. A concentration of 1 mg/L ACFTD test dust was added to a MIL-5606
fluid. Table 2 shows the result from one of several rounds. The procedures had then been
improved among the laboratories to an acceptable level. Still laboratory 2 had small
deviation due to unclean surrounding air, which were corrected and the result was
improved. Laboratory 6 had a problem with unrealistic low 15 p.m particle concentration
levels. The reason for this problem was not determined. The ideal corresponding ISO
class for 1 mg/L is 17/14. Only with one exception, the deviation is within one class for
both particles greater than 5 p.m and greater than 15 p.m. The experience was that the
used automatic particle counters were very stable. Only small adjustments calibration
levels were needed during the 9 years the calibration group worked together.

Table 2: Result from calibration round robin of bottle samples with MIL-H 5606fluid and
I mg/L ACFTD.
Laboratory Particle Particle >5~tm >15pm
concentration for concentration for deviation deviation
particles greater particles greater from ideal from ideal
than 5 ttm than 15 ~tm ISO 4406 ISO 4406
ISO 4406 coding ISO 4406 coding coding coding
17.7 14.5 0.0 0.0
1 18.0 15.1 0.3 0.7
2 18.4 15.2 0.7 0.8
2 18.7 15.6 1.0 1.1
2 18.2 15.1 0.5 0.6
2 17.8 14.5 0.0 0.1
3 17.8 14.6 0.1 0.1
3 17.7 14.5 0.0 0.0
4 17.6 14.4 -0.1 -0.1
4 17.7 14.4 0.0 -0.1
5 17.7 14.5 0.0 0.0
6 18.4 9.7 0.7 -4.8
KTH 1 17.9 14.6 0.2 0.2
KTH 2 17.7 14.7 0.0 0.2
Ideal ACFTD 17.7 14.5 0.0 0.0

Table 3: Results from a round robin on a A CFTD prepared sample with high
concentration
Laboratory Dilution ~Particle Particle >5ttm >151~m
factor concentration concentration deviation deviation
for particles for particles from ideal from ideal
greater than 5 greater than ISO 4406 ISO 4406
Ipm 15 ttm coding coding
ISO 4406 ISO 4406
coding coding
1 20 21.5 18.3 1,1 1.2
2 10 21.4 17.9 1.0 0.8
3 11 21.7 17.9 1.3 0.8
4 10 21.0 17.9 0.6 0.8
5 5 21.0 17.8 0,6 0.7
6 10 21.0 17.9 0.6 0.8
KTH 20 21.0 17.9 0.6 0.8
Microscope --- 20.1 18.3 -0.3 1.1
count
Ideal for 12.5 --- 20.4 17.1 0.0 0.0
mg/L ACFTD

2.2 ISO VG 68 Hydraulic fluid prepared with 12.5 mg/L A CFTD

This sample was an ordinary mineral b a s e d hydraulic fluid prepared with standard
test dust (ACFTD). The reason w h y samples with as high particle concentration as 12.5
m g / L A C F T D w e r e included in the round robin series was that these samples should be
above the coincidence limit for the sensors. Dilution o f these samples was necessary to

get accurate results. The results in Table 3 shows that the dilution routines work well
within the laboratory group. The deviations from the ideal particle concentration
according to the ACFTD test dust are small even here.

3.0 Particle counts on bottle samples from the field

During the same time, the bottles from ordinary hydraulic systems were sent out
to the laboratories as well. The purpose was not to choose particular systems known as
problem systems. The objective was to select just ordinary systems with mineral based
hydraulic fluid. Some of these samples were also compared with manual counts made
under microscope according to ISO 4407 [7] and with an on-line connected automatic
particle counter.
Before the samples were taken from the systems the sampling points were flushed
a considerably long time in order to reduced the influence from remaining dirt in the
sampling points. Approximately 100 liters of fluid were extracted from the sampling
points. The samples were taken in large vessel. The vessels were carefully cleaned
(before the sampling) and powerfully shaken (after the sampling). They were then
portioned out in different bottles, which were sent out to the different laboratories.
Usually the samples are diluted before particle counting. Diluting fluids used are
some low aromatic naphtha (aliphatic), or thin naphten based hydraulic fluids.

3.1 Oil sample from an industrial hydraulic system with an 1S0 VG 46 hydraulic fluid
Since this sample was taken from a field system, it is only possible to compare the
results with each other and it is not possible to determine deviations from the true value in
the system. One of the laboratories had a significant higher particle concentration for
particles greater the 5 p,m. The performed microscope particle count indicated
significantly lower particle concentration. There was no obvious explanation to this
observation. See Table 4 for the results from this sample.

Table 4: Results from an industrial hydraulic system with an ISO VG 46 hydraulic fluid

Laboratory Dilution factor ISO code

1 6.7 17/15
2 4 17/13
3 11 19/13
4 10 17/14
5 2 17/12
6 7.5 17/14
KTH 20 17/14
Microscopecount 15/12

3.2 Oil sample from a mobile hydraulic system with a ISO VG 32 with a V1 improver.
This fluid was rather new. It had only been running for 175 h in the system. The
fluid was mainly intended for out door use in the northern regions, hence the mineral base
fluid contains a VI-improver additive. The result from this system is shown in table 5.
This time, greater deviations were observed among the samples analyzed by the automatic
particle counters. The difference between maximum and minimum was 4 classes here for
particles greater than 5 p.m and 3 classes for particles greater than 15 ~tm. The samples
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SVEDBERG AND SUNDVALL ON BOTTLE SAMPLING 195

were treated with different fluids for dilution, which can be an explanation to the
deviations. Even the different dilution factors used can be an explanation. Some white
diffuse spheroid particles from this sample were observed under the microscope.

Table 5: Results from a mobile hydraulic system with an 1S0 VG 32 mineral based
fluid with VI-improvers
Laboratory Dilution factor ISO code
1 5 19/16
2 16 16/12
3 30 19/13
4 5 19/12
5 I0 16/13
6 4 20/14
KTH 20 17/13
Microscope count by 16/12 & 17/14
lab 2 & KTH

3.3 Mineral based hydraulie fluid from an industrial system.

According to the oil manufacturer, this fluid only contained a small additive
package. Three bottles from this system were sent out to each laboratory. The results
from the round robin on this system are shown in Table 6. Once again the deviations are
large. The difference between maximum and minimum was 7 classes for particles greater
than 5 ~tm and 6 classes for particles greater than 15 ~tm. As these samples were analyzed
without dilution and all within the same week the explanation to the deviations must be
due some other reason. However, the observed particle concentrations were lower than
from the other systems.

Table 6: Result from bottle samples taken from an industrial hydraulic system with a
mineral based la draulicfluid.
Laboratory Bottle 1 Bottle 2 Bottle 3
1 14/11 14/11 14/12
2 16/12 15/12 14/10
3 14/11 14/12 16/13
4 10/8 12/10 13/9
5 14/11 14/12 14/I 1
6 17/12 15/12 15/11
KTH 13/10 14/12 14/10
Microscope 12/7 13/8 13/9
count

3.4 Samples taken from a small test system in the KTH laboratory
The objective with this sample was to investigate the ability among the
laboratories to handle clean samples. The requirements of accurate routines increase with
the cleanliness o f the samples. The system from which the samples were taken was a
small system with 6 litres of an ordinary and very common mineral based hydraulic fluid
without VI-improvers. The system consisted of a centrifugal pump circulating the fluid
through a 3 ~m filter. Samples from this system were extracted into well cleaned bottles.
Cleanliness was controlled according to ISO 3722 and it was found that the sample
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196 HYDRAULICFAILURE ANALYSIS

bottles contained less than 50 particles greater than 5 lam. An automatic particle counter
was connected on-line to this system. This equipment was connected for at least 24 h
while the filter was cleaning up the system. When the sampling was made the particle
counter indicated a concentration below ISO 4406 code 1 (the lowest).
The result from this round robin was very poor. It really shows the difficulties
that can happen with bottle samples for particle counting. The content o f the samples
were observed on filter membranes and checked under microscope. One of the
laboratories received a sample that covered the filter membrane with a thick yellow layer
from some precipitation from the fluid. This precipitation was easy to see without a
microscope. However, no metal like particles could be observed under the microscope.
Attempts to heat the fluid to 65 ~ gave no significant effects. Even experiments with
different types of dilution fluids were conducted but again with no significant
improvements. The results from the different laboratories can be seen in Table 7. It is
remarkable that only the bottles that were sent out to the other laboratories and not the
KTH laboratory itself observed these problems. The bottle samples analyzed at KTH
showed low particle concentration even if they were not as low as the on-line measured
cleanliness of this system.

Table 7: Samples from a small and well filtrated circulation system with an ordinary
mineral based hydraulic fluid
Laboratory ISO code Remarks from the laboratories
1 19/15 The sample had settlings
19/16 Gel layer visible on the membrane after filtration
Did only report unreasonable results
20/13
5 19/9 Turbid sample
6 22/12
23/13 The sample was diluted due to the high concentration
KTH 11/9 Analyzed one day after the sampling
12/10 Analyzed during the same week as the other labs
12/10 Stored in the freezer for one week
APC on-line 0/0

What happened to these samples during transport could not be determined. The
hypothesis that it could have something to do with low temperatures during transport is
regarded as unlikely. One of the samples at KTH was stored at -18 ~ during 1 week and
showed no signs of any increased particle content. The sampled did not contain high
water concentration. The samples were even analyzed by IR and compared with the
manufacturer's reference. No significant differences were found so the samples were
unlikely to contain other chemical contaminants or products from oxidation of the fluid.
All efforts to find an explanation failed.

3.5 Hydraulic system for fatigue testing of mechanical structures

This system was a large system with a separate filter circuit. The fluid in the
system was a mineral based ISO VG 46. This time the system fluid cleanliness was even
measured with an automatic particle counter connected on-line. The used equipment was
in fact manufactured for laboratory use, but the location o f this system was suitable to use
it. The sampling points were rigorously flushed before the connection o f this measuring
equipment. Directly after the connection the observed particle concentration was high,
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SVEDBERG AND SUNDVALL ON BOTTLE SAMPLING 197

but dropped fast. The on-line automatic particle count is shown in Figure I. When the
particle count is made with on-line connected equipment many of the error sources can be
avoided. Measured concentration for particles greater than 5 and 10 ~tm is shown in the
Figure 1. The concentration is extremely low compared to what can be achieved with
bottle sampling. If this is the normal situation or not in a fluid power system can
impossible be concluded from this investigation. There are some other reports, which
show that even other industrial hydraulic system can be very clean. [1, 3]

Figure 1: Particle concentration for particles greater than 5 and 10 l~m in an industrial
hydraulic system, measured with an automatic particle counter connected on-line

i0000.0
"14

i000,0

9I0 I

NUMBER OF i00.0
pARTICLES 0
PER i00 ml --[i}--- > 5 u m
GREATER THAN 4 ~ C > ==- > 1 0 u m
INDICATED 4
SIZE \ o

0.i /
0 20 40 60 80 I00 120

TIME (min)

Bottle samples taken from this system were sent out to the laboratories in the
calibration group. This time the bottle sample analysis can be compared with the on-line
particle count made at the same time. The results are shown in Table 8. Again there are
large deviations between the laboratories. One sample KTH analyzed shortly after the
sampling showed a much lower concentration. If this difference really is due to the fast
analysis is impossible to say as it has only been observed once. However, it really
indicates how difficult it is to take and analyze particle concentration in hydraulic systems
with bottle sampling.

4.0 Conclusions

The conclusion from this work is that automatic particle counting of bottle
samples can be a sufficiently reliable technique only when it is used with suitable fluids
and at high particle concentration. At very high particle concentration, dilution of the
sample is necessary before automatic particle counting. This can be an error source itself,
but if it is done carefully, it will usually not be a problem. This means that there is no
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198 HYDRAULIC FAILURE ANALYSIS

Table 8: Bottle sample analysis resultsfrom a hydraulic system for fatigue testing of
mechanical structures
Laboratory ISO code Remarks from the laboratories
1 16/13 Undiluted
13/11 Diluted with toluene
16/13 Diluted with naphthene based oil
16/13 Diluted with naphtha
2 15/11 Undiluted
16/12 Diluted with naphtha
16/12 Diluted with naphthene based oil
3 15/9 Undiluted
16/12 Diluted with naphtha
14/11 Diluted with naphthene based oil
4 13/11 Undiluted
13/11 Diluted with naphthene based oil, 2 times
13/12 Diluted with naphthene based oil, 10 times
15/11 Undiluted
17/13 diluted with light petrol
15/11 Diluted with naphthene based oil
14/9 Undiluted
15/11 Diluted with a MIL-H-5606fluid
15/11 Diluted with naphthene based oil
KTH 10/7 analyzed 10 min after sampling, undiluted
14/11 analyzed during the same time period as the others, undiluted,
15/12 Diluted with naphtha
14/11 Diluted with naphthene based oil
APC on-line 1/0 After the sampling point had been flushed with appr. 120 L

problem using this technique with prepared bottles for calibration of automatic particle
counters or for filter testing systems. Standards for filter testing require MIL-H-5606
fluid, which seems to be a suitable fluid according to the tests made within this work.

Then test dirt is added at very high concentrations, which will increase the
accuracy, hence problems with the bottle sampling will be less likely when doing filter
testing. Dirt sensitivity testing o f components at high particle concentration can also be
under good control using bottle sample technique.
This study shows that the oil samples from the selected hydraulic systems could
not be assessed with the desired precision regarding the particle concentration. These
systems were not selected on the basis that they were of any particular problem. The
objective was rather to find systems that were representative for hydraulics in general.
The deviations between the laboratories were too large to be acceptable for the samples
from the hydraulic systems. As the samples with the calibration fluid were acceptable,
the explanation must be that the hydraulic fluids from the selected systems in this study,
were not suitable for bottle sampling. Precipitation after the sampling, and particles with
very different properties compared with the test dust (ACFTD), may have caused the
problems.
In order to eliminate as much of the errors as possible, an automatic particle
counter was connected on-line to one of the analyzed systems. After rigorous flushing of
the connection points, extremely low particle concentrations were observed. All the
bottle samples in this study were far from these results. This means that the observed
particles in the bottles may not be relevant for assessing the contamination situation in the
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SVEDBERG AND SUNDVALL ON BOTTLE SAMPLING 199

system. The majority of the particles have their origin from handling procedures during
the sampling, and the analyzing, or just storing of the samples. Portable equipment that
can be connected on-line seems to have better ability to give relevant information about
the contamination control of the system.
One should keep in mind that the bottle sampling technique for assessing the
cleanliness in hydraulic systems has been used over the world for many years. The
guidelines for cleanliness of hydraulic systems of today are based on that experience. The
results from this investigation show that this experience, really, is highly questionable.
The increased use of portable for measuring fluid cleanliness on-line can give us a
complete different picture if they are used in the right way. The results from this new
technology should not be compared with experience based on bottle sampling. The
consequence can be that systems are regarded as clean, at particle concentrations which
cause severe damages to the system. Fateful errors in judgement of the fluid cleanliness
can be the case.
This study shows that there is a need for a lot more research regarding assessment
and dirt sensitivity problems of hydraulic systems. It is very likely that problems due to
contaminants are much more common than we think, due to irrelevant and unreliable
techniques that have been used. This research is necessary in to assess problems due to
contaminants in hydraulic fluids or to determine adequate actions and thereby, increasing
the usefulness of and reduce the costs of hydraulic fluid power systems.

5.0 Acknowledgement

The following laboratories contributed to this work: Alfa Laval Materials AB,
Vattenfall Utveckling AB, Colly Filtreringsteknik AB, Volvo Construction Equipment
Components AB, CSM Materialteknik AB, Statoil Smrrjmedel AB, WEST LAB Services
A/S.

6.0 References

[ 1] Radzikowski P., "On-line Monitoring of Contamination Level in Hydraulic Oils,"

Operational Reliability and System Maintenance, Holmberg K. and Folkeson A., Eds.,
London: Elsevier Applied Science, copyright 1991, ISBN 1-85166-612-5, p. #207.
[2] Rinkinen J., and Kiiso T., "Using Portable Particle Counter in Oil System
Contamination Control," Third Scandinavian International Conference on Fluid Power,
LinkSping 25.26 May 1993, p. #309-328.
[3] Svedberg, G.C. "Using an Automatic Particle Counter On-line Extreme Low
Contamination Levels Can be Detected in Fluid Power Systems," Tourth Scandinavian
Conference on Fluid Power, 26-29 Sep. 1995, Tampere Finland, p. #759-774.
[4] "Hydraulic fluid power - Fluid Sample Containers - Qualifying and Controlling
Cleaning Methods," ISO 3722:1976.
[5] "Hydraulic Fluid Power - Calibration of Automatic - Count Instruments for Particles
Suspended in Liquids - Method Using Classified AC Fine Test Dust Contaminant," 1SO
4402:1991.
[6] "Hydraulic Fluid Power - Fluids - Method for Coding Level of Contamination by
Solid Particles," ISO 4406:1987(E).
[7] "Hydraulic Fluid Power - Fluid Contamination - Determination of Particulate
Contamination by the Counting Method Using a Microscope," IS O 4407:1991 (E).
Copyright by ASTM Int'l (all rights reserved); Fri Aug 31 00:20:19 EDT 2018
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Brian J. Roylaneel

Wear and Wear Debris in a Changing World

Reference: Roylance, B. J., "Wear and Wear Debris in a Changing World,"

Hydraulic Failure Analysis: Fluids, Components, and System Effects, ASTM STP 1339,
G. E. Tot-ten, D. K. Wills, and D. Feldmann, Eds., American Society for Testing and
Materials, West Conshohocken, PA, 2001.

Abstract: Hydraulic machinery and devices - key components in modem plant

operations - are subject to wear and failure of one kind or another. The principal wear
processes are described in conjunction with the creation of associated debris. The
opportunities available for exploiting debris analysis techniques in pursuit of wear
research is discussed against the background of some recent experimental test results.
Their utilization as part of current and future condition-based maintenance programs is
considered in the light of the ongoing changes occurring in relation to maintenance
practice.

Keywords: hydraulic failure, l~iction, lubrication, wear, wear debris, condition-based

maintenance

Friction, Lubrication and W e a r - Basic Issues

The long-standing and wide usage of hydraulic equipment such as pumps, valves and
actuators to control industrial processes continues to be implemented in many different
ways. Notwithstanding improvements in design, better use of materials and surface
technology, coupled to enhanced quality control procedures, there remains numerous
potential and real causes of failure - several of which are wear related. An illustrative
example is that of a high speed, high pressure hydraulic pump in which, of fourteen
component failures listed, ten are directly wear-related causes of failure (Table 1). It is
also instructive that all but one of them involves simple sliding motion - the single
exception is fatigue spalling occurring in a rolling element bearing unit [1]. In terms of
cause and effect issues, it is not only components that are involved; wear may occur as a
consequence o f system effects, such as the mode of lubrication. There are a number of
ways in which the problems highlighted in Table 1 could possibly have been avoided.
These include: better design, better housekeeping procedures, and also through use of
appropriate condition monitoring techniques. Regarding the latter, particle counting has
long been established as a means for monitoring contaminant levels in hydraulic oil
systems. It is essentially a pro-active methodology designed to avoid the onset of severe

i Senior Lecturer, Department of Mechanical Engineering, University of Wales

Swansea, SA2 8PP, UK.
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ROYLANCE ON WEAR AND WEAR DEBRIS 201

abrasive wear of key components within a hydraulic system. Another commonly

encountered monitoring technique- vibration analysis, is used to monitor dynamic-related
behaviour such as motion instability. This method can also be utilised to detect the
existence of a fault prior to the subsequent damaging effects of wear. However, it will
also be called upon to respond reactively when it senses a dynamic change in
performance as a direct consequence of wear. In this context, the function of wear debris
analysis methods is to detect the onset of wear and then monitor its progress towards
failure until such time that maintenance action is scheduled. In addition to trend
monitoring, diagnostic capability is available through carrying out analysis of debris
morphology to determine the type and location of the wear in the system.
In this paper the primary issues relating to wear - geometry, motion, friction and
lubrication are described, followed by a brief overview of what constitutes wear debris
analysis and how it is being utilised in industry generally. Additionally, reference is made
to some current research that is directed towards enhancing knowledge and understanding
of wear processes and how the associated debris is classified.

Table 1 - Wear-relatedfailures in a high speed, high pressure hydraulic pump

Component Failure mode Observations

Tilt plate Wear/jamming of sliding Incorrect oil used
surfaces

Pressure Wear & excessive leakage Contaminated oil

compensator control

Main shaft Wear Very gradual

Control piston Wear & seizure Contaminated oil - 2

failure incidences
Auxiliary pump Wear & leakage Not serious - possibly OK

Gerotor (gear with Wear & bearing break-up Gradual wear only
plain bearing)

Manifold (plain Cavitation/erosion & break-up of Serious inlet problem

bearing) bearing

Cylinder barrel Cavitation/erosion & wear Correct dimensioning will

prevent problem occurring
Main pistons Wear, scoring, blockage Contamination
Roller bearing Wear, spalling & break-up ........ Lubrication fault

Wear

The tribological factors at work in the contacts of interacting surfaces are,

fundamentally: the load being transmitted between them, the relative speed and type of

motion, and the contact geometry. Wear is a consequence of loaded contact involving
relative motion in which surface material is removed in the form of debris. Relative
sliding motion induces instantaneous removal o f material through scratching, ploughing
or material transfer (severe wear - dry rubbing; scuffing (or scoring) - lubricated contact).
Rolling motion induces a surface fatigue "wear" phenomenon
that is a function of time depending on the level and frequency of cyclic stresses incurred
in the contact.
Wear phenomena are usefully described and defined in terms of "modes"
(manifestations) and "mechanisms" (underlying causes) [2]. The geometry, coupled to
the motion of some key hydraulic components, is related to their respective wear modes
and mechanisms (Figure 1). It is important to note that the cause and effect issues
described here are largely confined to wear arising as a consequence o f physical
phenomena. In hydraulic systems, corrosion and chemical-corrosion are also very
pervasive phenomena. It is necessary in such circumstances to distinguish between wear
resulting from external corrosive influences and that due to chemical reactions occurring
within the contact. The latter results as a direct consequence of lubricant and/or additive-
based reactions caused by friction-generated temperature effects. These are quite
complex issues and are outside the scope of this paper.

COMPONENTS
Conformal Counterformal

/ors
Mild wear Severe wear Scuffing Fretting Pitting

Adhesion Abrasion Fatigue Oxidisation Electrical Erosion

Figure 1 Wear modes and mechanisms related to hydraulic component applications

[Conformal contact geometry is represented by low stress, sliding contacts,
such as plain bearings. Counter-formal contacts are high stress rolling-
sliding contacts such as," e.g., rolling element bearings]

Abbreviated descriptions of the principal mechanisms are tabled below (Table 2 [3]).
Indications of the surface appearance and wear particle types associated with each
mechanism are represented in Table 3 [4].

Table 2 - Principal wear mechanisms

Mechanism Description
Adhesion Occurs in sliding, lgiastic deformation -junction growth.
Failure occurs at contact junction leading to metal transfer -
notably during running in and when high friction thermal effects
cause local 'welding.
Abrasion Two-body- 'hard' asperities abrade softer contacting surface.
Three-boa)~ - 'foreign' bodies, or hardened wear particles, abrade
surfaces as they pass through the contact
Delamination Asperity-asperity contact- fracture process resulting from repeated
cyclic loading.
Softer surface becomes smoother and cracks nucleate in sub-
surface leading to formation of thin laminar sheets.
Harder surface experiences cyclic loading inducing plastic shear
deformation.
Pitting fatigue Occurs mainly in rolling contacts due to repeated cyclic loading.
Development of cracks at maximum shear stress position. Also at
surfaces due to surface defects and material impurities.
Sub-surface fatigue - spalling ( chunky particles)
Surface-initiated fatigue - pitting or micro-pitting occurs.
Fretting Surface damage due to oscillatory slip motion under normally
applied loading. Initially, adhesive asperity contacts formed and
junctions fracture. Loose particles become oxidised causing
abrasive wear.

Lubrication

The extent and nature o f the interaction also depends on the type and nature of
lubrication employed in the contact. For components lubricated by oil or grease, the main
categories, or 'regimes of lubrication' are universally termed "boundary", "mixed",
"elastohydrodynamic" and "hydrodynamic lubrication" [5]. The two latter regimes
function according to the laws of continuum mechanics; boundary lubrication is bound up
in the laws of physics and chemistry, in which a mono-layer thickness of lubricant is all
that separates the surfaces.
Coherent separation is achieved as a fimction oftheload, speed and geometry combining
to create films which are of the same order, or greater, than the combined roughness of
the opposing surfaces. A measure of the level of separation achieved, known as the film
thickness ratio, is def'med as A = h/oc - where h is the central film thickness in the
contact, and ererepresents the combined surface roughness.
Full film separation is achieved for A values >3; A<I indicates that contacts are entering
boundary lubrication. For values between 1 and 3, the regime of lubrication is termed the
'mixed' regime; i.e., a mixture of separation and asperity interactions.

Table 3 - Wear surfaces and particle types

Type of wear Worn surface appearance Wear debris characteristics

Mild wear Uniform loss of material - slight Fine particles <10 microns thick
surface roughening
Adhesive Tearing and transfer of materials Largely irregular particles,
from one surface to another > 10 microns, fully oxidised.
Two-body Harder surface - little damage. Consists mainly of softer
abrasion Counter-surface exhibits material, (e.g., f'me swarf)
scratches, grooves. unoxidised material.
Softer surface - contains Contains material from harder
embedded hard particles - surface containing unoxidised
possibly scored/grooved, material. May also exhibit softer
corresponding with hard material in lump form.
embedded particles in counter-
face.
Three-body Surfaces exhibit deep grooves or Fine, may contain some
abrasion scratches. unoxidised together with loose
abrasive metal.
Fretting Surfaces heavily pitted: pits may Fine, fully oxidised, containing
be small, or larger producing ferric oxide (Fe2 03)
roughened surface area; oxidised Some spherical particles may be
appearance. evident.

The distinction between hydrodynamic and elasto-hydrodynamic lubrication is

determined on the basis of the level of deformation under load coupled to the effect of
film pressure on the lubricant viscosity. Hydrodynamic lubrication applies when the
surface remains essentially riw and only moderate hydrodynamic film pressure is
generated; typically < 5MN/m. Elastohydrodynamic lubrication (ehl) is more likely to
occur under counterformal contact conditions, typically experienced in rolling element
bearings, gears and the like, where the pressures are so much higher, typically >IGN/m 2
and elastic deformation occurs. Hydrodynamic films are normally >0.25p, m; for ehl, the
film thickness is more typically 0.025 to 2.5p,m.
The regimes encountered in some common applications, such as hydraulic and rolling
element bearings, (Figure 2) reveals the opportunities that exist to minimise wear-related
distress and thereby achieve extended component lives [5].

Friction

Friction is related to the regime of lubrication (Figure 2). However, its magnitude for a
given normally applied load depends on whether the shearing action occurs entirely
within the lubricating film (hydrodynamic or ehl), or at the solid surfaces. Friction
behaviour in the hydrodynamic or ehl regimes offers the best opportunity to minimize
energy losses. The friction coefficient, p, under these conditions might be expected to be
in the range 0.06 to 0.08. Under mixed lubrication, kt values in the range 0.1 to 0.2 are

more likely. In a severe sliding wear regime, friction coefficients in excess of 0.3 are to
be expected. Dry sliding contact between two steel surfaces yields friction coefficients
typically in the region of 0.3 to 0.7, depending on the presence or otherwise of a surface
boundary film.

Rolling Element
Bearings
Region of Region of
f ~ lubricatic~ poss~le
/ related surface
I_ I u ..u
~ i "1 "~ ~ surface distress for
' -~ ~ 10( distress bearings with
I o severe s l i ~

.o y ,,\ ] 6o
40
~ 20
I
I I I I I
Hydraulicmachine~,. 0.4 0.6 1.0 2.0 4.0 6.0 10.0
i" Film parameter (A)
t l l I
5 10 15
effective film thickness
Film thickness(A)
surfaceroughness
Figure 2 Film thickness ratio variation with coefficient offriction for
different applications

Wear debris analysis

The principal wear characteristics are - severity, rate, mode and source. The
opportunities to 'monitor' each characteristic using the information that can be
determined from performing analysis of the wear particles is generally confined to four
distinct features: quantity (concentration) (1), size (2), morphology (3) and composition
(4). The relationships between the wear characteristics and the associated debris may be
summarised as follows:
(1) (2) (3) (4)
Severity 9 9 9
Rate 9 9
Mode 9 9
Source 9

(1) & (2) are essentially quantitative parameters; (3) is primarily a qualitative feature, and
(4) may be determined using either qualitative (optical microscope inspection) or
quantitative (scanning electron microscope) methods.
To perform meaningful morphological analysis requires that a single protocol is agreed
and adopted by analysts. Following the invention of the ferrography method in the early
1970s [6) several wear particle atlases have been generated. Initially they were manually

derived [7, 8)]. More recently, computer-based technologyhas been adopted [9, 10].
Based on the first ferrography-based atlas [12] a common form of morphological
terminology is universally adopted Table 4.
Developments over the past twenty years or so in wear debris analysis techniques -
hardware and software, are reported in the literature [11-13]. The first requirement is to
"detect" the level of wear (severity), and its rate of progression using trend monitoring
methods based on wear debris concentration measurements. This can be undertaken using
'on-line' methods, but is more usually carried out by taking oil samples, or 'capturing'
the debris in the lubricating system, followed by processing and analysis using 'off-line'
procedures.
Table 4 Wear particle morphology - ferrography descriptors

Particle type Description

Rubbing Particles <20 microns chord dimension and approx. 1 micron thick -
results from pieces flaking off in the mixed shear layer - mainly benign.
Cutting Swarf-like chips of fine wire coils - caused by abrasive 'cutting tool'
action.
Laminar Thin, bright, free metal particles, typically 1 micron thick, 20-50 micron
chord width, with holes in the surface and uneven edge profile -
emanates from mainly gear/rolling element bearing wear, associated
with high cycle fatigue action.
Fatigue Chunky, several microns thick; e.g., 20-50 micron chord width.
Spheres Typically ferrous, 1-10 microns diameter - generated when micro cracks
occur under rolling contact conditions.
Severe Large, >50 micron chord width, several microns thick. Surface heavily
sliding striated, with long straight edges. Typically found in gear systems.

Until fairly recently morphological analysis has only been undertaken using off-line
methods. On-line methods are now being evaluated for monitoring of military ship-board
and ultimately, airborne installations [14] which are designed to be compatible with
methods used to detect and diagnose; e.g., solid contaminants [15],
US military policy in this area is to develop and provide full on-line capability for
monitoring debris compatible with other complementary techniques, such as oil analysis,
and vibration analysis [12]. The US approach is thus quite distinct from the present
deployment of monitoring technology for maintenance of European (UK and German)
and also Canadian Airforce aircraft [4].

Application
Wear research
There has been a considerable amount of research effort devoted to the study of
fundamental wear and associated wear debris; see, for example, the Proceedings of the
1991 Leeds-Lyon Tribology Symposium [16]. A requirement to establish a soitware-
based generic form of wear particle atlas afforded recent opportunity to study wear and
wear particle behaviour through conducting a series of tests using standard lubricant test

machines; the wear behaviour and morphological characteristics in relation to each

machine are summarised in Table 6.
Table 5 - Representative test conditions for three different types of test device

Test machine
Four ball machine Pin-on-disc machine Gear test machine
Test conditions

Motion
Sliding
Rolling
Sliding-rolling
Geometry
Point
Line
Conformal
Nominal 150 - 600 700-2100 350-1400
pressure
(MN/m 2 )
Sliding 0.25 - 1 OA - 10 2-12
i velocity (m/s)

Different materials and lubricants are tested to establish the influence of their properties
and characteristics in determining particle morphology.

Table 6 - Wear debris morphological characteristics vs wear behavior -Summary

Test machine
Four ball Pin-on-disc Gear test Wear condition
Ferrous free metal machine
debris
Rubbing 9 ~ ~ Mild abrasion
Sliding ~ ~ Severe abrasion
Severe sliding Scuffing
(adhesion)
Cutting Severe abrasion
Fatigue (chunky) Pitting fatigue
Fatigue (laminar) Low cycle
fatigue

More specific details of the morphological features associated with each condition are
presented (Table 7) in relation to size, shape and surface features.
Table 7 - Wear debris morphological characteristics: highly stressed counterformal
contacts, (steel)
" (Sliding) (Sliding) (Sliding) (Sliding) (Rolling) (Rolling) (Rolling)
Wear Mild Severe Severe Adhesion Pre- Pitting Fatigue
Mode abrasion abrasion abrasion (scuffing) pitting spall
(2 body) (3 body)
Debris (ball-on- (ball-on- (ball-on-
Features ball) ball) ball)
Size
Small
Medium
Large
Shape
Regular
Irregular
Elongated
Circular ~2
Surface
Smooth
Rough
Colour
Striations
Pits
Cracks

1 Rough edge, 2 Rubbing particles, 3 Metal surface, 4 Underside of particle.

Friction and wear testing using the pin-on-disc machine is, arguably, the most appropriate
laboratory-based test device to use for establishing knowledge of wear debris
morphology o f the type most commonly encountered in hydraulic machinery. A typical
test programme schedule is presented (Figure 3), which indicates the basis for correlating
tribological data with the resulting wear particle phenomena.
Condition-based maintenance
The care given to wear failure-prone plant machinery components has received
increasing attention in recent years. This is because, as machines become more powerful
and complex, the penalties for not adopting appropriate maintenance strategies are likely
to be extremely costly and will ultimately pose a threat to competitiveness and
profitability [18, 19]. Condition-based maintenance has the distinction that it makes
explicit use of monitoring devices to provide advanced indications of a fault developing
and the means to diagnose the source and cause of the problem. Various handbooks and
other literature exist in abundance which describe the vast array of techniques now
available in the market place and how to implement them; e.g., [12, 20]. Wear debris
analysis is one such technique [11]. Figure 4 illustrates schematically how a typical wear
debris analysis program may be implemented.

Figure 3 Test program and results schedule for pin-on-disc test machine

Operational Data Methodology

Aircraft Type Magnetic Detector Plugs
Engine No #542
4,
Wear Debris Analysis
Engine hours 542 4,
Data last smaple 12/4/99 Morphological Analysis
Size, shape, surface

Data Concentration Upperlimit

............................
Hours Debris Units
119 89
[
~ve limit
123 106
128 138
135 267
140 307
f
Morphology Analysis
0 20 40 60 80 100 120 140 16o
Comments e
Tim (hra)
Bearing skid intimated

Hours Particle Type

119 Pitting Faigue
Recommendations 123 Pitting Fatigue
[] No Action 128 Severe s
135 S e v ~ Sidin~
[] Increase Sampling 140 Severe Slidin~
[] Urgent Attention

Figure 4 - Implementation of a condition monitoring programme

Figure 5 depicts the way that wear debris analysis is used in conjunction with other
monitoring methods and information in a specific military aircraft maintenance sector to
provide the means for deciding what maintenance action to take and when it should be
carried out. In addition to preventing wear, there is also the expectation that it should be
possible to predict with some confidence the remaining useful life o f a failing component,
and also what sampling or monitoring intervals should be applied in each case. There are
some encouraging indications that applicable predictive models are becoming available
through combining data obtained from monitoring machinery with reliability data and
operational history [21].

Vibration Operational I [ Mainte~tance

9 Analysis . [ Status J I R~elti~ data

~l~y~s~s~i~y~s--~ ~ ee~ ~=~ S~esis~/~ -~ Re~e~mendafion

~
SOAP
Etc.
/
Performance
Monitoring
data

Figure 5 - Integratedform of condition-basedmaintenance of aircraft

Closure
The increasingly rapid changes taking place technologically, socially and culturally
since the end of World War 2 has had a marked impact on engineering design,
manufacture, operational procedures and maintenance scheduling. The greatest influence
has arguably been the phenomenal growth in the use of computers and the use of smart
sensors for controlling and also monitoring changes in machine performance, including
the deterioration of critical components. The use of condition monitoring devices and
procedures has increased steadily throughout this period, especially over the past ten
years. Vibration analysis continues to be the most commonly used on-site technique
throughout industry generally. Oil and wear debris analysis is more commonly
undertaken remotely by commercial laboratories. The aerospace industry has been one of
the largest investors in developing wear debris analysis techniques, especially in the
European sector. There are clear indications that in the United States there is a perceived
need to develop fast, smart, on-line systems in order to establish the means for
conducting wear debris and oil analysis remotely, evolving procedures which are also
ultimately compatible with other techniques such as e.g., vibration analysis,[22].
Whether the fruits of such endeavour are likely to be adopted by industry at large is not
clear because the requirements and priorities are so widely different. In industry generally
the main purpose in utilising condition monitoring techniques is primarily two-fold:
establish the source and cause of the problem, and specify the remaining useful life
before replacement or repair becomes necessary. Wear debris analysis is one of several
methods that are utilised for this purpose. In the context ofhydranlic machinery, perusal
of the published literature indicates that the justification for deployment of wear debris
analysis methods to monitor hydraulic machinery has yet to be proved in relation to the
wider use of particle counting and vibration analysis techniques.

References

[1 ] Hunt, T. M. "Condition Monitoring of Mechanical and Hydraulic Plant,"

Chapman and Hall, 1996.
[2] Williams, J. A. "Engineering Tribology,"
Oxford Science Publications, 1994.
[3] Roylance, B. J. "The Non-intrusive Detection and Diagnosis of Wear through
Debris Analysis,"
Novel Aspects of Tribology, Polish-British Seminar, 1998, pp. 17-30.
[4] Roylance, B.J. " Some Current Developments for Monitoring the Health of
Military Aircraft Using Wear Debris Analysis Techniques,"
Emerging Techniquesfor Machinery Health Monitoring, ASME TRIB-Vol.
7, 1997, pp. 55-60.
[5] Taylor, C.M., "Lubrication Regimes and the Internal Combustion Engine,"
Engine Tribology, Elsevier - Tribology Series, 26, 1993, pp. 75-88.
[6] Seiffert, W.W., and Westcott, V.C., "A Method for the Study of Wear Particles
in Lubricating Oil,"
Wear, 21, 1972, pp. 27-42.
[7] Bowen, E.R., and Wescott, V.C., "Wear Particle Atlas,"
Final Report, Naval Engineering Center, Lakehurst, N.J., 1976,
Contract No. NO 156-74-C- 182.
[8] Anderson, D.P., "Wear Particle Atlas - Revised,"
NavalArmy Eng. Center, 1982. Report No. NAEC-92. 163.
[9] Roylance, B.J., "Oil and Wear Debris Analysis - An Essential Component of an
Integrated Machinery Health Programme,"
Proc. Int. Conf. On Tribology, Yokohama, 1995, pp. 2005-2011.
[10] Ding, J. G., "A Computerised Wear Particle Atlas for Ferrogram and Filtergram
Analysis,"
JOAP Int. Conf., Mobile, AL., 1998, pp. 125-131.
[11] Hunt, T.M., "Handbook of Wear Debris Analysis and Particle Detection in
Fluids,"
Elsevier, London and New York, 1993.
[12] Roylance, B.J., and Hunt, T.M., "Wear Debris Analysis"
Machine and Systems Condition Monitoring, Coxmoor Pub. Co., 1999.
[13] Davies, A., (Ed.), "Handboo k of Condition Monitoring,"
Chapman and Hall, 1997.
[14] Tucker, J.E., et al" LASERNET FINES Optical Wear Debris Monitor,"
Proc. Int. Conf. On Condition Monitoring, Swansea, UK., Coxmoor Pub. Co.
1999, pp. 445-452.
[ 15] Day, M.J., "Condition Monitoring of Fluid Systems - The Need for a Systematic
Approach,"
Proc. Int. Conf. On Condition Monitoring, Swansea, UK.,
Coxmoor Pub. Co. 1999, pp. 487-505.
[16] Dowson, D. et al, (Eds), "Wear Particles: From the Cradle to the Grave,"
Proc. 18~hLeeds-Lyon Symposium on Tribology, Elsevier, 1991.

[17] Barraclough, T.G., Sperring, T.P., and Roylance, B.J., "Generic-based

Wear Debris Identification - The First Step Towards, Morphological
Classification," Proc. Int. Conf. On Condition Monitoring, Swansea, UK.,
Coxmoor Pub. Co. 1999, pp. 525-538.
[ 18] Toms, L.A., "Machinery Oil Analysis,"
Coastal Skills Training, Virginia Beach, VA., 2"d Edition, 1998.
[19] Rajan, B.S. "Cost Benefit Analysis of Condition Monitoring in Batch Process
Plants,"
PhD Thesis, University of Wales, 1998.
[20] B.K.N. Rao, "Handbook of Condition Monitoring,"
Elsevier Advanced Technology, 1996,
[21] Goode, K.B., "The Development of a Predictive Model for Monitoring the
Condition of a Hot Strip Mill,"
Ph. 1). Thesis, University of Wales, 1999.
[22] Green, A., "The Future Direction and Development of Engine Health Monitoring
Within the United States Airforce"
JOAPInt. Conf., Mobile, AL., 1998, pp. 1-6.

Advanced Strategies for the Monitoring and Control of Water Contamination in

Oil Hydraulic Fluids

Reference: Troyer, D. D., "Advanced Strategies for the Monitoring and Control of
Water Contamination in Oil Hydraulic Fluids," Hydraulic Failure Analysis: Fluids,
Components, and System Effects, ASTM STP 1339, G. E. Totten, D. K. Wills, and D.
Feldmann, Eds., American Society for Testing and Materials, West Conshohocken, PA,
2001.

Abstract: Water contamination, the scourge of hydraulic oil, increases wear,

promotes cavitation, depletes additives, degrades lubricant base-stock and enables
microorganism growth. This paper explores the various ways in which water
degrades hydraulic system reliability and suggests a program ofoil analysis that will
reveal to the diagnostician the nature and cause of the water ingress. This paper
emphasizes the art of simultaneously interpreting multiple oil and wear debris
analysis parameters to gain an understanding about the nature and severity of an
incident of water contamination.

Keywords: Water contamination, Rust, Corrosion, Wear, Hydrogen-induced wear,

Hydrolysis, Microbial growth, Target dryness, Water removal, water monitoring

Introduction

Water contamination, in its various forms, impairs the performance of hydraulic

systems and must, therefore, be effectively controlled to ensure mechanical
reliability and low cost of operation. Water contamination undermines reliability
efforts by simultaneously attacking the machine and the fluid. Below is a brief
review of the affects water contamination has on the machine:
9 Rust and Corrosion - Water rusts iron and steel surfaces and increases the
corrosive strength of acids that attack cupric, lead and other metal surfaces.
9 Vaporous Cavitation - Wear results when high vapor pressure liquids, like water,
become vaporous in low pressure regions of the system (i.e. pump suction lines,
spool valves, rapidly moving actuators, etc.) then collapse with a forceful impact
upon the surface of machine components.
9 Wear - Water contamination rusts iron and steel surfaces and facilitates acid
attack on other surfaces. When the attacked metal is rubbed away, nascent metal
is revealed and the process repeats. The effect of water contamination on the
total rate of wear is increased in the presence of solid particles that facilitate
abrasion to reveal uncorroded metal. Under elastohydrodynamic lubrication,

t Noria Corporation,2705 E. Skelly Dr., Suite 305, Tulsa, OK 74105

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TROYER ON WATER CONTAMINATION 215

dissolved water is forced into sub-surface component cracks where it is believed

to condense and cause rust and corrosion [1].
Hydrogen Induced Wear - Water is believed to diffuse readily into small surface
cracks of component material where it decomposes into atomic and molecular
hydrogen [2]. As described in Figure 1, atomic hydrogen is diffused readily into
the metal causing embrittlement. Likewise, some of the atomic hydrogen
reconvenes in cavities to form molecular hydrogen that can't diffuse through the
metal. The molecular hydrogen builds very high internal pressure, causing
blistering and distortion of the metal [3, 4].

WATER ORMOIST~RE

~ A T O M I C HYDROGENL WEAR

HYDROGENBLISTERING HYDROGENEMIBRII"lr'LEMEr
(Concentration ol hydcog~ (After ~etratJo., atomic
in vo~ ~ a s e ~ ~tessu~ hydrogelt'reacts tO |Ofm
also increases cracking) ~ t l e hydride r
a•d it~cea~,es craoking)

Figure 1. Hydrogen Induced Embrittlement and Blistering Caused by Water

Contamination (courtesy E.C. Fitch)

Water also causes significant damage to the oil and its additives, reducing its
effectiveness as a lubricant and producing acids and precipitants. Below is a
summary of the many deleterious effects water has on oil:
9 Hydrolysis and Oxidation - Water accelerates the rate at which base oils are
oxidized to form acids, sludge and varnish by-products, which obliterate flow
passageways, cause valve jamming and corrode metal surfaces.
9 Additive Depletion and Degradation - Numerous additives degrade in the
presence of water. Most notably, anti-wear additives like zinc
dialkyldithiophosphate (ZDDP) react with water to form hydrogen sulfide and
sulfuric acid. Many polar additives, once attached to water, settle with the water
to the bottom of the reservoir. This additive drop-out phenomenon is
colloquially referred to as "water-washing"[5].
9 Ice Crystallization - When ice forms in the oil, the system is subject to filter
clogging and valve jamming.
9 Microbial Growth - The presence water in warm climates promotes the growth
of microorganisms. These microbes live in the water and feed on oil
components, most notably emulsifiers, corrosion inhibitors and other additives
[6]. They cause filter clogging and when they die and decompose, increase the
presence of acid in the oil.

It is commonly said that oil and water don't mix. While the two substances are not
inherently miscible, oil and water do often coexist. Under varying circumstances, oil
and water coexist in the following states:
9 Dissolved - Water that is dissolved into the oil at a molecular level is called
dissolved water. Base-oil chemistry and condition, contaminants and the oil's
additive package determine the volume of water the oil will dissolve before
reaching saturation at a stated temperature. High aromatic content, high
viscosity, base-oil degradation, polar additives (i.e. detergents, anti-wear
package, etc.) and some contaminants increase the volume of water the oil can
dissolve before reaching the point of saturation.
9 Emulsified Water - When water is present beyond the oil's saturation point, a
state of supersaturation is said to exist. Sometime, water forms small droplets
formed by a shearing action are held in a stable-state colloidal suspension called
an emulsion. Emulsions form easily when the interfacial tension between the oil
and water falls below 25 dynes/cm [3], or when polar additives or contaminants
are present that hold the water in suspension.
9 Free Water - When free water separates readily upon the removal of shearing
action, or when it settles in puddles, it is called free water.

Some oils entrain water more easily than others, depending upon the base-oil used
and the additives used in formulation (see Figure 2). Highly polar additives like
detergents and dispersants inhibit oil/water separation. Likewise, as the oil ages,
polar breakdown byproducts increase the oil's propensity to hold water in suspension.
While all water contamination is deleterious to oil health and machine reliability,
emulsified water is widely believed to be the most dangerous.

Figure 2. Water Contaminated Oil - States o f Co.Existence

(Courtesy Noria Corporation)

Water enters the hydraulic system at those points at which the system interfaces
with its environment. Below is a review of the common water ingression
mechanisms:
9 Condensation - Oil that is exposed to moisture-rich air becomes saturated at
operating temperature. When the oil is subjected to a temperature drop, water is
condensed in a free form. This can occur globally in the system at shutdown
when the entire volume of oil cools. Or, it can occur locally in small cracks on
the surface of components where water condenses onto the relatively cool sub-
surface of components.
9 New Oil - New oil that is improperly stored often becomes contaminated with
water. Addition of the contaminated new oil during a change or top-off without
transfer purification contaminates the system. Water can enter the new oil as
condensate, free water where the oil is stored outdoors where it is subjected to
rain, or is where drums or bulk-storage reservoirs are subjected to wash-down
spray (especially high-pressure).
9 Cooler Leak - Coolers often leak due to erosion, chemical corrosion and elctro-
kinetic corrosion. When they do, a large quantity of water can quickly enter the
system. This situation is especially troublesome when the water is combined
with a glycol-based coolant because the glycol breaks down to cause sludging
and more rapid degradation of the oil [5].
9 Spray Contamination - When machines are exposed to rain, process spray or
wash-down spray, there is a risk of ingression past rod wiper seals and reservoir
gaskets.

Controlling Water Contamination

The merits of water contamination control being evident, attention turns toward its
control. There are three principle steps in achieving moisture contamination control:
1) Establish an appropriate target cleanliness level
2) Take action to achieve the target as defined
3) Monitor frequently to ensure maintenance of the target level

Setting Moisture Contamination Targets. The first step, establishing appropriate

target moisture content levels, should be driven primarily by economics. The benefits
associated with controlling moisture contamination should sufficiently outweigh the
costs so as to provide a reasonable return on investment.
Research on rolling element bearings, which operate primarily under elasto-
hydrodynamic lubrication, suggests that halving the fluid moisture level increases the
life of the bearing by roughly half-again over the "normal" life when all other
variables remain constant [7,8,9]. In other words, a bearing with a normal life of
1000 hours at 500 ppm water would last about 1500 hours by reducing the oil's
moisture level to about 250 ppm. Likewise, reducing water contamination to about
125 ppm would increase the same bearing's life to about 2300 hours of service (see
Figure 3).

110
100
O~ 9O
. m
80
. n
Appearance
70
E Cloudy
6O
5O
..J
4O
3O
~3
2O
.<
10
0 I I I I
0 0.05 0.1 0.15 0.2 0.25
% Water In Oil

Figure 3. Rolling-element Bearing Life vs. Water Contamination Level

(Oil Analysis I Course Book, Noria Corporation)

Other research on journal bearings, which operate under hydrodynamic

lubrication, suggests that halving the average water contamination level reduces wear
rate by about 20% (see Figure 4) [ 10]. For example, reducing the moisture level from
500 ppm to 250 ppm in a plain bearing would increase the component's life from
1000 hours to 1200 hours, on average. Likewise, decreasing moisture from 500 ppm
to 125 ppm would yield an increase in component life from 1000 hours to almost
1500 hours (see figure 4).

20 T 0 No Water
I>1%
is 0 2%
[] 5%
10

o , ,o

Figure 4. Journal Bearing Wear Rate vs. Water Contamination Level

(Oil Analysis I Course Book, Noria Corporation)

Hydraulic systems operate under both hydrodynamic and elasto-hydrodynamic

lubrication regimes, and are also typically at-risk for cavitation-related wear.

Research at the Nippon Mining Co., Ltd., in Japan, revealed a substantial increase in
hydraulic pump wear with the addition of just 500 ppm of water [ 11]. Two oils were
tested in 22 gpm vane pumps at 112 bar of pressure. Wear generation more than
doubled for oil X, and increased by orders of magnitude when oil Y was used (see
Table 1).

Vane Pumps - 22gpm,112 Wear (rag)

bar pressure Oil X Oil Y
Dry Oil 60 40
Oil with 500 ppm water 130 28,500
Table 1. Increased Pump Wear in the Presence of Water is Evident
(courtesy E.C. Fitch)

Water increases wear under both hydrodynamic and elasto-hydrodynamic

lubrication regimes. Due to variations in hydraulic system design, fluid type and
operating conditions (i.e. pressure), the relationship between water contamination
levels and wear rates would likewise vary for the systems. It seems reasonable to
deduce however that the effect of halving water contamination levels could reduce
wear rates by 20-50% for pumps and other hydraulic components subject to
triboligcal wear. Given that mechanical reliability is related to moisture
contamination levels, the question for the technologists becomes how much reliability
do you want to buy through moisture contamination control?
A good starting point for assigning moisture target levels is the equipment
supplier's manual, if such a recommendation is available. You should then adjust this
recommended level according to the following factors:
9 Safety Requirements - If a failure or repair of a failure places people at risk, or if
your organization's safety assurance requirements are stricter than normal for a
class of equipment, the moisture target should be adjusted downward.
9 Reliability Goals - If production losses caused by a hydraulic system failttre are
unusually high, or the expected duration of lost productivity caused by a failure
is abnormally high, adjust your target down.
9 Application Severity - If your machine is operating at the outer limit of its design
capability, adjust the target moisture level down.
9 Environment Severity - If the risk of moisture contaminant ingestion is higher
than normal, adjust the target down.
9 Repair Costs - Systems with expensive or hard-to-get parts, or those that are
difficult to repair due to lack of access or maintainability require tighter than
average moisture control.

A systematic approach for developing target cleanliness levels for moisture has its
roots in reliability-based maintenance (RCM). Start by evaluating the machine's
mission criticality using the Reliability Penalty Factor (RPF) calculator (see Figure
5). The RPF method rates the machine as a function of mission criticality, cost to
repair and effectiveness of any early warning systems, like oil analysis, that are used
to detect failures. While the RPF is systematic and it produces a number as output, it
is not truly quantitative. Pseudo-quantitative tools like the RPF calculator are most
accurate when they reflect the consensus of a representative group of organizational
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220 HYDRAULICFAILURE ANALYSIS

stakeholders. So, employ a Delphi-type method to produce RPF scores that represent
the collective opinions and experience of the stakeholder group.
Once the RPF score is defined, refer to the Hydraulic Target Dryness Table (see
Table 2) to arrive at a recommended target moisture level. The recommendations are
experience-based, and have proven useful for plant-level engineers. This target level
should serve as a starting point. Adjust these levels according to field conditions. If
200 ppm is easily achieved, it might be reasonable to push the limit down to 100 ppm
and so on. Conversely, if achieving 200 ppm seems unrealistic given available
technology, adjust the goal upward accordingly. Ideally, always maintain the water
contamination below the oil's saturation point. Economics should drive you moisture
contamination control efforts. Discontintie efforts when further control becomes
economically unviable.

Machine I.D.:
Date: ]

st of Downtimt
Hourly or Daily Downtime Costs (A)
Low Medium High ExtremelyHigh
0 1 2 3
Typical Length of Downtime (B)
Short II Ib Long
0 1 2 3 4

10 M a x ~

Figure 5. Reliability Penalty Factor (RPF)

(Courtesy Noria Corporation)
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TROYER ON WATER CONTAMINATION 221

Target Dryness Table (ppm)

Reliability Penalty Factor
Machine Type 1 2 3 4 5 6 7 8 9 10
Mobile Hydraulics - Mineral Oil 10000 5000 3000 2000 1000 750 500 400 300 200
lrldust. Hydraulics - Mineral Oil 4000 3500 3000 2000 1000 500 400 300 200 100
Phosphate Ester Hydraulic Fluid 2000 [1500 1250 1000 750 600 500 400 325 250

Table 2. Target Dryness

Achieving Moisture Targets. Once initial moisture targets that achieve reliability
and safety goals have been determined, take systematic steps to achieve them. As a
rule of thumb, it costs about 10 times as much to remove water as it does to exclude
it. Exclude water in the following ways:
9 New Oil Management - Store oil in an environment that minimizes the risk of
water contaminant ingress. Then, filter the oil through a moisture-stripping
device in advance of entrance into the system reservoir.
9 Reservoir Breathers - Much water enters the hydraulic system through the
reservoir vents. Sealing the reservoir from all access to the environment and
employing desiccant type breathers or expansion chambers protects the oil from
airborne moisture contamination.
9 Seal Management - Much contaminant enters the system via the hydraulic wiper
seals. Proper selection and good maintenance of these seals pays dividends
through reduced water ingress.
9 Boots and Shields - When components, particularly hydraulic rams, are exposed
to a frequent or continuous spray of water, boots or deflector shields can prove
invaluable in controlling water contamination.
9 Reservoir Design - Numerous reservoir design characteristics can influence the
oils water shedding characteristics. If the water is separated from the oil, ft is
easy to remove. Likewise, if the suction line is properly placed the risk of
exposing components high moisture contamination is reduced.
9 Cooler Maintenance - Keeping coolers well maintained reduces the likelihood of
leakage-related cooler ingress.

After exhausting efforts to exclude water, efforts must turn to its removal. Table 3
summarizes the relative capabilities of common water separation technologies.
Below is a review of these techniques:
9 Gravity Separation - Because water generally has a higher specific gravity than
hydraulic fluid (exceptions do exist), water tends to settle at the bottom of the
reservoir, given, sufficient resident time in a still environment. Elevating the
fluid's temperature and employing a conical shaped separating tank improves the
effectiveness of gravity separation. High fluid viscosity, oxidation byproducts
and polar additives and impurities inhibit the effective separation of oil and
water. Gravity separation alone does not remove emulsified or dissolved water.

9 Centrifugal Separation - By spinning the fluid, the difference in specific gravity

between the fluid and the water is magnified. Centrifugal separators remove free
water faster than gravity separators. They also remove some emulsified water
depending upon the relative strength of the emulsion versus the centrifugal force
of the separator. Centrifugal separators do not remove dissolved water.
9 Coalescing Separation - Coalescing separators help small droplets of water
combine to form large ones so that they will drop out of the oil more easily. This
is achieved because large droplets have less surface contact with the fluid than an
equal volume of water dispersed as tiny droplets. Coalescing separators are more
effective when the oil's viscosity is low. They do not remove dissolved water.
9 Absorbent Polymer Separation - Free and emulsified water is collected by super
absorbent polymers that are impregnated in the media of filters that look like
conventional spin-on or cartridge type filters. The water causes the polymer
beads to swell and remain trapped in the filter's media. These filters can only
remove a limited volume before causing the filter to go into pressure-drop
induced bypass. These filters do not remove dissolved water.
9 Vacuum Distillation - Vacuum distillation units operate by spraying oil over a
large surface are and effectively boiling the water by increasing the temperature
to about 150 ~ - 160 ~ F. and creating a vacuum of about 28" Hg (at 25" Hg, water
boils at about 133~ This technique effectively removes free, emulsified and
dissolved water.

Separator Type Water Type Removed

Free Emu~ed Dissolved
Gravity Yes Some No
Centrifuge Yes Some No
Coalescing Yes Some No
Absorbent Polymer Yes Yes No
Vacuum Distillation Yes Yes Yes
Table 3. Review of Water Removal Techniques

Monitoring Water Contamination. Control systems require feedback. After

achieving effective water ingress control and implementing appropriate removal
techniques, routine water contamination monitoring is required to ensure that targets
are maintained. Common moisture detection techniques reviewed below:
9 Karl Fischer Titration (ASTM D-1744) - Karl Fischer reagent, a mixture of
iodine, sulfur dioxide, pyridine and methanol, is dropped into sample in which an
electrode is placed. The iodine reacts with the water. When no water is
available, the iodine depolarizes the electrodes inducing current flow signaling
the test's end. The volume of reagent versus sample volume is indicative of the
water concentration. The technique measures all water present and results are
reported in pans per million (ppm) or percent. Certain anti-wear, EP and rust-
inhibiting additives produce test error.
9 Distillation Method (ASTM D-95) - The Dean-Stark distillation method involves
the mixing equal volumes of sample fluid and solvent that is miscible with the
sample fluid, but not with water. The mixture is placed in a flask that is attached

to a distillation coil and graduated collection tube. The water and solvent are
boiled out of the flask, condensed and collected. The water concentration is
calculated volumetrically.
Infrared Method - When subjected to a beam of infrared light, molecules absorb
energy in detectable levels and at specific frequencies. Water is among the
molecules that can be detected in this manner. The technique is limited to about
1000 ppm of water, has repeatability problems and is interfered with by various
additives and contaminants.
Crackle Test - This simple non-quantitative test requires only a drop or two of
oil be placed on a hot-plate set to approximately 300 ~ to 320~ If free or
emulsified water is present, visible and audible "crackling" occurs. The
technique does not detect dissolved water and refrigerants and other low boiling
point contaminants produce interference.

Conclusions

Water contamination control is important to achieving reliability goals. The presence

of water adversely affects hydraulic system performance and degrades the fluid's
lubricating capabilities. A program of water contamination control should begin by
setting economically driven target moisture levels for each machine. Efforts to
achieve these targets should begin with a rigorous attempt to exclude the ingress of
water into the system. Support exclusion efforts with water separation techniques
that are suitable for the application. A program of rbutine water contamination
monitoring ensures that contamination control efforts are successful and that targets
are met.

References

[ 1] Schatzberg P. and I. Felsen, "Effects of Water and Oxygen During Rolling

Contact Lubrication", Wear, Vol. 12, pp 331-342. 1968.

[2] Rowe, C., "Lubricated Wear" in CRC Handbook of Lubrication: Theory and
Practice of Tribology, Volume II, E. Booser, Editor, page 219. t984.

[3] Fitch, E.C., Proactive Maintenancefor Mechanical Systems, FES, Inc.:

Stillwater, Oklahoma. 1992.

[4] Rothwell, N. and M. Tillmin, The Corrosion Monitoring Handbook, Coxmoor

Publishing: Kingham, Oxford, UK. 2000.

[5] Smolenski, D. and S. Schwartz, "Automotive Engine Oil Condition Monitoring"

in CRC Handbook of Lubrication: Theory and Practice of Tribology, Volume
III, E. Booser, Editor, page 21. 1994.

[6] Fitch, E., Fluid Contamination Control, FES: Stillwater, Oklahoma, USA. 1988.

[7] Bloch, H.E., "Criteria for Water Removal from Mechanical Drive Steam Turbine
Lube Oils," Lubrication Engineering, December, pp 13-21. 1980.
[8] Beercheck, R.C., "How Dirt and Water Slash Bearing Life, Machine Design
Magazine," July, 6, pp 68-73. 1978.

[9] Schatzberg, P and M. Felsen, "Effects of Water and Oxygen During Rolling
Contact Lubrication," Wear, 12, 331-342. 1968.

[10] Fitch, J. and S. Jaggemauth, "Moisture...The Second Most Destructive

Contaminant, and its Effects on Bearing Life, P/PM Technology, December.
1994.

[ 11] Fitch E., An Encyclopedia of Contamination Control, FES: Stillwater,

Oklahoma, USA. 1980.

Advancements in Fluid Analysis Technologies and Strategies for Hydraulic System

Condition-Based Maintenance

Reference: Fitch, J. C., "Advancements in Fluid Analysis Technologies and

Strategies for Hydraulic System Condition-Based Maintenance," Hydraulic Failure
Analysis: Fluids, Components, and System Effects, ASTM STP 1339, G. E. Totten, D. K.
Wills, and D. Feldmann, Eds., American Society for Testing and Materials, West
Conshohocken, PA, 2001.

Abstract: World-class condition monitoring of hydraulic systems involves the successful

integration of a number of strategic elements. While in the past, walk-around inspections
and gage data were the primary means of monitoring system health, today's modem oil
analysis programs apply a host of sophisticated new tools and instruments. Reliability
teams at the plant site frequently commission small laboratories. In many cases the
instrumentation suite includes portable and unattended sensors. The situational context is
changing too as today's hydraulic systems are increasingly designed for higher pressures,
speeds, and temperatures. This paper presents a review of strategic elements that, when
well conceived and implemented, can deliver vital aiding information for achieving even
the toughest condition-based maintenance goals. These include the selection of test slate,
deployment of incipient failure advisories, setting of targets and limits that define non-
conforming conditions, exception testing, and proactive maintenance.

Keywords: oil analysis, oil sampling, contamination, wear debris, oil properties,
viscosity, oxidation, varnish, thermal stability, additives, particles, moisture,
spectroscopy, analytical ferrography, ferrous density analysis

Some people see oil analysis as a tool to help them time oil changes. Others view it in
terms of its fault detection ability. Still others apply it to a strategy relating to
contamination control and filter performance monitoring. In fact, when a program is well
designed and implemented, oil analysis can do all of these things and more. The key is
defining what the goals will be and designing a program that will effectively meet them.
One might refer to it as a ready-aim-fire strategy. The "ready" has to do with education
on the subject of oil analysis and the development of the program goals. The "aim" uses
the knowledge from the education to design a program that effectively meets the goals.
The "fire" executes the plan and fine-tunes it through continuous improvement.

1Noria Corporation, 2705 E. Skelly Dr., Suite 305, Tulsa, OK 74105.

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Copyright9 2001 by ASTM lntcrnational www.astm.org
226 HYDRAULIC FAILURE ANALYSIS

Detecting Machine Faults and Abnormal Wear Conditions. In the past, success in
fault detection using oil analysis has been primarily limited to reciprocating engines,
power train components, and aviation turbine applications. The generally small sumps
associated with this machinery concentrated wear metals and the rapid circulation of the
lubricating oils kept the debris in uniform suspension making trending more dependable.
In recent years, there has been widespread reported success with wear debris analysis
for detecting machine anomalies in stationary industrial lubrication oils and hydraulic
fluids as well. There are many explanations for this but much of it has to do with a
rapidly growing base of knowledge coming from the burgeoning oil analysis and
tribology community. Fig. 1 provides a simplistic overview of the application of oil
analysis, specifically wear debris analysis, in machine health monitoring. The various
specific methods are discussed in later sections of this paper [ I ].

Strategic Applications for Oil Analysis

Root Cause Incipient Fault Pr oblem Failure Post

Detection Detection Diagnosis Pr ognosis Mortem

What Oil When something When an early-stage What the nature of That a machine is What caused the
Analysis is occurring that fault exists that is a problem is that basically worn out machine to fail?
is Telling can lead to failure - otherwise going has been observed, and needs to be Could it have
You root cause unnoticed - e.g., - Where is it coming fixed or replaced been avoided?
conditions abnormal wear from?
- How severe is it?
- Can it be fixed?

What Particles, moisture Wear debris density, Wear debris, Elemental analysis, Analytical
You viscosity, temperature temperature, particle elemental analysis, analytical ferrography, ferrography,
Monitor additives, oxidation, count, moisture, moisture, particle vibration analysis, ferrous density,
TAN/TBN, soot, elemental analysis, count, temperature, temperature elemental
glycol, FTIR, RBOT viscosity, analytical viscosity, analytical analysis
ferrography ferrogmphy, vibration
analysis

Maintenance Proactive Predictive Predictive Breakdown Breakdown

Mode

Fig. 1

Doing Condition-Based Oil Changes. Each year huge amounts of oil are disposed of
prematurely; all at a great cost to the world's economy and ecology. This waste has
given rise to a growing number of companies to discontinue the practice of scheduled oil
changes by implementing comprehensive condition-based programs in their place. This,
of course is one of the principle roles of oil analysis.
By monitoring the symptoms of oil when it tires and needs to be retired we are able to
respond to the true and changing conditions of the oil. And, in some cases it might be
practical to consider reconditioning the oil including the reconstructing depleted
additives. Some oil analysis tests even provide a forward-looking prediction of residual
life of the oil and additives. Distressed oils, in cases, can be conveniently fortified or
changed without disruption of production. And, those fluids that degrade prematurely

can be reviewed for performance robustness in relation to the machine stressing

conditions.

Monitoring and Proactively Responding to Oil Contamination. While the benefits of

detecting abnormal machine wear or an aging lubricant condition are important and
frequently achieved, they should be regarded as low on the scale of importance compared
to the more rewarding objective of failure avoidance.
Whenever a proactive maintenance strategy is applied, three steps are necessary to
insure that its benefits are achieved. Since proactive maintenance, by definition, involves
continuous monitoring and controlling of machine failure root causes, the first step is
simply to set a target, or standard, associated with each root cause. In oil analysis, root
causes of greatest importance relate to fluid contamination (particles, moisture, heat,
coolant, etc.) and additive degradation.
However, the process of defining precise and challenging targets (e.g., high
cleanliness) is only the first step. Control of the fluid's conditions within these targets
must then be achieved and sustained. This is the second step and often includes an audit
of how fluids become contaminated and then systematically eliminating these entry
points. Often better filtration and the use of separators are required.
The third step is the vital action element of providing the feedback loop of an oil
analysis program. When exceptions occur (e.g., over target results) remedial actions can
then be immediately commissioned. Using the proactive maintenance strategy,
contamination control becomes a disciplined activity of monitoring and controlling high
fluid cleanliness, not a crude activity of trending dirt levels.
Finally, when the life extension benefits of proactive maintenance are flanked by the
early warning benefits of predictive maintenance, a comprehensive condition-based
maintenance program results. While proactive maintenance stresses root-cause control,
predictive maintenance targets the detection of incipient failure of both the fluid's
properties and machine components like pumps and cylinders. It is this unique, early
detection of machine faults and abnormal wear that is frequently referred to as the
exclusive domain of oil analysis in the maintenance field [2].

Oil Sampling Methods

The success of an oil analysis program depends heavily on proper oil sampling.
Experience has taught that when it comes to correct sampling a person cannot rely on his
instincts or judgment. Instead the sampling practice needs to be learned from those
experienced in the trade. It is even common to find published manuals on oil analysis
teaching wrong or out-dated methods [3,4].
From a practical standpoint, optimum performance in oil sampling depends directly on
succeeding in the following three areas:

1. Selecting the Ideal Sampling Point

Sample Points for a Circulating Hydraulic System

Fig. 2

Fig. 3

In circulating oil systems such as the one shown in Fig. 2, the best (primary) location
is a live zone of the system upstream of filters where particles from ingression and wear
debris are the most concentrated. Usually, this means sampling on fluid return lines.
Figure 3 shows different options for sampling low-pressure return lines.

2. Procedurefor Extracting the Sample

Once a sampling point is properly selected and validated, a sample must be extracted
without disturbing the integrity of the data. When a sample is pulled from turbulent zones
such as at an elbow, particles, moisture, and other contaminants enter the bottle at
representative concentrations. In contrast, it is well known that sampling from ports
positioned at right angles to the path of the fluid flow in high velocity, low viscosity
fluids causes particle fly-by. In such cases, the higher density particles follow a forward
trajectory and fail to enter the sampling pathway.
Machines should always be sampled in their typical work environment, ideally while
they are running with the lubricant at normal operating temperature. Likewise, during (or
just prior to) sampling, machines should be run at normal loads, speeds, and work cycle~.
This helps to insure that the wear debris that is typically generated in the usual work
environment and operating conditions is present in the fluid sample for analysis.
Sampling valves should be flushed thoroughly prior to sampling. If other portable
sampling hardware is employed, these devices need to be flushed as well. Once the
flushing is complete the sample bottle can be filled. However, never fill a sample bottle
more than three-fourths full. The headspace in the bottle (ullage) permits adequate
agitation by the lab [4].

Do Not Contaminate the Contaminant

One of the main objectives of oil analysis is the routine monitoring of oil
contamination. Therefore, in order to do this effectively, considerable care must be taken
to avoid contaminating the contaminant. Once atmospheric contamination is allowed to
contact the oil sample, it cannot be distinguished from the original contamination.
Avoid sampling methods that involve removing the bottle cap, especially where
significant atmospheric contamination is present. One effective method that insures that
particles will not enter the bottle during sampling is a procedure called "clean oil
sampling". It involves the use of common zip-lock sandwich bags and sampling
hardware such as vacuum pumps and probe devices. Below is an outline description of
this procedure:
Step One-Obtaining a good oil sample begins with a bottle of the correct size and
cleanliness. It is understandable that the bottle must be at a known level of cleanliness
and that this level should be sufficiently high so as not to interfere with expected particle
counts. Some people refer to this as signal-to-noise ratio, i.e., the target cleanliness level
of the oil (signal) should be several times the expected particle contamination of the
bottle (noise). For more information on bottle cleanliness refer to ISO 3722.
Step Two-Before going out into the plant with the sample bottles place the capped
bottles into very thin zip-lock sandwich bags; one per bag. Zip each of the bags such that
air is sealed into the bag along with the bottles. This should be done in a clean-air indoor

environment in order to avoid the risk of particles entering the bags along with the
bottles. After all of the bottles have been bagged, put these small bags (with the bottles)
into a large zip-lock bag for transporting them to the plant or field. Sampling hardware
such as vacuum pumps and probe devices should be placed in the large bag as well.

Fig. 4

Step Three-After the sampling port or valve has been properly flushed (including the
sampling pump or probe if used) remove one of the bags holding a single sample bottle.
Without opening the bag, twist the bottle cap off and let the cap fall to the side within the
bag. Then move the mouth of the bottle so that it is away from the zip-lock seal. Do not
unzip the bag.
Step Four- Thread the bottle into the cavity of the sampling device (vacuum pump or
probe). The plastic tube will puncture the bag during this process, however, try to avoid
other tears or damage to the bag (turn the bottle, not the probe or pump, while
tightening).
If a probe device is used, it is advisable to break a small hole in the bag below the vent
hole with a pocketknife. This permits air to escape during sampling.
Step Five-The sample is then obtained in the usual fashion until the correct quantity of
oil has entered the bottle. Next, by gripping the bottle, unscrew it from the cavity of the
pump or probe device. With the bottle free and still in the bag, fish the cap from the
bottom of the bag onto the mouth of the bottle and tighten.
Step Six-With the bottle capped it is safe to unzip the bag and remove the bottle.
Confirm that the bottle is capped tightly. The bottle label should be attached and the
bottle placed in the appropriate container for transport to the lab. Do not reuse the zip-
lock bags.
Bottle suppliers often identify three levels of bottle cleanliness: clean (fewer than 100
particles >10 pmkml), superclean (fewer than 10), and ultraclean (fewer than 1). Selecting
the correct bottle cleanliness to match the type of sampling is important to oil analysis
results [3, 4].

Selecting Oil Analysis Tests By Application

Motor Diesel Air & Transmissions, Industrial Steam
& Pump & Gas Gas Final Drives, Gear Turbine
Test or Procedure Bearings Engine Hydraulics [ Compressors Differentials Oils Oils

1. Particle Count O,L [L O,L O,L L O,L O,L

2. Viscosity
a. 40~ O,L L O,L O,L L O,L L
b. 100~
3. TAN E(5a) L L L L L
4. TBN L
5. FTIR
a. Ox/Nit/Sul L L L L L
b. Hindered Phen L L L
c. ZDDP L L L L
d. Fuel Dil/Soot L
6. Flash Point E(2b,5d) L*
7. GlycoI-ASTM Test E(14b)
8. Ferrous Density E(I) L O,L O,L L O,L E(I)
9. Analytical Ferrography E(8,14a) E(8,14a) E(8,14a) E(8,14a) E(8,14a) E(8,14a) E(8,14a)
10. RBOT L L
11. Crackle O,L L O,L O,L O,L O,L O,L
12. WaterbyKF E(ll) E(ll) E(II) E(ll) E(ll) E01) E(ll)
13. Water Separability C** L
14. Elemental Analysis
a. Wear Metals L,E(1) L L,E(I) L,E(1) L L,E(I) L,E(1)
b. K, Na, B, Si L L L L L L L
c. Additives L L L L L L L

*Gas Compressors Only **Air Compressors Only

O = On-site routine test (small on-site lab or portable instrument)
L = Fully equipped oil analysis laboratory
E = Exception test keyed to a positive result from the test in parenthesis

Fig. 5

Selection of Oil Analysis Tests

Once proper oil sampling has been mastered it is time to analyze the oil. Because
each test that is conducted by an oil lab adds cost to the program, it is important that an
optimum selection of tests be defined. There are generally two types of tests; routine and
exception. A routine test is a scheduled test that is repeated with each scheduled sample
such as tests for viscosity, moisture, and particle count.
An exception test is triggered by a previously non-complying condition or test result.
It is conducted to either confirm a conclusion (diagnosis/prognosis) or seek further
information that might identify the cause or source of the problem. Exception tests
might, for instance, include specialized tests for confirming oil oxidation or abnormal
machine wear. Fig. 5 shows how routine tests can be combined with exception tests to
provide comprehensive test bundles by machine application [5].

To be thoroughly effective, a well-designed oil analysis program must encompass

three categories of routine tests: (1) fluid properties, (2) fluid contamination, and (3) fluid
wear debris.

Fluid Properties Analysis

This essential function of oil analysis helps insure the fundamental quality of the
lubricating fluid. The standard to which a used oil's properties should be routinely
compared are the new oil's properties; a listing of each of the new oil properties should be
a standard fixture on used oil analysis reports. Examples of common tests include
viscosity, total acid number, total base number, infrared for oxidation, emission
spectroscopy for additive elements, flash point, specific gravity, and rotating bomb
oxidation test (RBOT) [5].

Fluid Contamination Analysis

Despite the use of filters and separators, contaminants are the most common
destroyers of machine surfaces that ultimately lead to failure and downtime. For most
machines, solid contamination is the number one cause of wear-related failure. Likewise,
particles, moisture, and other contaminants are the principal root cause of additive and
base stock failure of lubricants. It is important to perform basic tests such as particle
counting, moisture analysis, glycol testing, and fuel dilution as directed by a well-
designed proactive maintenance program [2].

Fluid Wear Debris Analysis

Unlike fluid properties and contamination analysis, wear debris analysis relates
specifically to the health of the machine. Owing to the tendency of machine surfaces to
shed increasing numbers of larger and larger particles as wear advances, the size, shape,
and concentration of these particles tell a revealing story of the internal-state condition of
the machine.
Streamlining oil analysis can be effectively done when on-site oil analysis tools are
available. For many machines, the particle counter serves as the best first line of defense.
Only when particle counts exceed preset limits is exception testing performed. The best
exception test is ferrous density analysis, such as a ferrous particle counter. When ferrous
levels are high, a failure condition exists, triggering yet further testing and analysis. In
addition to on-site particle counting, on-site moisture analyzers and viscometers also
assess important root cause conditions [ 1].

Monitoring Changing Oil Properties

In order to reduce oil consumption, two plans must be implemented. The first plan is
proactive in nature and relates to the operating conditions the oil lives in. By improving
the oil's operating conditions its expected life can increase many fold. For instance, with
mineral oils the reduction of operating temperature of just 10 degrees C can double the
oil's oxidation stability and double the oil change interval in many instances. An

upcoming section discusses the proactive maintenance benefits of controlling oil

contamination towards achieving long healthy oil life.
The second plan to reducing oil consumption is predictive in nature and relates to the
timing of the oil change. Basically, through oil analysis, key physical properties can be
trended to help forecast the need of a future oil change. Restated, by listening to the oil,
it will tell us when it needs to be changed. And, if the need of an oil change occurs
prematurely, then an assessment of the oil's operating conditions (cleanliness, dryness,
coolness, etc.) and oil formulation should be revisited. The nature of the degradation will
provide the basic clue in defining the solution.
There are numerous modes of degradation of lubricating oil. These change the fluids
many properties. In order to recognize the change it is important that the correct
properties be monitored; realizing that overkill is wasteful. What follows is a discussion
of common oil degradation modes and the properties that can best reveal them. In all
cases, it is important to get a base signature of the properties normal in the new oil to
benchmark the trended change. These reference properties should remain as a permanent
fixture on the oil analysis report and include additive elements, neutralization numbers,
infrared units (unless spectral subtraction is used), RBOT (Rotating Bomb Oxidation
Test) minutes, viscosity, flash temperature, VI, and color [5, 6, 7].

Viscosity Stability

Viscosity is often referred to as the "structural strength of liquid." It is critical to oil

film control plus is a key indicator to a host of ailing conditions relating to the oil and
machine. As such, it is often considered a critical "catch-all" property in oil analysis.
Essentially, when viscosity remains in a controlled narrow band one can assume that a
great many things that could be going wrong are, in fact, not going wrong. Conversely,
when viscosity falls outside of the band an exception test is usually needed to identify the
nature and cause of abnormality. Therefore, by monitoring viscosity a first-line detection
defense is formed for many problems.
Because viscosity is so important, it is often monitored onsite by the reliability team.
It is used as an acceptance test for new oil deliveries and to verify the correct fluid is in
use. When viscosity changes with in-service fluids the cause is either oil degradation or
oil contamination. Oil degradation relates to changes to the base oil and additive
chemistry (molecular changes). Contamination of an oil can either thicken or thin the oil
depending on the viscosity and emulsifying characteristics of the contaminant (see Fig.
6).
In oil labs, viscosity is typically measured using kinematic viscometers. ISO viscosity
grades shown on lubricant spec sheets are based on kinematic viscosity in centistokes
(cSt) at 40 degrees C. Because gravity is involved, kinematic viscosity characterizes both
the oil's resistance to flow (absolute viscosity) and specific gravity. Onsite oil analysis
labs frequently use absolute viscometers to obtain a precise indication of base oil
condition. Unlike kinematic viscometers, absolute viscosity measures only an oil's
resistance to shear or flow (not specific gravity) [5].

Causes o f Viscosity Change

Decrease Increases
Viscosity Viscosity

Changes to base 9 Thermal cracking 9 Polymerization

oil (molecular of oil molecules
changes) 9 Oxidation
9 Shear thinning of
VI improvers 9 Evaporative losses

9 Formation of carbon
and oxide insolubles

Additions to 9 Fuel 9 Water (emulsions)

base oil
(contamination) 9 Refrigerant 9 Aeration
9 Solvents 9 Soot
9 Wrong oil 9 Antifreeze (glycol)
(low viscosity) 9 Wrong oil
(high viscosity)

Fig. 6

Oxidation Stability

When an oil oxidizes the base oil thickens and discharges sludge and acidic materials;
all detrimental to good lubrication. Oxidation is uncommon in applications when
conditions are such that oils are relatively cool, dry, and clean. And, this is especially
true for low viscosity oils such as hydraulic fluids and turbine oils that have higher
oxidation stability. However, when operating conditions are severe, oil oxidation can be
a recurring problem. Where a proactive solution cannot be applied (controlling oxidation
root causes or the use of resistant synthetics) it is best to monitoring the progress of
oxidation Monitoring the depletion of oxidation inhibitors provides an early,
forecastable trend but this may not be practical in some applications [5]
The technologies used to monitor the depletion of the oxidation inhibitors are the
following:
1. Infrared spectroscopy (FTIR) can pick up trendable changes in phenolic and ZDDP
inhibitors. However, only a few of the laboratories report additive depletion with FTIR
because of unreliable reference oils and occasional inferences from contaminants.
2. Total acid number (TAN) is sensitive to both mass-transfer and decomposition
depletion of ZDDP inhibitors. Interpretation of the trend takes practice and a good new-
oil reference.
3. Elemental spectroscopy can show reliable mass-transfer depletion trends in ZDDP
inhibited oils.

4. Rotating Bomb Oxidation Test (RBOT) provides a highly forecastable trend on

additive depletion. Because of the time needed to run this test it is expensive and usually
saved for exception testing or special circumstances.
5. Voltametry is a new technology that has shown particular promise in trending the
depletion (mass transfer and decomposition) of phenolic and ZDDP inhibitors.
If trending the depletion of oxidation inhibitors is not practical then oxidation itself
must be monitored. The problem with this approach relates to the fact that oxidation can
progress rapidly in stressful conditions once the antioxidant has depleted. Simply stated,
with oxidation, the worst things get the faster they get worse. If the goal is a condition-
based oil change, this translates to the need to monitor sufficiently frequently to catch the
problem in the incipient stages; not after the oil throws sludge and destructive lubrication
has occurred.
The most common and reliable methods to detect and trend oil oxidation are the
following:
1. If a reliable new oil reference is available to the laboratory, infrared analysis (FrlR)
is dependable for mineral oils and many synthetics including organic and phosphate
esters. The acids, aldehydes, esters, and ketones formed during oxidation are detected by
FTIR in mineral oils and PAO synthetics.
2. Total acid number (TAN) will quantify the growing acid constituents in oxidizing
oils.
3. Because oxidation results in polymerization of the base oil and the discharge of
oxide insolubles, the viscosity will increase.
4. Color-bodies form in oxidized oils resulting in a marked darkening of the oil's
color.
5. Oxidized oils give off a sour or putrid odors liken to the smell of bad cheese.

Thermal Stability and Varnish Tendency

The thermal failure of an oil can be localized or uniform. Localized thermal failure
occurs when the bulk oil temperature remains generally suitable for the selected lubricant
but oil is exposed to hot surfaces. Another common cause of localized thermal failure is
associated with entrained air that is permitted to compress, such as what occurs to air
bubbles passing through a high-pressure hydraulic pump. The air bubble implosion
causes heat to concentrate generating microscopic specs of carbon. These carbon
insolubles later condense on machine surfaces, forming what is commonly called varnish.
The varnish tendency of an oil is often difficult to detect due to the fact that the
majority of the physical properties of the oil are unaffected. For instance, there is
generally no change in viscosity, TAN, or F f I R for oxidation. However, sophisticated
labs having experience with hydraulic fluids will employ specialized tests such as
ultracentrifuge, FTIR for nitration, and submicron membrane tests. Other, less reliable,
indicators include oil color and paper chromatography (blotter spot test).
The uniform thermal failure of an oil results from excessively high operating
temperatures due to any of a number of reasons. However, the most common reasons
include overloading, inadequate oil supply, failure of a heat exchanger, and the use of a
high watt-density tank heater. When any of these conditions occur, the oil fails by
evaporation (thickening), carbonization (coking, carbon stones, etc.), or cracking

(thinning) in extreme cases. Regardless, the uniform thermal failure of the oil is serious
and threatens the reliable operation of the lubricated machine.
An oil's thermal stability is often measured using the standard test method for thermal
stability of hydraulic oils (the Cincinnati Milacron test ASTM D 2070-91). However,
because this test takes a week to gestate, it is generally impractical for routine used oil
analysis. Other ways to evaluate thermal failure include viscosity analysis,
ultracentrifuge, total insolubles, and oil color. Less reliable indicators include oil odor
(either a burnt, rancid odor or no odor at all) and paper chromatography.

Additive Stability

Additive monitoring is one of the most challenging and evasive areas of used oil
analysis. The reasons for this are many and complex. As a starting point, it is
worthwhile to review how additives deplete during normal use and aging.
It is generally accepted that there are two forms of additive depletion, both are
common and can occur simultaneously. The first form of depletion is known as
decomposition. Here the additive mass stays in the oil but its molecular structure
changes resulting in an assortment of transformation products (other molecules). In some
instances, the transformation products may possess properties similar to the original
additive but in most cases performance is degraded or it is completely lost. This
sacrificial form of depletion is common to what happens over time to oxidation
inhibitors, as described previously under oxidation stability.
The second form of additive depletion is called mass transfer. This type of depletion
is often the most easy to detect because the entire mass of the additive transfers out of the
bulk oil. And, as such, any measurable property of the additive leaves as well. For
instance, if the additive is constructed with phosphorous, a downward trend of
phosphorous in the used oil is a reliable indication of its mass transfer depletion.
Conversely, an unchanging level of phosphorous in used oil in no way confirms that
decomposition depletion has not occurred. With decomposition the elements of the
additive remain suspended in the oil.
Mass transfer of additives occur in normal operation, usually as a result of the additive
doing the job it was designed to do. For instance, when a rust inhibitor attaches itself to
internal machine surfaces it depletes by mass transfer. It is common for additives to cling
to various polar contaminants in the oil such as dirt and water. The removal of these
contaminants by filters, separators, and settling action causes a removal of the additive as
well. And, over time, aging additives can form floc and precipitate out of the oil due to
decomposition and long cold-temperature storage. The insolubles formed will migrate
out, often ending up on the bottom of the sump or reservoir.
Fig. 7 describes common methods used to monitor additive depletion. It is worth
restating that the use of elemental spectroscopy to trend additive depletion is only
effective where mass transfer is involved. It is not uncommon, therefore, for oil labs to
condemn an oil with only a 25 percent reduction in the concentration of telltale additive
elements, e.g., zinc and phosphorous in the case of ZDDP [5].

Methods of Monitoring Additive Depletion

Monitoring
Additive Method Effectiveness

ZDDP (antioxidant, FTIR - (@ >>950wavenumbers) Fair (early detection)

antiwear and FTIR - oxidation (1750 wn) Good (later detection)
corrosion inhibitor)
RBOT Excellent (early detection)
TAN (downward trend) Fair (early detection)
TAN (upward trend) Good (later detection)
Voltametry Excellent (early detection)
Elemental Spectroscopy Excellent (early detection)

Rust Inhibitors Elemental Fair (early detection)

Spectroscopy

Foam Inhibitors Elemental Spectroscopy Fair (interferences from dirt)

Sulfur Elemental Spectroscopy Excellent
Phosphorus - EP
Molybdenum Elemental Spectroscopy Good
Disulfide - EP
Borate - EP Elemental Spectroscopy Excellent

VI Improver Viscosity at 40~ and 100~ Excellent

Dispersants Blotter Spot test Good

Detergents TBN Excellent

Elemental Spectoscopy Excellent

Hindered Phenol FTIR Fair

(antioxidant)

Fig. 7

Monitoring Oil Contamination

Contamination can be defined as any unwanted substance or energy that enters or

contacts the oil. Contaminants can come in a great many forms, some are highly
destructive to the oil, its additives, and machine surfaces. It is often overlooked as a
source of failure because its impact is usually slow and imperceptible yet, given time, the
damage is analogous to eating the machine up from the inside out. While it is not
practical to attempt to totally eradicate contamination from in-service fluids, control of
contaminant levels within acceptable limits is accomplishable and vitally important.

Particles, moisture, soot, heat, air, glycol, fuel, detergents, and process fluids are all
contaminants commonly found in hydraulic fluids. However, its particle contamination
and moisture that is widely recognized as the most destructive to the oil and machine.

Particle Contamination

There is no single property of lubricating oil that challenges the reliability of

machinery more than suspended particles, Small particles can ride in oil almost
indefinitely and because they are not as friable (easily crumbled) as their larger brothers,
the destruction can be continuous (Fig. 8). Many studies have shown convincing
evidence of the greater damage associated with small particles compared to larger. Still,
most maintenance professionals have misconceptions about the size of particles and the
associated harm caused.

How Particle Physics Influence Wear Debris

N u m b e r of Particles [
(entering per minute)
I

size
compared
to film filterability [
thickness & settling settling rate
and
centrifugation

Ability of
particles to Length of time
destructively particles stay
enter contact in oil
zone

I
Number of
destructive
contacts
I X Severity of each
destructive
II

]
Total amount of
destruction
II
minute
per
contact per minute
I
Fig. 8

The ISO Solid Contaminant Code (ISO 4406) is probably the most widely used
method for representing particle counts in oils. The current standard employs a two-
range number system. The first range number corresponds to particles larger than five
microns and the second range number for particles larger than 15 microns. From the

chart, as the range numbers increment up one digit the represent particle count roughly
doubles. At this writing, the ISO Code is undergoing revision that will likely add a third
range number plus a change to the particle size the three range numbers will relate to.
While there are numerous different methods used to arrive at target cleanliness levels
for oils in different applications, most combine the importance of machine reliability with
the general contaminant sensitivity of the machine to set the target. This approach is
shown in Fig. 9. The Reliability Penalty Factor and the Contaminant Severity Factor are
arrived at by a scoring system that is included with the Target Cleanliness Grid [5, 6, 7].

Target Cleanliness Grid (TCG)

10 19116/13 18/15/12 !17114/12 16/13/11 15/12/10 14/11/9 13/10/8 12/10/8 11/9/7 10/9/7

19/16/13 19/18/13 18/15/12 17/14/11 16/13/10 15/12/10 14/11/9 13/10/8 12/9/7 11/9/7

L.-~ 8 20/17/14 20/17/13 19/16/13 18/15/12 16/13/11 1 5/1 2/10 14/11/9 13/10/8 12/9/8 12/9/7

29/17/14 20/17/14 19/16/13 18/15/12 17/14/11 16/13/10 15/11/9 14/11/9 13/10/8 12/10/8
,."z
21/18/15 21/18/14 19/16/13 18/15/12 17/14/11 16/13/10 15/12/9 14/11/9 13/10/9 12/10/8

5 21/18/15 21/18/15 20/17/14 19/16/13 18/15/12 17/14/11 16/14/11 15/13/11 14/11/10 13/11/9

4 22/19/16 22/19/16 20117114 19/17114 18115/13 17/14111 16/14/11 15/13/10 14/12/9 13/11/9

Z~ 3 22/19/16 22/19/16 21/18/15 20/17/14 19/16/13 18/15/12 17/14/11 16/14/11 15/13/10 14/12/9

23/20/17 23/20/17 22/19/16 21/18115 20/17/14 19/16/13 18/15/12 17/14/11 16/14/11 15/13/10

24/20/17 23/20/17 22/19/16 21/18/15 20/17/14 19/16/13 19/16/12 18115/11 17/14/11 16/14/11

1 2 3 4 5 6 7 8 9 10
Contaminant Severity Factor (CSF)
Sensitivity of Machine to Contaminant Failure

Fig. 9a

Moisture Contamination

Moisture is generally referred to as a chemical contaminant when suspended in

lubricating oils. Its destructive effects in bearings, gearing, and hydraulic components
can reach or exceed that of particle contamination, depending on conditions. Like
particles, control must be exercised to minimize water accumulation and resulting
destruction to the oil and machine.
Once in the oil, water is in constant search of a stable existence. With few exceptions,
the chemical and physical stability of lubricants are threatened by small amounts of
undissolved suspended water. In combination with oxygen, heat, and metal catalysts,
water promotes oxidation and hydrolysis. An overall degradation of the base oil and its

Contaminant Severity Machine I.D.:

Date:
Factor [CSF] - Hydraulics

0 1 1.5

0 1

Gear Vane Fixed Piston Variable Volume I I

0 1 1.5 2 ! I

Frequency and Severity of Pressure Cycles

Constant Pressure Low Medium High
0 0.5 1 1.5

0.5

0.5 1

0 0.5

omposit
_ _
,'SF Scor,

10 M a x .

~ CopyrightNoriaCorp.

Fig. 9b

Reliability Penalty
Factor (RPF)

U 1 Z ..t

Typical Length of Downtime (B)

Sho~ iv
Long
0 1 2 3 4

10Max~
Copyright Noria Corp.

Fig. 9c

additives result. The harmful effects of water on the life of rolling element bearings and
other contact zones when boundary lubrication prevails are well documented. According
to SKF, "free water in lubricating oil decreases the life of rolling element bearings by ten
to more than a hundred t i m e s . . . " And, it is well know that water promotes corrosive
attack on sensitive machine surfaces discharging harmful abrasives into the oil like rust.
The omnipresence of water in the environment makes it impossible to completely
exclude it from entering and combining with the oil. However, its presence can be
greatly minimized and controlled through good maintenance practices. And, just like
particle contamination, a proactive maintenance program needs to be established to
control water. This should start with the setting of a target dryness level for each
different oil application. By investigating the sources of water ingression a plan can be
implemented to exclude the water. Occasional removal by water absorbent filters and
vacuum dehydrators may also be necessary.
A simple and reliable test for water is the crackle test (a.k.a. the sputter test). In the
laboratory two drops of oil are placed on the surface of a hot plate heated to
approximately 320 degree F. The presence of free or emulsified water in the oil will
result in the formation of vapor bubbles and even scintillation if the water concentration
is high enough. Although generally used only as a go/no-go procedure, experienced lab
technicians have learned to recognize the visual differences associated with progressive
concentrations of water contamination, see Fig. 10 [5, 7].

Quantifying Moisture Levels in Oil Using the Visual Crackle Procedure

P r o c e d u r e : 2 drops of oil on a plate heated to 320~

Approximate
Observation Water Present
No visible or No free or emulsified
audible change water

Very small bubbles

(,,0.5 mm) produced 0.05 - 0.1%
and quickly disappear 500 - 1000 ppm

Bubbles approximately
2 mm are produced,
gather to center,
enlarge to ,,4 ram, 0.1 - 0.2%
disappear quickly 1000 - 2000 ppm

Bubbles ,,2-3 mm are

produced growing to
,,4 mm, process repeats,
possible violent bubbling 0.2 and more
and audible crackling >2000 ppm
CoudesyNo~ Cofi3oratlon

Fig. 10
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FITCH ON ADVANCEMENTS IN TECHNOLOGIES 243

Other widely used methods to detect water include the following:

1. Dean & Stark apparatus is occasionally used by laboratories and involves a
procedure of co-distilling the water out of the oil and establishing the water content
volumetrically (ASTM D 4006).
2. Karl Fischer titration is commonly used by laboratories as an exception test should
initial presence of water be detected by crackle or infrared analysis. Two Karl Fischer
procedures exist; volumetric titration (ASTM D 1744) and coulometric titration (ASTM
D 4928).
3. Infrared spectroscopy can reliably measure water concentrations down to about 0.1
percent. This lower limit may not be adequate for many oil analysis programs.

Wear Particle Detection and Analysis

Where the first two categories of oil analysis (fluid properties and contamination) deal
primarily with the causes of machine failure (proactive maintenance), this category
emphasizes the detection and analysis of current machine anomalies and faults, i.e., the
symptoms of failure. The oil serves as the messenger of information on the health of the
machine. Basically, when a machine is experiencing some level of failure the affected
surfaces will shed particles, releasing them into the oil. The presence of abnormal levels
of wear particles serves as problem detection where their size, shape, color, orientation,
elements, etc. defines the cause, source, and severity of the condition [1, 5].

Wear Particle Detection and Analysis Sequence

)etectio~

~,nal,rsh

Ferrogram

and/or

Filtergram

Fig. 11

Elemental Spectroscopy

Fig. 11 illustrates the three common categories of wear particle detection and analysis.
The oldest and most widely used of these methods is elemental analysis, done today
primarily with optical emission spectrometers. The procedure involves applying high
heat to the oil. Particles in the oil will totally or partially vaporize in the presence of the
head producing incandescent emission of light. The light is diffracted such that spectral
intensities at different wavelengths can be measured. Specific wavelengths are associated
with certain elements and the special intensities define the concentration of the elements.
The typical output from elemental spectroscopy is concentration units (parts per
million) across 10 to 25 common elements such as iron, copper, lead, aluminum, etc. By
comparing the major, minor, and trace metals to the metallurgical chart of the machine a
fingerprint of the probable sources of the wear can be established. Many of the
laboratories do wear metal interpretation with the help of sophisticated software
programs and extensive metallurgical databases.

Ferrous Density Analysis

The most serious wear particles of all are generated from iron and steel surfaces. In
fact, in most oil-lubricated pairs, at least one of the two surfaces is a ferrous surface.
And, it is usually the ferrous surface that is the most important from the standpoint of
machine reliability.
This means that the oil analyst requires a dependable understanding of the ferrous
particle concentration at all sizes. It is particularly important considering the particle-size
bias associated with elemental spectrometers. Therefore, in order to insure that abnormal
wear of iron and steel surfaces doesn't go undetected, ferrous density analyzers are widely
employed, both in commercial and onsite laboratories. These instruments provide a first
line of defense by detecting free-metal ferrous debris reliably. Example instruments
include:
1. Direct Reading Ferrograph: reports results in Wear Particle Concentration units
2. Particle Quantifyer: reports an index scale
3. Wear Particle Analyzer: output in micrograms/ml
4. Ferrous Particle Counter: assigns a percent ferrous to particle count results

Analytical Ferrography

Elemental spectroscopy and ferrous density analysis are just two of many different
ways to detect problems in machinery. Thermography and vibration monitoring are also
effective at detecting specific faults and modes of failure, especially in rotating
machinery. Once there is an initial indication of a fault by any of these methods, the
process must continue to:
1. Isolate it to a single component,
2. Identify the cause,
3. Assess how severe or threatening the condition is, and finally,
4. Determine the appropriate corrective action.

When problems are detected and analyzed early they can often be arrested without
downtime or expensive repair. In fact, root causes to the most common problems are
usually correctable on the run. The key is the timing of the detection. An important part
of timing is a regiment of frequent sampling.
Successful analysis of a current wear-related problem requires many pieces of
information and a skilled diagnostician. To this end, the practice of analytical
ferrography has received recent prominence. Unlike other common instrumentation
technologies, analytical ferrography is qualitative and requires visual examination and
identification of wear particles. Numerous properties and features of the wear debris are
inventoried and categorized. These include size, shape, texture, edge detail, color, light
effects, heat treatment effects, apparent density, magnetism, concentration, and surface
oxides.
This information is combined with other information obtained by particle counting,,
ferrous density analysis and elemental spectroscopy in defining a response to items 1-4
above. Fig. 12 presents a general overview of the combined detection and analysis
process. Analytical ferrography is represented by microscopic analysis in the figure.
Two methods are commonly used to prepare the particles for viewing by the microscope.

Flow Chart for Over Limit Wear Debris Concentrations

Test Oil Test for Analytical Ferrography Vibration

Properties Contamination & Elemental Ferrography Analysis

Fig. 12

If a high level of ferromagnetic debris is detected by ferrous density analysis then a

ferrogram is typically prepared. The process involves slowly passing solvent-diluted oil
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246 HYDRAULIC FAILURE ANALYSIS

down the surface of an inclined glass slide. The instrument the does this is called a
ferrogram maker. Beneath the slide is a strong magnet. Ferromagnetic particles become
quickly pinned down onto the slide and oriented to the vector lines of the magnetic field.
Non-magnetic debris deposit gravimetrically in random fashion, except larger and
heavier particles that settle first. Approximately 50% of the non-magnetic particles wash
down the slide and do not deposit.
In those cases where low levels of ferromagnetic particles are detected but high non-
ferrous debris is found (by a particle counter or elemental analysis) a filtergram is
preferred. Unlike the ferrogram, the filtergram does not use a magnet and therefore all
particles are randomly deposited without size, weight, or magnetic bias. This is
accomplished by passing an aliquot of solvent-diluted oil through a membrane of about
three-micron pore size. No particles are lost from observation except those too small to
be retained by the membrane. The single disadvantage of the filtergram is the difficulty
of distinguishing ferrous debris from non-ferrous. The skillful eye of an experienced
technician can usually overcome this drawback [1 ].

Interpreting Test Results

Most machines are highly complex, consisting of exotic metallurgy and intricate
mechanisms. The numerous frictional and sealing surfaces usually employ varying
contact dynamics and loads, all sharing a common lubricant. A failure to gain knowledge
about these many internal machine details as a reference base for use in interpreting oil
analysis data may lead to confusion and indecision in response to oil analysis results. A
good approach is to build a three-ring binder with index tabs for each machine type.
Include in this binder photocopied pages from the service and operation manuals plus
other accumulated information. The following are examples of data and information to
include [7]:
1. Identify types of components in use and their metallurgy.
2. Identify input and output shaft speeds/torque's.
3. Locate and identify all other frictional surfaces, such as cams, pistons, bushings,
swash-plates, etc. Determine metallurgy of surface treatments.
4. Locate and identify coolers and heat exchangers and type of fluids used.
5. Obtain fluid flow circuit diagrams/schematics.
6. Locate and determine the types of seals in use, both external and internal.
7. Identify possible contacts with process chemicals and types.
8. Record lubricant flow rates, bulk oil temperatures, case drains and inlet
temperatures, and oil pressures.
9. Record detailed fluid specification and compartment capacity.
10. Record filter performance specification and location.

In many cases oil analysis data can be inconclusive when used alone. When combined
with sensory inspection information, however, a reliable, more certain, determination can
be made. Likewise, the application of companion maintenance technologies (such as
vibration and thermography) can help support a conclusion prior to expensive machine
teardown or repair.

References

[ 1] Fitch, J. C., "Maximizing Fault Detection in Rotating Equipment Using Wear

Debris Analysis," Practicing Oil Analysis, Mar-Apt, 1999.

[2] Fitch, J. C., "What Particles Mean and Why They Need To Be Monitored and
Controlled," Practicing Oil Analysis, Sept-October, 1998.

[3] Fitch, J. C., "The Influence of Bottle Cleanliness and Sample Agitation on Particle
Count Trends," Practicing Oil Analysis, Mar-Apr, 1999.

[4] Fitch, J .C., "Elements of a Successful Oil Analysis Program-Part I Oil Sampling,"
Lubrication Engineering, August 1998.

[5] Fitch, J. C., "Elements of a Successful Oil Analysis Program-Part II Selection of

Tests, "Lubrication Engineering," Sept. 1998.

[6] Fitch, J. C., "Using Oil Analysis to Control Varnish and Sludge," Practicing Oil
Analysis, May-Jun, 1999.

[7] Fitch, J. C., "Proactive and Predictive Strategies for Setting Oil Analysis Alarms and
Limits," Joint Oil Analysis Program Conference,Proceedings, U.S. Dept. of
Defense, May, 1998.

Hydraulic Pump Contaminant Wear

Reference: Tessmann, R. K. and Hong, I. T., "Hydraulic Pump Contaminant W e a r " Hy-
draulic Failure Analysis: Fluids, Components, and System Effects, ASTM STP 1339, American
Society for Testing and Materials, West Conshohocken, PA, 2001.

Abstract: The contaminant wear of any pump depends on the operational and the con-
taminant severity as well as the inherent contaminant sensitivity of the pump. In order to
evaluate the contaminant sensitivity of a pump it is necessary to conduct a carefully con-
trolled test. The primary result obtained from this test is a lumped parameter called the
contaminant wear sensitivity coefficient, which represents the degree of contaminant tol-
erallce.
A contaminant sensitivity theory has been developed which states that for every
contaminant particle that passes through a pumping chamber, the pump looses a finite
portion of its flow delivery potential. The degraded flow rate equals the sum of the prod-
uct obtained by using both the wear sensitivity coefficient and the particle exposure rate
for all particles sizes to which the pump has been exposed. The wear sensitivity coeffi-
cient is simply the volume of the pumping potential that the pump looses per particle ex-
posed. The particle exposure rate equals the product of the flow rate and the particle con-
centration in the fluid.
An analytical treatment of the contaminant sensitivity concept is called the Omega
Theory. This paper first reviews the contaminant sensitivity test and discusses the various
test parameters. In addition, the paper presents the analytical model that permits computer
techniques to be applied in deriving and manipulating contaminant sensitivity coefficients
obtained from testing in order to construct the contaminant tolerance profile (Omega
Life) and calculate the service life for a specific pump. Furthermore, the paper provides a
means by which the field service life can be estimated based upon the standard test.

Keywords: contamination, contaminant sensitivity, hydraulic pumps, gear pumps, fluid

power

1 Vice President, FES, Inc., 5111 N. Perkins Road, Stillwater, OK 74075

2 President, BarDyne, Inc., 5111 N. Perkins Road, Stillwater, OK 74075
Copyright by ASTM Int'l (all rights reserved); Fri Aug 31 00:20:19 EDT 2018
Downloaded/printed by 248
YanShan University (YanShan University) pursuant to License Agreement. No further reproductions authorized.
Copyright* 2001 by ASTM lntcrnational www.astm.org
TESSMANN AND HONG ON PUMP CONTAMINANTWEAR 249

Introduction

The wear of any system is a major expense in industry today. In the design of engi-
neered systems, the minimization of wear is a major consideration. When the area of in-
terest is limited to fluid systems such as hydraulic systems, the single most significant
factor in the control of wear is the particulate matter entrained in the circulating fluid.
Contaminants can enter the system fluid in at least three general ways. One way is the
cleanliness of the components and procedures used to assemble the system. For example,
if the component is dirty when it is placed in the system, that built-in contaminant will be
washed out of the component by the circulating fluid of the system and carried by the
fluid throughout the system. A second way that contaminant particles can become en-
trained in the circulating fluid is called ingression. Ingression is the process whereby par-
ticles can be drawn into the hydraulic system through the seals and breathers. The third
source is generated contaminant or wear particles.
Based upon the sources of particulate contamination, three aspects must be consid-
ered in system design to minimize the wear due to contamination. First, every effort must
be taken to prevent the inclusion of contaminant during the manufacturing and fabrication
of the system. Techniques are available that can be employed in the manufacturing proc-
ess that will minimize the amount of contamination introduced in this manner. The sys-
tem can be sealed to minimize the ingression of contaminant from the environment. This
leaves only the wear debris generated as a result of the operation of the system compo-
nentS: Therefore, it should be apparent that, in order to insure the longevity of a fluid
system, environmental contamination must be kept from entering the system. If this can-
not be accomplished, the particulate contamination must be filtered from the system fluid.
Ultimately, if the system cannot be isolated from environmental particles, or if the parti-
cles that enter the system fluid cannot be removed, the system components must live with
the contaminant particles.
In order to evaluate the tolerance of hydraulic components exposed to a contami-
nant environment, a laboratory test was developed. This test, called a component con-
taminant sensitivity test, subjected the component to a fixed contaminant environment
while operating the pump at a steady state set of conditions. However, in actual operating
situations, hydraulic components are not exposed to such steady state conditions. This
paper briefly discusses the component sensitivity test procedures and circuit for fixed
displacement hydraulic pumps and shows some of the typical data obtained from the test.
This review provides the reader with an understanding of the test. Then results from tests
where the contamination level was changed are presented along with results of testing at
various operating pressures. These results will provide the reader with an assessment of
the influence of both contamination level and operating pressure on the contaminant tol-
erance of hydraulic pumps. Conclusions are presented based upon the results shown.

Pump Contaminant Sensitivity Test Circuit

The test circuit utilized in conducting a pump contaminant sensitivity test is shown
schematically in Fig. 1 [1-4]. The pump outlet and inlet pressures are monitored. The
pump inlet pressure is maintained by pressurizing the reservoir. The outlet pressure is
imposed by a needle-type load valve. The temperature is controlled by a heat exchanger.

A control filter is used which can be put into, or taken out of, the test loop by a series of
valves. The contaminant is injected into the test system while it is operating by using an
injection chamber that can be filled with contaminant slurry and introduced upstream of
the reservoir.

InjectionChamber

supp,,

i Injection
Chamber~
Test Pump le

(SeeDetail) ~ BlaIl
*--'Valves
@ ~--'Valve'c,r OfficialFIo~
FlowMonitor N~ Filter

Figure 1 - - Pump Contaminant Sensitivity Test Schematic

One of the most important aspects of a contaminant test system is the ability to keep
the contaminant entrained in the circulating fluid. The contaminant must not settle out
into a quiescent region or the pump will not be exposed to the intended contaminant envi-
ronment. The design of the test system should be such that high velocity is maintained
and long straight runs of tubing are minimized. The reservoir is constructed with a coni-
cal bottom and not a flat bottom. It is suggested in the test procedure that the conical
bottom of the reservoir have an included angle of 90 degrees. The test system must be
validated to insure that the contaminant will be maintained in suspension by a simple
qualification procedure. To accomplish the qualification, the test system is operated at the
lowest flow rate at which it will be used. The circulating fluid is contaminated with 300
mg/1 of full distribution of standard test dust. Samples are extracted every 15 minutes for
a period of one hour. The samples are analyzed for gravimetric level. The qualification
procedure requires that the gravimetric level of each sample be within 10% of the average

of all four samples and that the average gravimetric level of the four samples be within
10% of the target 300 mg/1.

Pump Contaminant Sensitivity Test Procedure

When particulate contamination attacks a fixed displacement pump, the normal re-
sult is for the internal surfaces to abrade away. Since the boundaries of the various leak-
age paths within a fixed displacement hydraulic pump are determined by the configura-
tion of the internal surfaces, the leakage paths will change as the internal surfaces are de-
stroyed. The change in leakage path dimension will result in a change in slip flow of the
pump and thus a change in the volumetric efficiency of the pump. Therefore, one of two
primary approaches can be taken to evaluate the effect of particulate contamination on a
hydraulic pump. One approach involves measuring the effect of contaminant related sur-
face destruction by actually measuring the dimensional changes within the pump. This
means that the pump must be completely disassembled in order to evaluate any configu-
ration changes.
The second approach is an indirect method. That is, the performance is evaluated at
some steady state conditions. As the internal surfaces wear away the performance of a
fixed displacement hydraulic pump will decrease until it is completely unacceptable to
the users. It must be kept in mind that a hydraulic pump is a flow generator while the
pressure that it operate against is created.by the load downstream of the pump. Therefore,
flow is the natural parameter used to evaluate the deleterious effect of particulate con-
tamination.
The contamination level entrained in the fluid of a hydraulic system is dependent
upon the amount and size distribution of the contaminant entering the fluid along with the
removal characteristics of the filtration. Evaluating the effect of a large number of differ-
ent contaminant environments on the performance of a hydraulic pump would be ex-
tremely costly and time consuming. Therefore, research was accomplished to find the a
single contamination level which could be successfully used to measure contaminant
wear in a hydraulic pump. The objective of the effort was to find a contamination con-
centration that could be used for a large number of particle size distributions. This con-
centration had to be high enough to produce an adequate amount of wear in the most tol-
erant pumps while the concentration did produce adequate data from the pump that ex-
hibits the least sensitivity. The block diagram of the contaminant sensitivity test for fixed
displacement pumps is shown in Fig. 2. The contaminant concentration which was found
to produce the best results was 300 mg/l as can be noted in this figure.

Contaminant Sensitivity Test Results

plot of the flow degradation ratios versus particle size is called the contaminant sensitiv-
ity signature of the pump. Fig. 3 shows the contaminant sensitivity signatures for three
typical fixed displacement pumps. It can be seen from this figure that the sensitivity of a
pump can be evaluated from a comparison of contaminant sensitivity signatures. How-
ever, more sophisticated interpretation procedures have been developed.

I Test II Standard |
Pump I I Procedure |
Pressure [
sp~l Rated I IFacilityandll I Test |s'ze
TemperatUreOiConditions
l Methodologyl
I ~ o-10o-s~am
~P. I I o80
~J Pump I _1 Vo'ume I~..I S'urry I
50
75 Break-in | Q R - I t4Q. | -I (300mg/I)
l t 1
100% Rated ~ Exposure
Conditions I - I (30 Minutes) Slurry I
Inject

I Filter I

I Measure Next
Size
~ I
} .
Terminate Yes ~lJs,.Q,~ No
Test

Figure 2 - - Pump Contaminant Sensitivity Test Procedure

1.0"

0.8"

0.6'
QF
QR0.4"

0.2"

0
o io ~o ~0 40 ~o ~o ~o sb
Particle Size, rtM

Figure 3 - - Flow Degradation Signature of Typical Pumps

Contaminant Sensitivity Test Results

As can be seen in Fig 2 the output flow from the test pump is used to measure the
degree of wear caused by the contaminant environment. The pump is subjected to several
different contaminant levels commencing with 300 mg/1 of 0-5 gm test dust and ending at
300 mg/1 of 0-80 pm sorted from the same base test contaminant. The test will also be
concluded if the output flow drops by 30%. The flow degradation ratio is defined as the
flow measured after the contaminant exposure divided by the rated flow of the pump as
measured before any contaminant exposure. The flow degradation ratios obtained during
the test can be plotted versus the upper limit of the particle size as shown in Fig. 3. The
plot of the flow degradation ratios versus particle size is called the contaminant sensitiv-
ity signature of the pump. Fig. 3 shows the contaminant sensitivity signatures for three
typical fixed displacement pumps. It can be seen from this figure that the sensitivity o f a
pump can be evaluated from a comparison of contaminant sensitivity signatures. How-
ever, more sophisticated interpretation procedures have been developed.

Contaminant Sensitivity Model

This section presents the analytical model that permits computer techniques to be
used to derive and manipulate the contaminant sensitivity information provide by the
contaminant sensitivity test in order to construct contaminant tolerance profiles. This is
called the Omega Theory [5].
Fundamentally, the contaminant sensitivity theory is based on a standard test con-
dition in regards to field operating parameters, fluid parameters, and contaminant pa-
rameters (except particle size). The degree of component contaminant tolerance is repre-
sented by a lumped parameter--the contaminant sensitivity coefficient, Sj, depends on
the particle size interval, j, and the particle concentration, Nj, of the particles in the fluid.
Mathematically, it is represented as

dQj(t) _
SjQj(t)nj(t) (1)
dt

where j = subscript indicates condition related to particles of the jth

particle interval
Qj(t) = component test flow rate
Sj = contaminant sensitivity coefficient
nj(t) = Nj(t) - Nj+l(t)
Since the particles destroyed in the critical clearances of an operating component
are not replenished in the laboratory system, the concentration of particles in size interval
j at time t is expressed in terms of an exponential function

nj (t) = n0,je -t/~j (2)

As a result, the rate of flow degradation can be expressed as

dQj(t) -t/~j--
- Sjnoje dt (3)
Qj(t)

Integrating Eq. (3-5) and rearranging it, yields

I 1
sj= (4)
xjnoj L,Qo,j)

where Qfj = field flow rate

Q0j = initial flow rate
~j = test dust destruction time constant
In the component contaminant sensitivity test, lower cut dust (e.g., 0-5, 0-10 microme-
ters, etc.) are exposed incrementally to the test component. The lower cut dust distribu-
tion data is shown in Table 1. It is assumed that the flow degradation for a certain particle
interval is contributed by all particle sizes in the fluid. For example, flow degradation
caused due to a 0-10 micrometer particle exposure is equal to the result of the wear
caused by 0-5 plus 5-10 micrometers exposure. Based on this assumption and Eq. (4), the
Sj for different size intervals can be derived from Sl--the contaminant sensitivity coeffi-
cient with respect to the lowest size interval; normally, 0-5 micrometer.

I 1
$1= s ""'| (5)
~jno,j ~.Qo,,)

And for the next and higher size intervals, they are

I- -I
Sj = -1 en|Qfj _ (e-S,n0.j,j _ 1)| (6)
xjn0,j LQ0, l
where j = 2,3 ..... dmax
Eqs. (5) and (6) illustrate the Sj for different size intervals. Note that the value of Sj can
be obtained if the particle destruction time constant, particle concentration, and flow deg-
radation ratios are known.
The particle destruction time constant has been evaluated for a broad range of com-
ponents and is approximately nine minutes, regardless of the type or size of component,
or the size interval. The particle concentration is determined before conducting a test, and
the flow degradation ratios can be obtained experimentally. Therefore, the Sj values can
be determined for a given component.
The particle destruction time constant has been evaluated for a broad range of com-
ponents and is approximately nine minutes, regardless of the type or size of component,
or the size interval. The particle concentration is determined before conducting a test, and
the flow degradation ratios can be obtained experimentally. Therefore, the Sj values can
be determined for a given component.

Table 1 - - Number of Particles per Milliliter in Size Interval (I) in

One Milligram per Liter Of Size Range (R)

The particle destruction time constant has been evaluated for a broad range of com-
ponents and is approximately nine minutes, regardless of the type or size of component,
or the size interval. The particle concentration is determined before conducting a test, and
the flow degradation ratios can be obtained experimentally. Therefore, the Sj values can
be determined for a given component.
The component Omega Life is defined as the contaminant service life of a compo-
nent under field conditions. Hence, the contaminant sensitivity coefficients derived from
the contaminant sensitivity test in the laboratory can be used to predict the Omega Life of
a component in the field as long as the service operating conditions remain the same as
during the test. The operating conditions include the fluid, contaminant abrasivity, pres-
sure, speed, viscosity, etc. However, from Eqs. (5) and (6), it should be noted that the
contaminant sensitivity coefficients can be normalized to a reference state; namely a ref-
erence Sommerfeld condition (pressure, speed, viscosity). That is, if the operating Som-
merfeld value of a system is known, then the normalized Omega Life can be derived ac-
cordingly using Eqs. (5) and (6).
Under field operating conditions, the average contaminant distribution exposed to a
component is maintained approximately constant by the continual ingression of contami-
nant and the action o f the filtration system. This continuous interchange of new particles
for fragmented particles removed by the filter results in a relatively constant contaminant
level operating condition rather than what occurs in a "multi-pass" condition, as estab-
lished in the normal contaminant sensitivity test process. Therefore, the particle size dis-
tribution is maintained at a constant level condition as shown below:

nj(t) = nfj (7)

Furthermore, the flow degradation of a component exposed to the full contaminant

distribution in time interval dt is equal to the result of flow degradation due to several
size intervals. It is mathematically expressed as in Eq. (8) subject to the flow at time t
being Q(t).

j max r ]
Q(t + dt) = Q(t) - ~ [(Nj (t) - N j§ (t))Q(t)dt~j (8)
j=l

Rearranging Eq. (8) into a differential form and integrating it from the initial flow,
Q0, to the flow at time T, QT, gives the Omega Life, T, expression as

- gn(QT/Q0) (9)
T= jmax
Sjnf,j
j=l

Hence, Eq. (9) can be used to calculate the component Omega Life when it is sub-
jected to any given particle size distribution under field operation. Figure 4 conceptually
illustrates the characteristic of the Omega Life of a given component having an estab-
lished set of contaminant sensitivity coefficients and operating under different contami-
nation conditions. Based upon the specified service life values, the component is obvi-
ously more sensitive to large particles. This provides good insight as to the degree to
which a filter can be expected to contribute to the useful life of the component.

Particle Size w r s u s
~,,,,~ Pump Service Life

o.E=

Log2 ParticleSize (micrometers)

Figure 4 - - Pump "s Omega Life for Two Particle Size Distributions

Contamination Level Effect

Contamination level effect on flow degradation can be evaluated using Eq. (4).
Since the contaminant sensitivity coefficients, Sj, is a unique parameter for a given pump,
thus, equating Eq. (4) with two different contamination levels gives,

(10)

Subscripts t and r stand for parameters evaluated at the test condition and reference con-
dition, respectively. Therefore, rearranging Eq. (10), the flow degradation at reference
condition is

QfJl expV(n~ IUn(Qf'j"~

IQo,,:,= (11)

For example, a flow degradation ratio of 0.9 obtained at a concentration level of

150 mg/L is equivalent to 0.81 at the standard reference level of 300 mg/L. Obviously,
Eq. (11) converts test data into the reference data for normalizing Omega rating. Table 2
lists the test and converted data using Eq. (11) for a set of three identical pumps running
at 75, 150, and 300 mg/L. These data are also graphically shown in Fig. 5.

Table 2 - Contamination Level versus Flow Degradation

99.9999

99.999

99.99

99.9
99.8 , ,-,-

~. 9s
90
80
~Oo]-- "
70
60
5(1
40

20
5 10 20 30 40 50 60 70 85
Test Dusk Size Range (O - Dco)

Figure 5 - - Flow Degradation Profiles under Various Contamination Levels

Operating Pressure Effect

Figure 6 shows the flow degradation profiles for a set of 3 pumps with identical de-
sign running at three pressure levels. It can be noted from the figure that the operating
pressure has a significant effect on the flow degradation. The higher the pressure, the
larger the flow degradation, or the shorter the service life. Therefore, it is necessary to
normalize the pump's Omega if it is not rated under the standard reference pressure--160
bar.
The function that relates flow degradation and the operating pressure can be written
as shown in Eq. (12).

Qa=l_/rb l h _ I b_._~IP]]h3 (12)

Qo ~,2dp) L12L~.oN)J
The design parameters (r, b, do, L) for a given pump are fixed. Therefore, if the op-
erating parameters (~t, N) are kept constant in Eq. (12), the operating pressure, P, and the
leakage clearance, h., become the parameters that characterize the flow degradation.
Theoretically speaking, the operating pressure affects the flow degradation in two w a y s - -
pressure gradient and tribological wear. For a given clearance, according to the Poiseuille
flow equation, the leakage is proportional to the pressure gradient across it. Furthermore,
from the tribological point of view, pressure also affect the wear-out process. A higher
pressure or force acting on the particle generates more wear volume than a lower pres-
sure. From the 3-body abrasion wear model, the wear volume is proportional to the force

o., .,,,
0.6

50,
0.4

0.3

0.1

0 10 20 30 40 50
Particle Size Range (O-D),p.m

Figure 6 - - Flow Degradation Profiles at Various Pressure

acting on the abrasive particle. In addition, from the experimental studies conducted by
the authors, they found that the flow degradation caused by wear can be characterized by
a power function of the pressure. Therefore:, mathematically, the effective clearance dur-
ing the test can be expressed in term of the clearance at the reference state, as follows:

h, = X"h~ (13)

The function that relates flow degradation and the operating pressure can be written
as shown in Eq. (12).

s rb r b r" ll,, (12)

The design parameters (r, b, dp, L) for a given pump are fixed. Therefore, if the op-
erating parameters (~t, N) are kept constant in Eq. (12), the operating pressure, P, and the
leakage clearance, h., become the parameters that characterize the flow degradation.
Theoretically speaking, the operating pressure affects the flow degradation in two w a y s - -
pressure gradient and tribological wear. For a given clearance, according to the Poiseuille
flow equation, the leakage is proportional to the pressure gradient across it. Furthermore,
from the tribological point of view, pressure also affect the wear-out process. A higher
pressure or force acting on the particle generates more wear volume than a lower pres-
sure. From the 3-body abrasion wear model, the wear volume is proportional to the force
acting on the abrasive particle. In addition.~ from the experimental studies conducted by
the authors, they found that the flow degradation caused by wear can be characterized by

a power function of the pressure. Therefore, mathematically, the effective clearance dur-
ing the test can be expressed in term of the clearance at the reference state, as follows:

ht = ~h r (13)

where )~ = the ratio of reference pressure to test pressure (= P/Pt)

= the pressure-wear sensitivity exponent
h = the clearance between the adjacent surfaces
Hence, observing Eqs. (12) and (13) it is found that the flow degradation at reference
state can be expressed in terms of Kl and K2 obtained from testing as follows:

(Qa / =I-(KI)t@Khr)-(K2)t(KXKKhr) 3 (14)

K,
rb
where Kt -
2dp

dr = pump displacement
N = rotational speed (=2~o)
r = gear radius
b = gear tooth thickness
L = length of leakage flow path
P = pressure drop across pump inlet/outlet ports.
g = fluid dynamic viscosity
Subscripts r and t stand for parameters obtained at reference and test conditions, respec-
tively. Note that the effective clearance due to wear is represented by X~hr, while the
pressure gradient effect on leakage is simply accounted by the pressure ratio, )~. Since ht,
(Kl)t, and (K2)t are known from the pump's test data, the flow degradation at the refer-
ence state can be calculated from these test data using Eq. (14).
As discussed earlier, the reference clearance, hr, is equivalent to the entrained parti-
cle diameter, D. Substituting D for hr in Eq. (14), gives

Qa = 1 - (Ki)t D_(K2) t D3 (15)

Equation (15) is the governing formula to convert the test flow degradation to the
one at the reference state. Once the reference flow degradation profile is known, the
pump Omega can be obtained following the standard "omegatization" procedure. It is far
more complicated to express the pressure effect in a direct conversion formula for Omega
normalization than that of the contamination level.

The author's study dealing with omegatization also found that the pressure-wear
sensitivity exponent, K, varies from 0 for low Omega rated pumps to 1 for high Omega
pumps. Therefore, an averaged K value of 0.5 is normally used to account for the pressure
effects on Omega rating. To demonstrate the conversion procedure, consider the test data
shown in Table 3. This set of data was obtained by running 7 gear pumps having identical
design configurations at three pressure levels--1000 psi, 1500 psi, and 2000 psi, respec-
tively.

Table 3 - - Contamination Sensitivity Test Results of Gear Pumps

Summary

From the information presented in this paper it is clear that the particulate contami-
nant entrained in the circulating fluid of a hydraulic system can cause performance deg-
radation in the system pump. The sensitivity of a fixed displacement pump can be evalu-
ated by conducting a contaminant sensitivity test. The results of such a test can be used to
predict the effect of different contamination levels and different operating pressures than
those used in the test.

References

[1] Bensch, L. E. and Fitch, E. C., "A New Theory for Contaminant Sensitivity of
Fluid Power Pumps," Sixth Annual Fluid Power Research Conference, Oklahoma
State University, Stillwater, OK, 1972.

[2] "Method of Establishing the Flow Degradation of Hydraulic Fluid Power Pumps
When Exposed to Particulate Contaminant," T3.9.18-1976, National Fluid Power
Association, Milwaukee, WI, 1976.

[31 Tessmann, R. K., Non-intrusive Analysis of Contaminant Wear in Gear Pumps

Through Ferrography, Oklahoma State University, Stillwater, OK, 1977.

[4] Fitch, E. C., Fluid Contamination Control, FES, Inc., Stillwater, OK, 1988.

[5] Fitch, E. C. and Hong, I. T., Hydraulic System Design for Service Assurance,
BarDyne, Inc., Stillwater, OK, 1999.

Piston Pump Failures In Various Type Hydraulic Fluids

Reference: Ohkawa, S., Konishi, A., Hatano, H., and Voss, D., "Piston Pump
Failures In Various Type Hydraulic Fluids," Hydraulic Failure Analysis: Fluids,
Components, and System Effects ASTM STP 1339, G. E. Totten, D. K. Wills, and D.
Feldmann, Eds., American Society for Testing and Materials, West Conshohocken,
PA, 2001.

Abstract: Instead of an engine oil SAE10w, various hydraulic fluids recently have
been introduced into hydraulic systems of construction equipment which generate 35
MPa and more oil pressure. An antiwear hydraulic oil VG46 became a main fluid of
Japanese hydraulic excavators. A biodegradable hydraulic fluid is spreading from
Central Europe to the world. A synthetic fire-resistant hydraulic fluid also became
popular in the world. When those different types of hydraulic fluids were used in the
construction equipment, many field pump failures were found. Thus we have
investigated the various hydraulic fluids, that have caused pump failures in the field,
using a Komatsu HPV35+35 pump test. The HPV35+35 test could reproduce all the
field pump failures. The mechanisms of the pump failures are discussed.

Keywords: piston pump, hydraulic fluid, piston pump failure, construction equipment,
pump bench test, antiwear hydraulic fluid, biodegradable hydraulic fluid, synthetic
fire-resistant hydraulic fluid, lacquer formation, wear, corrosion, oil deterioration,
scuffing

Introduction

The purposes of this paper are to show piston pump failures caused by several
different-type hydraulic fluids and to clarify required performance in a hydraulic fluid
for construction equipment. Necessities of specifying a high-pressure pump test
method and a hydraulic fluid specification of the construction equipment are also
discussed.
Recently, hydraulic pressure of the construction equipment has steadily
increased and was reached at an average 34.3 MPa pressure. Figure 1 [1] indicates a
hydraulic pressure trend of a hydraulic excavator. The recent high-pressure
hydraulic systems require a higher antiwear performance than those of previous
~Senior Chief Engineer, System Development Center, Komatsu Ltd., Kawasaki, Japan.
2System Development Center, Komatsu Ltd.
3Chief Engineer, Hydraulic Technical Center, Komatsu Ltd., Oyama, Japan.
4Technicai Center, Komatsu America International Co., Vernon Hills, IL60061-8112.

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264 HYDRAULIC FAILURE ANALYSIS

z
c~ 30
M~nuhelJrer I

O2 2O & B
9 C

0 E

0 i I I I I 1
1960 1970 1980 1990 2000 2010
Ye~s
Figure 1 - Oil Pressure Trend of Hydraulic Excavator [1]

machines. On the other hand, the antiwear hydraulic oil is gradually spreading into
the world hydraulic excavator market because of adoption as a factory-fill fluid of the
several Japanese manufacturers as shown in Table 1 [2]. Since the several
equipment manufacturers have extended oil change intervals, it is necessary to specify
a thermal stability of the antiwear hydraulic oil. However, there is no official quality
specification of the antiwear hydraulic oil.
When a low quality antiwear hydraulic fluid was used in the recent high-
pressure construction equipment, pump failures were reported in the field.

Table 1 - Factor ,-Fill Fluid Used by Japanese Hydraulic Excavator Manufacturers

Construction Factory-Fill Fluid Oil Change Interval, hrs
Equipment
Manufacturer Previous Recent
Recommendation Recommendation

A Engine Oil SAE 10W 2,000 5,000

B Antiwear Hydraulic 2,000 4,000
Fluid VG46 (Non-
Zinc Type)
C Antiwear Hydraulic 2,000
D Fluid VG46 (Zinc 2~000 I 5~000
E Type) 2,000
F 2~000

The biodegradable hydraulic fluid is also diffusing from the Central Europe to
Scandinavian countries, Australia and USA. Although the synthetic fire-resistant
hydraulic fluid has been adopted in the construction equipment used in steel mills,
pump failure problems were gradually increased in high-pressure machines. Both
the biodegradable hydraulic fluid and the synthetic fire-resistant hydraulic fluid were

recently specified by VDMA [3,4] as industrial hydraulic fluids. However, the

specifications only contain a low pressure; 14 MPa, vane pump test. Table 2 shows
general differences for operating conditions of hydraulic systems between an
industrial use and construction equipment. Major differences are fluid temperature
and fluid pressure. Melief et al [4] indicated that specifying a high-pressure pump
test is also requested in the industrial application. The ASTM D.02 N.07
Committee is currently discussing four different piston pump tests, which are Rexroth
AA4VSO125, Denison P-46, Vickers PVH57 and Komatsu HPV35+35. SAE
Steering Committee for Asia of the SAE Fuels and Lubricants Division has just
started to discuss a hydraulic fluid specification for construction equipment [2].
Thus, we have investigated field problems and have conducted Komatsu
HPV35+35 pump tests on the various hydraulic fluids gathered from the field.

Table 2 - Comparison of Hydraulic Systems of Construction Equipment

and Industrial Machines
Construedon Equipment Industrial Machine
Hydraulic Pump Piston pump and motor Vane pump, Gear pump,
and Motor Gear pump Piton pump and motor
Fluid Pressure, MPa 32-42 13-32
Fluid Temperature, C 80-100 50-60
Cold Start Yes < -20 C No (Room Temperature)
Fkuid Tank Type Pressurised or Closed Open or Closed
Deaeration Poor Good
Fluid Tank Size Small Large
Wet Parkin~ Brake System Yes No
Water Contamination, % < 0.2 >1.0
Water Drain Maintenance No Yes
Upper Limit of Dust Contamination ISO19/15 ISO16/13
Mixing of Engine Oil Yes No

Investigations of the Field Problems

In construction equipment, it was believed that dust contamination is the only

cause of field pump failures. However, we have found that a number of field pump
failures and fluid deterioration were repeatedly generated in specific brands in some
hydraulic fluids. Table 3 shows the specific fluids, which have ever caused the field
problems. An antiwear hydraulic fluid, Oil-AWl, has caused excessive pump wear
problems in the filed and on a full-size pump bench test using the same pump. A
vegetable-based biodegradable fluid, OiI-VB1, has generated a cavitation damage
accompanied with bronze corrosion. The authors have reported on this problem [5].
A synthetic ester biodegradable fluid, OiI-SB1, has showed a high Total Acid Number
(TAN) within an oil change interval in a large size hydraulic excavator. In synthetic
fire-resistant fluids, an OiI-UF1 has caused several pump breakage in hydraulic
excavators and an OiI-UF2 has frequently caused loss of control of a pump and
motors in bulldozers. All the hydraulic pumps and motors in the construction

equipment adopted almost the same metals. Note that all of the listed fluids, except
for OiI-VB1, have passed the Vickers 104C Vane pump Test (14 MPa).

Table 3 - Hydraulic Fluids Caused Hydraulic System Problems

No. Fluid Code Fluid Type Catalogue Data of Field Experience
Passed Pump Test
Oil-AWl Mineral Antiwear Vickers 104C Piston Pump Excessive
Hydraulic Fluid Wear in A Large
VG46 Hydraulic Excavator
Oil-VB1 Vegetable Base No Piston Pump Corrosion in
Biodegradable Middle-Size Hydraulic
Hydraulic Fluid Excavators
VG38
3 OiI-SB1 Biodegradable Vickers 104C Oil Deterioration in A
Synthetic Ester Vickers 35VQ-25 Large Excavator
4 OiI-UF1 Synthetic Fire- Vickers 104C Piston Pump Failure in
Resistant Hydraulic 24MPa Vane Pump Middle-Size Excavators
Fluid VG56 24MPa Piston Pump
5 OiI-UF2 Vickers 104C Uncontrollable Movement
Piston Pump of Piston Pump and Piston
Motor in Large Bulldozers

Table 4 shows analytical data of all the corrected new fluids and used fluids of
the listed brands. The Oil-AWl is a typical low-zinc additive formulation. By an
excessive bronze wear o f cylinder-bore in the piston pump, a used fluid of the Oil-
A W l indicated a high copper content and a high contamination level. The fluid
deterioration was not observed. A high concentration of calcium and zinc were
observed. This seems to be an insufficient oil drain of previously used engine oil.
A used fluid of the Oil -VBI was also contaminated by an engine oil. The water
content and fluid viscosity change were low. Since the bronze material corrosion of
piston pump cylinder was not so serious at the fluid sampling, the copper content of

Table 4 - Analytical Data on Hydraulic Fluids Caused Hydraulic System Problems

No. Oil Analysis Oil-AWl OiI-VB I OiI-SB I OiI-UF I OiI-UF2
New Used New Used New Used New Used New Used
1,632hrs 1,572hrs 2,570hrs l,1481us 1,057hrs
1 Density 15C, g/era3 0.878 0 925 0 924 0.931 0.925
2 Viscosity, [ 40 C 46.0 41.9 42.0 41.1 46.0 41.1 55 9 54.6 57.7 50.5
3 mm2/s [ 100 C 6.87 6 51 8.80 8.30 8.40 1031 10.98
4 ~ 1o4 io6 205 155 176 186
5 TAN, mgKOH/g 0.6 1.3 0.2 1.6 1.4 2.4 3.3 4.6 1.5 1.0
6 Water, % 0.01 0.05 0.I5 0.07
7 Metals, ppm Fe 17 0 8 56 20
8 Cu 205 1 80 15 95
9 Si 14 0 10 1 10
10 AI 3 5 I I 6
11 Ca 40 627 0 421 0 17 8 76 0 800
12 Zn 350 616 0 178 1 89 2 130 0 220
I3 P 290 567 60 1110 1080 1 15 0 200
14 ISO Code Number of 20/13 I9/16 19/16 20/17 18/15
ContammaUon,
5um/15um

the used fluid seems to be very low. A used OiI-SB 1 showed a high TAN value and
high content of copper and zinc. Since calcium content is very low, zinc seems to
come from wear or from corrosion of brass parts. A used OiI-UFI, which was
sampled 500 hours before pump breakage, showed a high TAN value, a high water
content and low contamination of engine oil. A used OiI-UF2 shows a high copper
content and a high concentration of engine oil.
Figure 2 shows the field data on viscosity and TAN changes of the OiI-SB1 and
the OiI-SB2. The OiI-SB2 is a newly developed biodegradable fluid, which is a
synthetic ester type, for the construction equipment [6]. To compare oxidation
stability of both biodegradable fluids, we have conducted a field tested on the OiI-SB2
using the same large-size hydraulic excavator. Although the OiI-SB1 was introduced
as a high performance biodegradable fluid in the market, the TAN increase of the Oil-
SB1 is clearly higher than that of the OiI-SB2. The TAN value of the OiI-SB1
almost reached an upper limit within 3,500 hours. Since all the mineral antiwear
hydraulic fluids have more than 5,000 hours life, the OiI-SBI has an insufficient anti-
oxidation property or a poor resistance for hydrolysis.
We could not find the exact cause of the hydraulic system problems from the
used fluids analysis because of high complexity of the field operating conditions.
Furthermore, contamination such as engine oil, dust and water in the sample fluid
seem to affect the field pump problems. Therefore, we had to conduct a thoroughly
investigation using the HPV35+35 pump bench tests, which can eliminate all the
contamination effects and the complexity of operating condition.

Upper Limit

9 Oil-SB2
-4-----,-
A
Oil-SB1
35
, I i I i
30 ' ' J i i 0

0 1000 2000 3000 0 IOQO 2000 3000

Oil l-lalrl Oil I-l[g~um
Figure 2 - Deterioration of Biodegradable Synthetic Esters in Hydraulic Excavator

Komatsu HPV35+35 Pump Test

Test System and Test Conditions

To evaluate fluid performance, a Komatsu-made tandem axial piston pump

HPV35+35 was selected. The nominal fluid pressure is 31.4 MPa with a 35
cc/revolution displacement. The hydraulic circuit and pump parts are shown in
Figure 3. Only the front-pump of the tandem system was used to reduce test cost.
The rear-pump ran without a load and was not evaluated. The standard test pressure

was elevated to 34.3 MPa to increase test severity. The rotation speed was 2,100
rpm, which was the same speed as that of the construction equipment engines. The
fluid tank temperature was 95 ~ The reservoir tank volume was 60 liters (total
system volume: 80 liters). The filter was a conventional cellulose element, which
had 830=75 rating. The main parts evaluated were a cylinder, piston assembly, cradle
bearings and a rocker cam. In some cases, a servo-piston, a servo-valve, a roller
bearing, a needle bearing and oil seal also become subjects of the investigation.

ReliefValve [-----'-'~V--v I~ ' ~ ' ~ e r v q ~'al'g~ (F)

(LoadYalv~)[ ' ]rm'L~, m es ServoPiston~ l v a %~,o~"~ ,

__~L.....~ ! ~1. . 6 ~ V a l v e Plate "~0

Filter"-'~ ~ Flow . ~ l ~ , i ~ / - . Piw L~" ~ ~

TestPum~a"~ ] r- - - ~ " Cylin~er~ock~r~'-~,_f~ffr ~

tmpg/~ Front Pump
,,0~ ~..~ ~-~ 2 ["~t,,. Y l ( ~ "~] Assembly
~.. Sight deseJ ,oir ~ C r a d l e Beating |
Glass ' -~0~/~o,~
-T

Figure 3 - Hydraulic Circuit and Pump Parts of liP V35+35 Pump Test

Test Procedure and Evaluation

The test cycle is shown in Figure 4. The cycle was developed only for the
hydraulic fluid evaluation. The test duration was settled at 500 hours to evaluate

Max.
Pressure

NoLoad
i 2 1 1 1
: Time,sec.
=.

>i
5
Figure 4 - Test Cycle of HP V35 +3 5 Pump Test

parts wear and fluid deterioration. Before starting the test, a flushing operation, a
brake-in operation and a pump performance test were conducted. Every 100 hours
during the test, the oil flow change was checked and fluid sampling was corrected.
After testing, all the parts were visually inspected and the parts wear was measured.
Major criteria of the pass/fail are indicated in the Appendix I.

Test Result and Discussion

Antiwear Hydraulic Fluid- Figure 5 shows measured cylinder bore wear data of
HPV35+35 pump test on various hydraulic fluids. The Oil-AWl caused three times
larger wear than that of an engine oil SAE10W; OiI-EO1, which is used as a good
reference oil. Both synthetic-ester biodegradable hydraulic fluids, OiI-SB 1 and Oil-
SB2, and the fire-resistant fluid, OiI-UF1, show low cylinder wear. Since there is no
excessive wear problem with engine oils, synthetic esters and synthetic fire-resistant
fluids in the field, the bench test results can prove that the low antiwear property of
the Oil-AWl caused the pump wear problem in the field. To clarify the cause of
high wear rate of the Oil-AWl, reciprocating wear tests have been conducted on
several zinc-containing antiwear hydraulic fluids. Table 5 shows the test method.
From the results shown in Figure 6, the Oil-AWl shows the largest wear volume and
the Oit-AW2 and the OiI-EO1 show low wear. 9 Content of ZDTP: Zinc-dialkyl (or
Aryl)-dithiophosphate, have some correlation with ,the wear. Since the correlation
between the reciprocating wear test and theHPV35+35 pump test has not enough, the
antiwear performance of the antiwear hydraulic fluid should be specified using the
pump test. In a commercially available antiwear hydraulic fluid, Oil-AW2, the
HPV35+35 pump test results show low cylinder bore wear as indicated in Figure 5.
However, the OiI-AW2 showed a large oil-flow reduction as shown in Figure 7. The
flow reduction was due to servo-valve sticking caused by lacquer formation. Since
the Oil-AW2 does not contain detergent (Ca: 0 ppm, N: 0 ppm), the lacquer can be
deposited. Namely, the Oil-AWl contains a calcium detergent as 40 ppm of Ca.
The anti-sticking property or the lacquer prevention performance also should be
specified by the pump test also should be included in the specification.

Oil-UF1 ! Upper Limit

OiI-SB2
l
OiI-SB1

OiI-EO1

OiI-AW2

Oil-AWl

0 20 40 60 8o

Bore wear, um
Figure.5 - Cylinder Bore Wear in Various Hydraulic Fluids by HPV35 +35 Pump Test

Table 5 -Reciprocating Wear Test Method

Tester Tester Type Pin on Plate

Friction Method Reciprocating Sliding
Lubrication Oil Dropping
Test Piece Pin Steel Hardness: HRC 60
Surface Roughness: 25 rms
Plate Brass Hardness: HRB 92
Surface Roughness: 30 rms
Test Condition Load, N 1960
Cycle, 1/min. 300
Max. Speed, m/s 1.5
Stroke, mm 96
Initial Plate Temperature, C 80
Oil Dropping Speed, ml/min. 0.5
Test Time, min. 60

t00
Oil-AWl
QJ
30
9 UpperLimitfor

Q Q
20
Oil.EO1. ' ~

i I i I i I i I i I i I i
0 200 400 600 ~00 1000 1200 1,100

Zn Content, ppm

....Fig.6 - Relationship between Brass Plate Wear and Zinc Content of Antiwear
Hydraulic Fluid by Reciprocating Wear Test

110t Oil-EO1

l
7a

611
100 200 300 400 500 600
Test Hours
Figure 7 - Fluid Flow Change of Antiwear Hydraulic Fluids in HPV35+35 Pump Test

Biodegradable Hydraulic Fluid - On the vegetable biodegradable fluid, the

authors clarified several problems [5] using the HPV35+35 pump test;
9 Sulfur containing vegetable hydraulic fluids cause bronze corrosion.
9 Most of the vegetable hydraulic fluids show poor anti-oxidation stability.
9 Some vegetable hydraulic fluids generate precipitation of antioxidant additives.
9 All the vegetable hydraulic fluids should be used below 32 MPa and below
80 ~
The OiI-VB1, which contains 025% by weight of sulfur, showed a heavy
bronze corrosion and rapid fluid deterioration as shown in Figure 8 and Figure 9.

Figure 8 -Heavy Bronze Corrosion Generated in Oil-VB1 (Left) and Excellent Block-
Surface in Oil-SB2 (RighO by HP V35+35 Pump Tests

~5
Upper Limit
3.0 - ~

~' 45
~2.0
6 t E
40( ~ 0 0 0
Ofl-SB2(34.3MPa)
"6 )( )( ;; I-'- 1.0
.. .
Off- ","B1 ( 3 1 ~ ~
Ofl-EO1 (34.31"1Pa)
30 i i i i
10(3 200 300 400 0 100 200 300 400 500
Test Hours T e s t Hours

Figure 9 - Oil Deterioration of Biodegradable Hydraulic Fluids

in HPV35+35 Pump Test

The results of the pump bench test agree with the field experience of Table 3.
On the synthetic ester biodegradable fluid - The OiI-SB 1 has showed a viscosity
reduction and a rapid increase in the pump bench test as shown in Figure 9. The oil
deterioration of the OiI-SB 1 in the field, Figure 2, can be reproduced by the pump
bench test within 500 hours. The increases of zinc and copper were never observed.
Namely, zinc content of the 500 hours used fluid was 15 ppm and copper content was
2 ppm.

Newly Developed Biodegradable FluM for Construction Equipment - The

authors developed a new biodegradable hydraulic fluid, which generates a high
friction coefficient on a wet parking brake [6]. The newly developed biodegradable
synthetic ester fluid, OiI-SB2, has an excellent lubricating performance as shown in
Fig. 8 and has a good oxidation stability both on the pump bench as shown in Figure 9
and in the field (Fig. 2). The anti-oxidation performance of the OiI-SB2 is almost the
as the same level as that of an engine oil SAE10W, OiI-EO1 in the pump bench test.
To apply the OiI-SB2 into a 41.1 MPa hydrostatic transmission (HST) system,
which was recently adopted in wheel loaders and bulldozers, a higher pressure bench
test of the OiI-SB2 was conducted. As a result, we found [7] that the OiI-SB2 cause
scutTmg on cradle bearings at 41.1 MPa pressure in the pump bench test as shown in
Figure 10. Fluid deterioration of the OiI-SB2 was no problem (Table 6). Thus the
Oil -SB2 was improved by adding only ZDTP to increase antiscuffing property.
Although wear reduction of the improved OiI-SB2 was small in the reciprocating wear
test, the improved OiI-SB2 could prevent the cradle bearing scuffing completely.
The HPV35+35 pump test can accelerate the fluid deterioration and has a good
correlation with the field fluid deterioration data. The fluid antiscuffing property can
be evaluated by the HPV35+35 pump test.

Figure 10- Scuffing on Cradle Bearing in Oil-SB2 at 44.1 MPa HPV35+35 Pump
Bench Test

T able 6 - Antiscuj~ng Improvement of Oil-SB2for 41.1 MPa Application

Oil-SB2 Improved Oil-SB2
Viscosity, at 40. C 42.47 42.0
mm2/s at 10Q C 8.30 8.44
EP Additive No ZDTP (Zn=450 ppm)
Reciprocating Wear Test, mg 15 10
HPV35+35 34.3 MPa x 95 C OK
Pump Test x 500 hrs
41.1 MPa x 95 C Cradle-Bearing Scuffin! OK
x 500 hrs

Synthetic Fire-resistant Hydraulic Fluid- The OiI-UF1, which showed the

lowest cylinder bore wear in Figure 5, caused a cradle-bearing scuffing in the 34.3
MPa pump test as indicated in Table 7. Although an actual cause of the field pump
failure was not clarified because of very serious damage, the low antiscuffing property
of the OiI-UFI can be the cause of the field failure. Although the filed used fluid
sample of the OiI-UF1 showed a high TAN value, the TAN increase in the pump
bench test is small. To prevent the cradle-bearing scuffing, the Oil-UF 1 is modified
by adding phosphate EP additive. The improved OiI-UF1 showed a large wear
reduction in the reciprocating wear test. However, the improved OiI-UF1 again
caused the sculTmg in the 34.3 MPa pump test. The reciprocating wear test data does
not have any correlation with antiscuffing property of the synthetic fire-resistant
hydraulic fluid. This indicates that the performance evaluation of the hydraulic fluid
should be conducted by the pump. The OiI-UF2, which caused pump uncontrollable

movement, was also tested on the pump bench. As the result, scuffing of a servo-
piston was generated as shown in Figure 11. These scuffing phenomena were never
experienced in the biodegradable hydraulic fluids, which have similar molecular
structure and similar physical properties, by the 34.3 MPa pump test.

Table 7 - HP V35 +35 Pump Test Result on Synthetic Fire-resistant Hydraulic Fluids

Oil-LIFt ImprovedOil- OiI-UF2

UFI
Viscosity, mm2/s at 40. C 55.9 55.6 57.7
at 10Q C 10.31 10.27 10.98
TAN, mgKOH/g 3.3 3.34 1.5
EP Additive NO Phosphate
No (P=1,200 ppm)
Reciprocating Wear Test, mg 75 31 2O
HPV35+35 Used Fluid Viscosity,mm2/.~ 61.9 62 64.2
Pump Test Property at 40 C
Result TAN, mgKOH/g 3.37 3.4 2.1
(34.3 MPa x 95 at 500hrs
C X 500 hrs) Pump Parts Failure Cradle-Beadn~ Cradle-Beadng Sen/o-Piston
Scuffing Scuffing Scuffing

Figure 11 - Servo-Piston Scuffing Caused by Oil-UF2 in HPV35+ 35 Pump Test

To clarify the scuffing mechanism of the fire-resistant hydraulic fluid and the
biodegradable hydraulic fluid, we have measured EHL oil-film thickness by an optical
interferometer equipped to a rotating glass plate pressurized by a rolling steel-ball.
The measured EHL oil-film thickness is shown in Figure 12. Contrary to
expectations, both synthetic fire-resistant hydraulic fluids, OiI-UF1 and OiI-UF2,
show thicker oil-film than that of the biodegradable hydraulic fluids. This indicates
that the lack of antiscuffing property of the synthetic fire-resistant hydraulic fluids is
not due to oil-film thickness. Since oil deterioration of the synthetic fire-resistant
hydraulic fluids is not so large, the cause of scuffing was not clarified.

O]I:~,u t ~ : , : :

i:::EfiL.:i~]!:ii:rn:Thi:c.k::n:e ss~:. ~ rn.:a~: 1:0. :mis,.:

Figure 12 - EHL Oil-Film Thickness at 68. 7 N Pressure,
10 m/s Rotating Speed and 25 Degrees C

Conclusions

The Komatsu HPV35+35 pump test can reproduce most field problems caused by
various low quality hydraulic fluids. Furthermore, possible pump failures have been
clarified. On various tested hydraulic fluids, we can summarize as follows;
(1) A low antiwear hydraulic fluid causes excessive cylinder-bore wear. A lack of
detergency or dispersancy of antiwear hydraulic fluid generates lacquer and
induces servo-valve sticking.
(2) A vegetable biodegradable hydraulic fluid, which contains sulfur, cause bronze
corrosion. The vegetable hydraulic fluid deteriorates easily at conditions greater
than 31.5 MPa and 80 degrees C.
(3) A synthetic ester biodegradable hydraulic fluid, which used in the field, shows a
rapid TAN increase like the vegetable biodegradable hydraulic fluid.
(4) A newly developed synthetic ester biodegradable hydraulic fluid shows a good
lubricating performance and oxidation stability in a 35.1 MPa test. However, a
scuffing problem occurs on a cradle bearing at a 41.1 MPa test. The scuffing at
the high pressure test can be prevented by adding ZDTP.
(5) Two synthetic fire-resistant hydraulic fluids cause scuffing on a cradle bearing and
on a servo-piston. The scuffing of the cradle bearing could not be prevented by
adding a phosphate EP additive.
Through these hydraulic fluid investigations, it became clear that a laboratory
friction test has no correlation with pump scuffing phenomena, and prediction of an
antiscuffing performance is impossible from an additive composition. Thus all
hydraulic fluids for the construction equipment should be evaluated by the Komatsu
HPV35+35 pump test.

Acknowledgments

The authors are great indebted to Mr. Suda (Japan Houghton Co.) and Kyodo Yushi
Co., Ltd. for measuring the EHL oil-film thickness.

References

[I] Kanai,T., "Construction equipment Trend to High Oil Pressure," Power Design,
28, 4, 1990, pp. 66-72
[2] Ohkawa, S., "Need of Hydraulic oil Specification for Construction Equipment,"
5th Fuels and Lubes Asia Conference, 1999
[3] VDMA 24 568, "Fluidtechnik / Bioliogisch schnell abbaubare
Druckflllssigkeiten / Technushe Mindestanforderungen," 1994
[4] Melief, H. M., Totten, G. E., and Bishop, R. J., "Overview of the Proposed
Rexroth High-Pressure Piston Pump Testing Procedure for Hydraulic Fluid
Qualification," SAE 982022, 1998
[5] Ohkawa, S., Konishi, A., Hatano, H., Ishihama, K., Tanaka, K., and Iwamura,
M., "Oxidation and Corrosion Characteristics of Vegetable-Base
Biodegradable Hydraulic Oils," SAE 951038, 1995
[6] Konishi, A., Ohkawa, S., Nanba, M., Nakamoto N., and Yoshida T.,
"Development of a High Performance Biodegradable Hydraulic Oil for
Construction Equipment," SAE 971632, 1997
[7] Ohkawa, S., Konishi, A., "Biodegradable Hydraulic Oil for Heavy-duty
Construction Equipment," Internationales Fluidtechnisches Kolloquium,
Aachen (1998) 207-214

APPENDIX I - Pass~Fail Criteria of HPV35+35 Pump Test

Cdteda
Antiwear Hydraulic Biodegradable
Oil Hydraulic Fluid,
Unflammable
Items Hydraulic Fluid
Operating Oil Flow Reduction, % 3.0 max.
(~ondition
Parts Cylinder Bore Diameter Change, mm 0.050max.
Investigation
Piston Diameter Change, mm 0.030max.
Piston Shoe Thickness Change, mm 0.050max.
Clearance of Piston/Shoe, mm O.020max.
Cylinder Spherical Portion Wear, 0.015max.
mm
Rocker Cam Wear, mm 0.015max.
Cradle Bearing Wear, mm 0.020max.
Servo Piston Wear, mm 0.005max.
Parts Appearance No Seizure, No Corrosion, No Transfer, No
Lacquer Judging BY Reference Photos
Filter No Plugging

Oil Analysis Viscosity Change at 40 C, % Within 5 Within 10

TAN Increase, mgKOH/g 0.8 max. 3.0 max.
n-Pentane Insoluble, % 0.1 max.

Fundamental Hydraulic Wear Processes

Reference: Liang, H., Mizuno, K., Totten, G. E., Lemberger, S., and Bishop, R. J., Jr.,
"Fundamental Hydraulic Wear Processes," Hydraulic Failure Analysis: Fluids,
Components, andSystem Effects, ASTMSTP 1339, G. E. Totten, D. K. Wills, and D.
Feldmann, Eds., American Society for Testing and Materials, West Conshohocken, PA,
2001.

Abstract: To effectively perform root cause analysis of hydraulic wear problems and
system failures, it is vital that the fundamental wear processes be correctly recognized
and understood. In this paper, fundamental potential pump wear problems will be
illustrated pictorially and the mechanisms of these processes will be discussed. Some of
the wear processes to be discussed include: abrasion, adhesion, cavitation, rolling contact
fatigue, corrosion, and lubrication failure. It is expected that this discussion will provide a
basic background to facilitate understanding of the more complex wear processes to be
discussed during this conference.

Keywords: cavitation, fatigue, lubrication, hydraulic fluid, failure analysis

l Assistant Professor, Department of Mechanical Engineering, University of Alaska, P.O.

Box 755905, Fairbanks, AK 99775-5905.
2 Engineer, Basic Technology R&D Center, Kayaba Industry Co., Ltd., 1-12-1
Asamizodai, Sagamihara, Kanagawa Pref.228-0828, Japan.
3.4Senior Research Scientist and Project Scientist, respectively, UCON| Fluids and
Lubricants, Union Carbide Corp., 771 Old Saw Mill River Road, Tarrytown, NY
10591.
5 Engineer, John Crane Inc., 6400 West Oakton Street, Morton Grove, IL 60053.

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LIANG ET AL. ON FUNDAMENTALPROCESSES 279

Introduction

Hydraulic systems transmit and control energy or power through the use of moving
and pressurized liquids contained within an enclosed system. There are three basic types of
hydraulic pumps: gear, vane, and piston. These pumps have undergone significant
improvement in the last few decades such that higher pressure, greater stress, faster speed,
higher power, and longer life can be achieved. Component wear for these systems is
expected. How fast they wear, part replacement and wear cost has become an issue. Cost
spent on hydraulic systems, e.g., maintenance and parts failure, has been the drive in
understanding wear fundamentals and performing failure analysis to obtain overall system
improvement. In this paper, hydraulic pump wear and failure mechanisms will be discussed.
Various examples of hydraulic pump component failure will be illustrated.

Discussion

Hydraulic Pump Lubrication

One source of hydraulic pump failure is improper lubrication. Many components

within piston and vane pumps are in pure sliding contact, st~ch as valve-plate and cylinder
block, piston and cylinder wall and slipper and swash plate surfaces [I]. The sliding
contact within a vane pump is the vane on cam ring surface as illustrated in Figure 1 [2].

Figure 1 - Sliding Contact within a Vane Pump

Sliding wear at the valve plate-cylinder block surface will affect performance of both
swash plate and bent axis piston pumps. Wear at this interface may facilitate case leakage,
which will increase with decreasing fluid viscosity [1]. The slipper-swash plate wear
contact will significantly impact pump performance. Due to the small size, this contact
operates in the mixed-film lubrication regime.
The piston and the cylinder wall are also in sliding contact. For many swash plate
piston pumps, metal-to-metal contact is difficult to avoid owing to the high lateral forces

acting on the pistons [1]. Lubrication at these surfaces is enhanced by designing for
hydrostatic lubrication and by varying the piston shape and size.
These examples show that hydraulic pump lubrication and performance are
dependent on preventing pump and component damage and maintaining design clearances.
Anything that produces a change in these clearances, such as lubrication failure and wear,
may dramatically affect hydraulic pump performance.

Fluid Oxidation

It is normal for fluids to form acids and sludges due to oxidation. This is
accelerated with extended operation at high temperature and thermal cycling [3].
Although operating temperatures of mineral oil hydraulic fluids will vary with the
application, there are some guidelines: typically, the maximum operating temperature at
atmospheric pressure is 150~ (65~ Operating temperatures of 180-200~ (82-93~ are
possible but the fluid must be changed 2-3 times as often, and operation at temperatures
at 250~ (121~ causes relatively rapid fluid decomposition. Fluid lifetimes, perhaps as
short as 24 hours, may result [3].
In addition to heat exchanger failure, excessive heating of hydraulic fluids may be
due to a sticking valve or relief valve set too low. If the sticking valve does not return to
the neutral position, the system energy goes to heat and not work, thus overheating the
fluid. If the relief valve is set too low, a portion of the fluid will be dumped across the
relief valve witti each cycle causing both overheating and slow operation [4]. The effect
of high temperature excursions on hydraulic equipment is illustrated in Figures 2 and 3.

Figure 2 - Gear Shaft Discoloration Due to Overheating

Figure 3 - Vane Pump Flex Plate Discoloration and Erosion Damage Due to Overheating

A possible source of hydraulic system problems is the deposition of oil oxidation

by-products [5, 6]. It has been shown that suction strainer clogging by resinous oil
oxidation by-products led to cavitation and at least 50% reduction in hydraulic pump
lifetime [6]. The resinous by-products form an insulation coating on the strainer mesh.
This will lead to a build-up of static electricity and a spark discharge on full-flow filters
(strainers) causing further oil breakdown [7]. This subsequently led to pump failure by
cavitation due to reduced pump inlet flow rate. As a result of this study, it is
recommended that suction filters and strainers be avoidedin hydraulic systems [6].

Over-Pressurization

A hydraulic pump should not be subjected to operating pressures greater than those
for which the pump was designed. Over-pressurization creates forces against various
internal components and may cause premature failure.
Over-pressurization may also be caused by component failure. There are two
possible causes for over-pressurization: [4] 1) relief valve failure causing an extreme
pressure surge and component failure and 2) if relief valve setting is too high, component
failure may result. An example of failure due to over-pressurization is shown in Figure 4.

Figure 4 - Gear Pump Shaft Failure Due to Excessive Pressure Contamination

Any foreign material in a hydraulic fluid that exhibits a harmful effect is a fluid
contaminant. Contaminants may be solid particles, liquids, or gases. Most solid
contaminants cause an abrasive action that will eventually increase the dimensions between
the components (see Abrasive Wear section). Table 1 provides a summary of major
contaminant types and possible damage that they may cause [8].

Table 1 - Common Fluid Contaminants and Possible Damage

Contaminant Damage
Ingested Dirt Solids interfere with oil film formation
Hard particle abrasion
Fine particles cause polishing wear
Fatigue failure in rolling element bearings due to dents i'rom
~articles
Water Produces non-uniform fluid film formation
Causes rust
Causes hydrolysis and acid formation
Catalyzes oxidative oil degradation
Manufacturing Debris Metal chips penetrate oil film and initiate scuffing
Chemicals Causes corrosion and oil degradation
Wear Debris Wear debris accumulation promotes oil degradation
Destroys surface of babbit bearings
Wrong Oil If viscosity istoo low, oil film is too thin
If viscosity is too high, pump efficiency decreases ~
[f additives are too chemically active, corrosion and polishing
will result.
If additives are not sufficiently chemically active, risk of
scuffing increases
~Efficiency generally increases with increasing viscosity due to reduced internal leakage.
However, excessive fluid viscosity produces cavitation which decreases efficiency.

Wear Mechanisms

To conduct successful failure analysis, it is first necessary to understand and

recognize common wear mechanisms upon inspection. Commonly encountered wear
processes include: 1) abrasive wear, 2) adhesive wear, 3) erosive wear, 4) cavitation wear,
5) corrosive wear, 6) contact stress fatigue wear and 7) other forms of wear.

Abrasive Wear - Abrasive wear refers to the cutting of a metal by hard particles or a
rough surface by a ploughing or micro-cutting mechanism [8, 9]. When abrasive wear is

caused by a hard particle between two surfaces, it is termed three-body wear. Hard
particles causing three-body wear may be introduced into the system from the component
manufacturing process, generated internally as wear debris, ingested through a breather or
seals or it may be added as a contaminant in the fluid upon addition to the system [10].
Abrasive wear is dependent on particle size distribution, shape, toughness, and
hardness [11]. Hard particles penetrate and become embedded into one of the wear
surfaces. The embedded particle then cuts the opposite surface. The energy from the
micro-cutting action causes plastic deformation and the formation of parallel furrows and
ridges in the direction o f surface movement [8]. A surface that has undergone abrasive
wear is illustrated in Figure 5 and by scratch marks on a piston shoe shown in Figure 6.
An example of abrasive wear of a vane-rotor assembly is shown in Figure 7.

Figure 5 - Illustration of Surface Abrasion

Figure 6 - Scratch Marks on Piston Shoe Face

Figure 7 - Abrasive Wear on a Vane Pump Rotor

Two-body wear is caused by a harder surface with asperity dimensions sufficiently

large to penetrate the lubricating oil film causing a plowing or micro-cutting action on the
other softer surface which is in relative motion. This form of wear is also known as
cutting, plowing, gouging, lapping, grinding or broaching wear [11].
Abrasive wear may be minimized by: [1 O] 1) removal of potential residual
manufacturing debris by proper draining and flushing procedures before starting, 2) using
wear resistant materials of construction, 3) minimize ingested particles by the use of
proper breather filters and by keeping the system tight, 4) using fine filtration to minimize
particulate contamination of the hydraulic fluid, 5) perform proper fluid maintenance and
periodic fluid analysis.

Adhesive Wear - Adhesive wear occurs when surface asperities come into sliding
contact under a load. If sufficient heat is generated, micro welding of the asperity with
subsequent shearing and material transfer of the contact will be observed. This process
will continue until larger surfaces are in contact and macro welding or seizure occurs.
Generation of adhesive wear debris may then cause abrasion wear. Therefore, it is
possible for both wear processes to occur together. If the temperature is sufficiently high,
metal flow and "smearing" will be observed. If the part is constructed from steel,
tempering colors may be observed and if the temperature of the total part is high enough,
plastic deformation and fracture [9] may result as illustrated in Figure 8.

Adhesive wear is dependent on: [12]

1. Surface characteristics including hardness, shear strength, roughness, surface

"waviness," geometry, elastic modulus, tensile strength, ductility, melting
temperature, and interfacial metal compatibility.

2. Normal loading and tangential sliding force.

3. Lubrication conditions including the presence of oxide films, extreme pressure
lubricants, oil films and contaminants.
4. Environmental properties such as dust, salt, fog, water, temperature and chemicals,

Figure 8 - Plastically Deformed Roller Bearings in a Piston Pump

Adhesive wear may be reduced by increasing material hardness, surface hardening,

avoiding metallurgically similar material pairs, avoiding highly soluble materials, using
welding-resistant materials, and providing a soft layer containing compounds of sulfur
and phosphorous [12]. Adhesive wear can also be reduced by use of proper anti-wear
additives in the hydraulic fluid formulation.
Adhesive wear may occur in areas where the friction contacts are greatest due to
tight fits, misalignment, high loading, poor lubrication and high temperature [13].
Examples of adhesive wear are provided in Figures 9 and 10.

Figure 9 - Adhesive Wear on a Cam Ring

Figure 10 - Yellow Metal Transfer from Piston Pump Shoes to Swash Plate Due to
Adhesive Wear

Polishing Wear - Polishing wear may occur by one of two mechanisms. One
mechanism is chemical and occurs when the EP additives that are present in the hydraulic
oil are too aggressive leaving a bright, mirror-like surface [10]. This is undesirable since
the polished surface is less resistant to wear due to insufficient lubricant retention.
Alternatively, polishing wear may occur during component break-in when surface
asperity adhesive wear occurs until a very fine, smooth surface results [14, 15]. This is
caused by insufficient EHD lubrication to prevent such asperity contact. Polishing wear
can be minimized or avoided with the use of a high viscosity lubricant or reduced
operating temperature. Polishing wear on a piston from a hydraulic piston pump is
illustrated in Figure 11.

Figure 11 - Polishing Wear on a Piston

Erosion W e a r - Moving particle or liquid drop surface impingement erosion wear

(erosive wear) [16], may result in scratching, surface indentation, chipping, and gouging
as shown in Figure 12. Mechanistically, erosive wear is a combination of two processes,
surface fatigue and abrasive cutting [16]. The erosive wear in hydraulic pumps generally
occurs where there is a change in flow direction such as in orifices, line restrictions and
the leading edge of rotating pairs.

Figure 12 - I m p i n g e m e n t E r o s i o n Wear on a M e t a l Surface

Cavitation W e a r - Cavitation arises when there is a sudden collapse (implosion) of

a gas bubble entrained in the hydraulic fluid Figure 13. The bubble implosion process
forms a high velocity micro-jet capable of high impact energy. The implosion process and
subsequent micro-jet surface action is often called the "water hammer" effect. Cavitation
occurs when there are excessive gas bubbles, high loading, or abrupt surface contour
changes. After repeated bubble implosions, material fatigue damage results in surface
damage with the formation of pitting and larger holes as shown in Figure 14. The
propensity for cavitation is dependent on material properties. Examples of cavitation
damage are provided in Figures 15 and 16.

////~///, Y//~//,
1 2
Initial Bubble Initiation of
Bubble Collapse

"////////#//////////
3
77ff/~~
Forming of Liquid Jet
4
Impact and
Metal Extrusion
F i g u r e 13 - Illustration of Cavitation Process

Figure 14 - Cavitation Damage on Metal Surface

F i g u r e 15 - Cavitation Damage on Piston Pump Port Plate

Figure 16 - Cavitation Damage on Vane Pump Ring

Cavitation may occur if the hydraulic fluid is too cold or the fluid viscosity is
excessively high. This will lead to the formation o f voids within the fluid caused by oil
starvation on the suction side o f the pump. In addition to excessive fluid voids, cavitation
may also be due to insufficient pumping capacity and restricted passages in the piping and
strainers. Overall flow resistance should not create a net inlet vacuum in excess o f 5-10
inches Hg maximum [17]. Additional potential sources o f cavitation include excessive
pump shaft speeds, fluid specific gravity higher than system design accommodation, high
altitude, boost or make-up pressure is too low, and no baffle plate in the reservoir.
One o f the most common causes o f hydraulic pump cavitation is improper pump inlet
designs that do not provide the necessary NPSHA (Net Positive Suction head Available) for
the fluid being used [18]. The availableNPSH at the pump inlet for a simple system may
be calculated from:

NPSHA = Ha + Hs - Hw - He (1)

Where: H a =Head pressure acting on the fluid surface in the tank. If the system is not
pressurized, this will be atmospheric pressure.
H S= Is the head pressure between the surface o f the fluid and centerline of the
pump inlet. It is very important to note that this value will be negative if the
fluid surface is below the pump inlet.
Hw= Is the vapor pressure o f the fluid at the fluid temperature expressed as feet of
head.
Hf = Is the friction loss in the suction piping.

Corrosive Wear - Corrosion wear is surface damage that is related to

electrochemical attack o f the metal component. Corrosion may be classified as:

1. Crevice or cell corrosion occurs when the tendency for corrosion is greater in cracks
or crevices.
2. De-zincification occurs when brass is used. Zinc, an alloying element in brass,
dissolves preferentially as a soluble salt. Brasses with greater than 15% zinc are most
susceptible to de-zincification, particularly in a salt-water environment.
3. Stray electrical currents from motors or generators may come into contact with
fabricated metal sections or hydraulic components accelerating electrochemical
attack.
4. Pitting is caused by contact with extreme temperature or acids. This will result in
localized oxidative breakdown of the material. The corroded area is anodic and loses
metal locally to the cathodic area causing pitting. Severe abrasive wear damage due to
oxidative pitting is illustrated in Figure 17.
5. Fatigue stresses may occur in a metal which are caused by internal or external
pressures such as a nut on a bolt. This will create a pathway within the material that
will corrode more rapidly. If the stresses are cyclic, accelerated corrosion or corrosion
fatigue may result.
6. Intergranular corrosion may occur within grain boundaries o f the metal.

Figure 17 - Oxidative Pitting on Vane Pump Ring

One result of corrosion is the formation o f metal oxides which have characteristic
colors [13]. Ferrous alloys or steel often form reddish-brown oxides. Copper or brass
forms bluish-green oxides. Oxides of aluminum are gray.

Common causes of metal corrosion include: [19]

1. Water from humid air ingression and subsequent condensation, liquid water from
spray or splash contamination, water ingression from defective enclosure and cooling
coil leakage, and water contaminated lubricant.
2. Lubricant chemistry and poor lubricant formulation using aggressive EP additives,
presence of acids from decomposition or exposure to active metals, lubricant and
system incompatibility such as yellow metal attack.
3. Corrosive chemical vapors in the atmosphere.
4. Corrosive processing chemicals such as coolants and cleaning fluids.
5. Galvanic couple formation between metals with different electrochemical potential
such as yellow metal separators in Martensitic steel roller bearings, stainless steel
surfaces contaminated with Martensitic steel and aluminum alloy components with
unprotected surfaces in contact with steel, and in the presence of an electrolyte which
is any ion conductive fluid.

Galvanic Corrosion - Galvanic corrosion is recognizable by the appearance of

increased corrosion near the junction of dissimilar metals [19]. This is caused by
electrochemical transfer of one metal to another. The propensity for galvanic corrosion is
dependent on the position of the two metals in the galvanic series, shown in Figure 18.
Any metal will have a greater tendency to corrode when it is in contact with another
metal in a lower position in the series in the presence of an electrolyte. The farther apart
the two metals in the series, the greater the potential for galvanic attack. For example,
steel rivets in copper plates in seawater will undergo galvanic corrosion. Electrons flow
from steel to copper which results in a deposit of iron oxide on copper.

LEAST NOBEL
CORROOEO ND
MAGNESIUM
MAGNESIUM ALLOY
ZINC
ALUNINLr~M ~IO0
CAOMIUM
~ 4
STEEL OR IRON
CAST IRON
41UM IRON (ACTIVE) COPPER
ZSIST
3 0 1 STAINLESS (ACTIV[)
316 STAINLESS (ACTIVE)
9TIN SOLDERS

~L (ACTIVE) SALT
EL (ACTIVE) WATER
5ES
;B
[ES
ZR-NICKEL ALLOYS
)R SOLOER
EL )PASSIVE)
qEL (PASSIVE)
IIUM-IRON (PASSIVE)
304 STAINLESS (PASSIVE) iC STAINLESS STEELS
PASSIVATEO

NOBEL :
CTED END

Figure 18 - Illustration of the Galvanic Series

Galvanic corrosion may be minimized by:

1. Using the same or similar metals, especially if an electrolyte is present.

2. Avoid combining dissimilar metals where the area of the less noble metal is relatively
small.
3. Use a dielectric material, paint, or coating to separate dissimilar materials where
possible.
4. If a pair of dissimilar metals must be used, couple them to a piece of less noble metal,
often zinc, which may be used for sacrificial corrosion [13].

Contact Stress Fatigue Wear - Contact surface fatigue is favored by small contact
areas, high loadings, and repeated flexing action under cyclic rolling or reciprocal sliding
loads, although each occurs under different conditions as illustrated in Figure 19 [20]. If
the applied stress is greater than the material yield stress, then the process is often
accompanied by frictional heat and plastic flow. Subsurface structural changes will also
be observed metallurgically.

Figure 19 - Illustration of Contact Shear Stress Formed by Rolling and Sliding Processes.

Contact stress fatigue wear processes are distinguishable from abrasion [21].
Reciprocal sliding action produces a cyclic shear load. Cracking initiates at the surface
and progresses into the subsurface zones [22] and is characterized by pitting.

Rolling action compresses the surface and cracks initiate below the surface at the
point of maximum Hertzian stress, as shown in Figure 20 [23]. For many materials,
maximum shear stress occurs at 0.01 mm depth below the surface [23]. Traditionally, it
was believed that crack initiation almost invariably occurred at the subsurface non-
metallic inclusion sites or grain boundaries or at surface stress risers such as keyways.
However, it has also been shown that cracking may initiate from surface work hardening
to about 20 p.m with accompanying formation of untempered Martensite [20].

x M~XA~MUM? ~

uTj

Figure 20 - Illustration of the Point of Maximum Hertzian Stress

Surface fatigue is typically manifested by: [24]

1. Pitting - Pit sizes may vary from small 0.4-0.5 mm to much larger destructive holes
which often occur in the negative sliding condition.
2. Spalling - Surface "spalls" may be much larger, more shallow and more irregular in
shape than pits as illustrated in Figure 21 [14].
3. Case Crushing - This is a subsurface fatigue failure that occurs just below the
hardened case [14] with longitudinal cracks ending on the surface.

Figure 21 - Illustration of Surface Spalling on a Bearing Race.

Design factors that affect surface contact fatigue include EHD film thickness,
surface roughness, surface loading, sliding velocity, lubricant additives [25, 26], and
material properties [23]. The fatigue life of roller bearings has been related to the lambda
ratio (specific film thickness ratio) as shown in Table 2 [28].

Table 2 - Correlation of Lambda Value with Fatigue Cracking of Roller Bearings

A Value Wear Observation

<1 Surface smearing or deformation.
1-1.5 Surface distress accompanied by surface pitting.
1.5-3 Surface glazing accompanied by sub-surface failure.
>_3 Minimal wear, long life, eventual sub-surface contact fatigue
failure.

The value lambda is calculated from [27]:

A = ho / o (2)

Where, ho is the central EHD film thickness and o is defined as:

o = (0, 2 + 022)'/2 (3)

Where, o 1 and 02 are the root-mean-square (rms) surface finishes of contact

surfaces 1 and 2. For many bearings, this value can be assumed to be 0.12 p,m. For very
large industrial bearings, o can be assumed to be 0.65 gm [27]. However, with the fast
changing bearing industry one should not assume the surface roughness of the bearings.
It should be either measured or obtained from the manufacturer.
In summary, 1) fatigue cracks are caused by repetitive stress fluctuations, 2) failure
times decrease with increasing stresses, 3) fatigue cracks occur at stresses less than the
material yield stress, and 4) there is a finite time between the origination of the crack and
final failure [27].

Other Forms of Wear

True Brinelling - If the applied load exceeds the elastic limit of the material,
elliptical "brinell marks" or brinnelling will be observed as illustrated in Figure 22.
Brinelling may occur when a hammer is used to install or remove a rolling element
bearing assembly or when it is dropped. Brinelling is due to impact deformation, not
wear.

Figure 22 - Illustration o f True Brinelling Due to Static Overload Causing Bearing

Indentations.

False Brinelling - Elliptical wear patterns in the axial direction at each roller or ball
position in the rolling element assembly, as illustrated in Figure 23, is called "false
brinelling." The elliptical pattern is often surrounded by debris. False brinelling is caused
by vibration induced wear.

Figure 23 - False Brinelling Due to Vibration Induced Micro-motion in the

Contact Areas, A) Roller Bearing Race and B) Ball Bearing Race

Fretting Corrosion - Fretting corrosion occurs when the tips of the asperities of
adjacent moving surfaces come into contact and micro welding occurs. Continued surface

movement causes the tips of the micro-welded asperities to pull offproducing a pitting
effect. The heat of the micro-welding process enhances oxidation of the fresh metal
surface. If water is present, corrosion will result. Fretting corrosion, as illustrated in
Figure 24a and 24b may occur on the surfaces of moving tightly fitted assemblies, such
as roller beatings.

Figure 24 - Illustration of Fretting Corrosion, .4) Fretting on Roller Bearing

Outer Ring and B) Fretting on Ball Bearing lnner Race.

Fluting - A burning or arcing effect may be observed when electrical current

contacts a component surface. This may occur during a process such as welding or during
long-term contact with lower currents. This may produce a fluting effect or pitting on the
component surface as illustrated in Figure 25.

Figure 25 - Illustration of Fluting Due to Passage of Electric Current, .4) Craters

in Roller Bearing Race Caused by Large Currents and B) Pits
Clustered in Axial Lines Caused by Small Currents

References

[1] Yamaguchi, A., "Tribology of Hydraulic Pumps," Tribology of Hydraulic Pump

Testing, ASTMSTP 1310, Eds. G. E. Totten, G. H. Kling, D. J. Smolenski,
American Society for Testing Materials, Conshohocken, PA, 1996, p. 49-61.

[2] Jackson, T. L., "An Introduction to Industrial Hydraulic Oils," Fluid Power
International, 1965, January, p. 17-23.

[3] Godfrey, D., "Gear Wear Caused by Contaminated Oils," Gear Technology, 1996,
Sept/Oct., p. 45-49.

[4] Newingham, T. D., "Selecting the Best Hydraulic Fluid," Power Transmission
Design, 1986, October, p. 27-31.

[5] "Failure Analysis - Hydraulic Gear Pumps," Brochure No. HG.56.A1 .U2, published
by Danfoss Fluid Power, 8635 Washington Ave., Racine, WI 53406-3773.

[6] Ingvast, H., "Diagnosing Tyrone Gear Pump Failures," The Third Scandinavian
International Conference On Fluid Power, 1993, Vol. 2, p. 535-546.

[7] Sasaki, A., "A Study of Hydraulic Valve Problems," Lubrication Engineer, 1989, 45
(3), p. 140-146.

[8] Sasaki, A., "A Review of Contamination Related Hydraulic Pump Problems in
Japanese Injection Molding, Extrusion, and Rubber Molding Industries,"
Tribology of Hydraulic Pump Testing, ASTM STP 1310, Eds. G. E. Totten, G. H.
Kling, D. J. Smolenski, American Society for Testing Materials, Conshohocken,
PA, 1996, p. 277-287.

[9] Moyer, C. A., "Comparing Surface Failure Modes in Bearings and Gears:
Appearances versus Mechanisms," American Gear Manufacturers Association,
Technical Paper 91 FTM 6, 1991.

[ 10] Erichello, R., "Lubrication of Gears - Part 2," Lubrication Engineer, 1990, 46(2), p.
117-121.

[11] Fitch, E. C., Hong, I. T., and Xuan, J. L., "Chapter 2 - Abrasion Wear" in Basic
Fluid Power Research Program, The BFPR Journal, 1988, Vol. 21, p. 9-29.

[12] National Standard- Nomenclature of Gear Tooth Failures, ANSI/AGMA 110.04 -

1980, AGMA, 1500 King Street, Suite 201, Alexandria, VA, 22314, 1980.

[13] Fitch, E. C., Hong, I. T., and Xuan, J. L., "Chapter 3 - Adhesion Wear" in Basic
Fluid Power Research Program, The BFPR Journal, 1988, Vol. 21, p. 31-45.

[14] "Fundamentals of Applied Failure Analysis, Module 4: Analyzing Wear,"

Caterpillar Reference Number, TEBB9007, available from Caterpillar Inc.,
Peoria, IL.

[15] "Hydraulic Pumps and Motors: Applied Failure Analysis," Caterpillar Reference
Book Number SEBV0563, available from Caterpillar Inc., Peoria, IL.

[16] Faure, L., "Different Types of Wear - How to Classify," American Gear
Manufacturers Association, Technical Paper 90 FTM 4, 1990.

[17] Fitch, E. C., Hong, I. T., and Xuan, J. L., "Chapter 7 - Adhesion Wear" in Basic
Fluid Power Research Program, The BFPR Journal, 1988, Vol. 21, p. 93-106.

[18] Tallian, T. E., Failure Atlas for Hertz Contact Machine Elements, 1992, American
Society of Mechanical Engineers, New York, NY.

[19] Henthorn, M., "Fundamentals of Corrosion: Part I," Chemical Engineering, 1971,
May, p. 127-132.

[20] Sachs, N. W., "Metal Fatigue," Lubrication Engineer, 1991, 47(12), p. 977-981.

[21] Jin, X. Z., and Kang, N. Z., "A Study on Rolling Bearing Contact Fatigue Failure by
Macro-Observation and Micro-Analysis," Proceedings of the International
Conference on Wear of Materials, 1989, Denver, CO,, Ed. K. Ludema, American
Society of Mechanical Engineers, Vol. 1, p. 205-213.

[22] "Principles of Wear: Applied Failure Analysis," Caterpillar Reference Book

Number SEBV0554, available from Caterpillar Inc.

[23] Fitch, E. C., Hong, I. T., and Xuan, J. L., "Chapter 4 - Surface Fatigue Wear" in
Basic Power Research Program, The BFPR Journal, 1988, Vol. 21, p. 47-62.

[24] "Diagnosing Hydraulic Pump Failures," Caterpillar Reference Number SEBD0501,

available from Caterpillar Inc., Peoria, IL.

[25] Townsend, D. P., and Shimski, J., "EHL Film Thickness, Additives and Gear
Surface Fatigue," Gear Technology, 1995, May/June, p. 26-31.

[26] MacKenzie, K. D., "Why Bearings Fail," Lubrication Engineer, 1978, January, p.
15-17.

[27] Zaretsky, E. V., STLE Life Factors for Roller Bearings, 1992, Society of
Tribologists and Lubrication Engineers, Park Ridge, IL, p. 199-201.

[28] Lemberger, S., and Totten, G. E., "Chapter 12 - Failure Analysis," Handbook of
Hydraulic Fluid Technology, Ed. G. E. Totten, Marcel Dekker Inc., New York, p.
656.

Analysis of Common Failure Modes of Axial Piston Pumps

Reference: Fey, C. G., Totten, G. E., and Y. H. Sun, "Analysis of Common Failure
Modes of Axial Piston Pumps," Hydraulic Failure Analysis: Fluids, Components and
System Effects, ASTM 1339, G. E. Torten, D. K. Wills and D. Feldmann, Eds., American
Society for Testing and Materials, West Conshohocken, PA, 2001.

Abstract: Hydraulic piston pump failures may be related to either hardware or fluid
problems. In some cases, apparent hardware failures have been traced to various fluid
problems. In this paper, selected examples of pump failures will be provided to illustrate
some common modes of axial piston pump failures. In most cases, these will represent
actual failures including: misaligument, insufficient fluid lubrication, particle
contamination, brinelling, corrosion, and cavitation. Various examples of these and other
pump failure modes are provided.

Keywords: hydraulic, pumps, bearings, oil oxidation, cavitation

Introduction

Industrial hydraulics continues to be one of the most cost-effective means of

supplying power to various manufacturing processes. When these systems fail, the
hardware losses are often dwarfed by the production line downtime. In some cases, these
downtimes may cost hundreds of thousands of doUars per hour, turning a normally
profitable operation into one with large financial losses. Therefore, it is essential that
every effort be made to prevent failures, especially those resulting from poor
maintenance.
One of the most common hydraulic pumps in the fluid power industry today,
particularly for high-pressure, high-capacity systems is the axial piston pump. An
example of an axial piston pump with wear surfaces identified is provided in Fig. 1 [1].
These wear surfaces include: sliding block -plate, sliding block-piston head, valve plate-
piston barrel, piston-cylinder tube, rolling element bearings, shaft seal, and others [1, 2].

lCharles G. Fey, Manager of Service Depamnent, The Rexroth Corporation,

Mannesmann Rexroth Engineering, Industrial Hydraulics Division, P.O. Box 25407,
Lehigh Valley, PA 18002-5407.
2George E. Totten, Senior Research Scientist, Union Carbide Corporation, 771 Old Saw
Mill River Road, Tarrytown, NY 10591.
3ying H. Sun, Engineer, Union Carbide Corporation, 771 Old Saw Mill River Road,
Tarrytown, NY 10591.
Copyright by ASTM Int'l (all rights reserved); Fri Aug 31 00:20:19 EDT 2018
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Copyright9 2001 by ASTM International www.astm.org
300 HYDRAULIC FAILURE ANALYSIS

Figure 1 -Illustration of wear contacts in an axial piston pump. (Source: D.G. Feldmann)

In piston pumps, one of the most common components that undergo failure are
rolling element bearings. The FAG bearing company has reported that typically only
0.35% of all rolling element bearings do not reach the expected nominal lifetime [3].
Figure 2 shows that of the 0.35% of general failures that do occur, approximately 80%
are fluid related.

Figure 2 - Causes offailure of rolling element bearings. (Source: FAG OEM and Handel
AG)

Pump wear may be caused by improper fluid selection with respect to pump design,
water and particulate contamination, fluid oxidation and abuse, cavitation, improper inlet
condition and installation procedures which may ultimately lead to pump or component
failure which may be catastrophic. Two examples of catastrophic failure are illustrated in
Figures 3 and 4. In this paper, selected examples of axial piston wear will be presented.
These will include: misalignment, solid contamination, cavitation, corrosion, lubrication
failure, brinelling and damage due to stray electrical currents.

Figure 3 - Bearing failure due to poor lubrication resulting in lube oil overheating.

Figure 4 - Rear bearing failure ultimately leading to roller disintegration which was due
to lack of lubrication.

Discussion

Misalignment

It is possible, although unusual, for a shaft misalignment to occur. However, when

it does, excessive vibration and bearing wear may occur. An example of a shaft which
was misaligned by 1/8 inch (3.2 mm) is provided in Figure 5 where a schematic of an
axial piston pump and a worn shaft removed from that pump are illustrated. Shaft
misalignment is indicated by the fretting corrosion which is seen at the end of the shaft
and by the angularity of the wear at the end of the bearing rollers shown in Figure 6A and
6B respectively.

Figure 5 - A . Schematic illustration of a Rexroth AA4VSO axial piston pump. B.

Labeled surfaces of a worn shaft removed from the Rexroth piston pump illustrated in

Figure 6 - A. lllustration f fretting wear occurring on the end of the shaft shown in
Figure 5B due to shaft misalignment. B. Angularity wear at the ends of the rollers due to
shaft misalignment.

It should be noted that in the misalignment wear illustrated in Figures 5 and 6,

perhaps a more important source of wear is the shaft loading. This wouId explain the
diagonal wear pattern, which is indicative of shaft misalignment, on the inside of one side
of the bearing and the outside of the other side of the bearing as illustrated in Figure 7.

A B

"1o

Figure 7 -A. Schematic of the axial piston pump for reference, B. Schematic illustration
of shaft misalignment and loadingforces acting on the bearing assembly, (Courtesy of M.
Kessler, Technical University of Hamburg-Harburg), C. Illustration of the shaft and D.
Cracked outer race.

Typical, but not aggressive, shaft misalignment is identified by a tapered or "tear

drop" wear area. Normal lubrication wear is typified by a straight line wear pattern.
These two wear patterns are illustrated in Figure 8. The tapered edge of the spalling wear
pattern on the inner and outer (entrance and exit) bearing raceway (Figure 8A and 8B)
indicate some shaft misalignment. The rollers (Figure 8C) are heavily spalled, pieces
have peeled off and there are large indentations and smearing. The adhesive failure is due
to surface asperity contact, micro-welding and removal by tearing-off which is caused by
insufficient lubrication. This damage occurred after only 120 hours of operation and the
damage indicates insufficient lubrication which is magnified by a slight misalignment of

the pump. As described previously, shaft misaligument is also typified by wear on the
ends of the rollers and even by cracking such as the washer shown in Figure 9.

Figure 8 - Tapered wear pattern (lubrication and m&alignment problem) on Bearing

lubrication and misalignment problem: A. Outer ring spalled through 120~ and located to
one side o f the raceway, B. Spalled inner race with a tapered lead into the load zone, C.
Spalled rollers and D. Normal lubrication wear pattern (assembly with no misalignmenO.

Figure 9 -Shaft m&alignment: A. Tapered spalling pattern on a bearing race, B. Wear

on the ends o f the bearing rollers and C. Cracked washer.

Solid Contamination

One of the most critical and often ignored sources of wear and in a hydraulic
system is solid contamination. Solid contaminants in a hydraulic system may lead to an
abrasive wear process by becoming embedded into one of the wear surfaces which then
cut the opposite wear surface by a ploughing or micro-cutting mechanism [4]. The
reduction of bearing lifetime due to different contaminants is shown in Figure 10 [3]. In
general, lifetimes decrease with an increase in particle hardness. The difference in the
degree of particle surface indentation as a function of particle hardness is illustrated in
Figure 1113]. An illustration o f the rapidity of increased fatigue damage with increasing
time after initial detection is provided in Figure 12 {3].

1.0

T 0.1

.~ E=

Figure 10 - Bearing lifetime reduction due to different contaminants. (Source. FAG OEM
and Handel A G)

Figure 11 - Illustration of the difference in particle surface indentation as a function of

hardness. A. Steel surface indentations by "soft" particles. B. Steel surface indentations
by hardened steel. C. Indentations by "hard" mineral particles. (Source: FAG OEM and
Handel AG)

Figure 12 - Fatigue damage caused by foreign particle indentation in the cycling

direction forming a V-shape. A. Damage at the time of detection. B. Damage after 1000
hours of operation. C. Damage after 1200 hours of operation. (Source: FAG OEMand
Handel A G)

Figure 13 illustrates a wear pattem where solid particles are trapped and rolled over
in the bearing race. Solid contaminants may be ingested into the system through the
component manufacturing process, internal generation as debris from the wear process,
ingestion through a breather or seals, or it may be added as a hydraulic fluid contaminant.

Figure 13 - Wear on bearing race and roller due to solid particle entrapment.

Figure 14 illustrates a roller bearing assembly removed from an axial piston pump
before catastrophic wear has resulted. The presence of abrasive wear is evident from the
scratches and indentations on the bearing rollers and inner ring and by the wear and
rolled over debris on the outer raceway. This bearing is not in danger of immediate
failure but the initial signs of future problems are present. This system may be salvaged
through improved maintenance and fluid filtration.

Figure 14 - Rolling element bearing damage by solid contamination; A. Wear and rolled
over debris on the outer raceway. B. Wear on the inner ring. C. Normal wear on
bearing rollers.

Cavitation

Cavitation may occur ifa hydraulic fluid is too cold resulting in excessive fluid
viscosity leading to the formation of voids within the fluid caused by oil starvation on the
suction side of the pump. In addition to excessive fluid voids, cavitation may also be due
to insufficient pumping capacity, restricted passages in the piping and strainers,
excessive pump shaft speeds, specific gravity of fluid higher than design accommodation,
high altitude, and no baffle plate in the reservoir[4]. A common source of cavitation is
an improperly designed inlet condition such as insufficient boost or make-up pressure[5].
Cavitation wear is caused by a repeated process of sudden collapse of the bubbles
(or voids) within the fluid at the wear surface - fluid interface as shown in Figure 15. The
bubble collapse process forms a high-velocity micro-jet capable of impact energies in the
range of approximately 10 - >70 MPa[6]. These forces are sufficient to cause the
formation of pits and craters on the surface due to a surface fatigue failure process.
Cavitation wear, as evidenced by pitting and cratering, which occurred in the barrel of an
axial piston pump, near the pressure relief V-grooves and surface of the end-plate and on
the end of the piston slippers are illustrated in Figure 16.

• ~"/t/~tl;
Initial bubble Initiation of
7///1/////////////// 7/7T#
Forming Impact and
bubble collapse liquid jet metal extrusion
Figure 15 - Mechanism of cavitation bubble implosion and subsequent surface fatigue
damage.

Figure 16 - A . Cavitation cratering damage on the control plate of a n axial piston pump.
B. Localized cavitation damage on the cylinder block face of an axial piston pump. C.
Cavitation damage on piston shoe.

Corrosion

Corrosion is due to an electrochemical attack of the metal surface leading to the

formation of metal oxides with characteristic colors. Corrosion of steel alloys will result
in the formation of reddish-brown oxides, copper or brass forms bluish-green oxides and
aluminum forms gray oxides. These oxide products are porous in nature and form
abrasive solid contaminants in the hydraulic system. Common causes of corrosion
include: water-contaminated hydraulic oil, lubricant formulations containing insufficient
additives to protect against corrosion attack, and contamination by corrosive chemical
vapors.
An illustration of corrosion damage of a roller bearing assembly in an axial piston
pump containing a water-contaminated hydraulic oil is provided in Figure 17. Pitting
surface damage evident which is caused by the oxides from corrosion becoming
embedded into the surface. However, the black and white photographs do not show the
characteristic "rust-color" of the steel corrosion oxides on the surface. (These are readily
apparent with color photographs).

Figure 17 - Illustration of roller bearing corrosion damage due to contact with water-
contaminated hydraulic oil.

Lubrication Failure

In addition to being a pressure transfer medium, hydraulic fluids must also lubricate
surfaces that are in relative motion with respect to each other throughout the hydraulic
system. This means that the hydraulic fluid must provide sufficient film thickness,
strength and viscosity to prevent the surface asperities at the wear contact from coming
into contact with each other/7, 8]. Factors that contribute to poor lubrication include,
insufficient fluid viscosity, fluid aeration leading to bubbly oil which exhibits poor film
strength, fluid oxidation, insufficient fluid flow through the wear contact, poor anti-wear
additive performance and others.
Although it is normal for fluids to form acids and sludges due to oxidation over
their lifetime, this process is accelerated with extended operation at high temperature and
thermal cycling. Fluid overheating may be caused by a sticking valve or if the relief

valve is set too low. If the sticking valve does not return to the neutral position, the
system energy goes to heat, not work. If the relief valve is set too low, a portion of the
fluid will be dumped across the relief valve with each cycle, causing both overheating
and slow operation.
The deposition of oil oxidation by-products may lead to suction strainer clogging
by resinous oxidation by-products/9,10]. This may lead to cavitation and as much as
50% reduction in hydraulic pump lifetimes. In addition, resinous films or varnish
formation may lead to a reduction in heat transfer efficiency of the fluid thus inhibiting
its ability to provide adequate cooling of the generated heat at the wear contact.
Foaming and air entrainment will increase oxygen contact with the hydraulic fluid
and accelerate oxidative degradation, especially at high temperature. If the pressure, rate
of pressure increase, and bubble size are sufficient, ignition at the air bubble-oil interface
will occur creating a "micro-diesel effect" resulting in accelerated oil oxidation//1,12].
Excessive loads on bearings may lead to overheating of the bearing assembly and
hydraulic oil discoloration which is sometimes referred to as "black oil problems"[13].
Some potential sources of black oil problems include: shaft misalignment, improper
bearing inner race fit to the pump shaft (too loose or too tight), and insufficient oil film
lubrication on the bearing races.
One example of insufficient lubrication is provided in Figure 18. In Figure 18A, the
bronze-colored bands around the roller are evident closer to one end than the other. This
is indicative of wear and heat generation caused by misalignment. If the misalignment
had been corrected, the wear would have occurred evenly across the bearing. Figure 18B
also provides evidence of misalignment by the presence of a polished surface located
more to one side than the other.

Figure 18 - A. Gold to straw colored bands around rollers. B. Polished raceway.

Additional evidence of the importance of the shape of the spalling pattern as an

indicator of the failure mechanism is provided in Figure 19. This bearing was removed
from an axial piston pump and it appears to have failed due to formation of an
insufficient hydrodynamic film. This is evident from the straight edge spalling pattern on
the inner race shown in Figure 19A. In this case, no conclusions could be drawn with

respect to the fatigue life of the bearing since the service life was unknown at the time of
removal and analysis. This underscores the critical importance of proper preventative
maintain procedures and record keeping.

Figure 19 - Illustration of lubrication failure: A. Inner bearing raceway spalling through

180 ~ B. Outer race exhibiting the initial signs of spalling.

Figure 20 illustrates a catastrophic failure due to insufficient lubrication. The neck

of the pump broke when the bearing seized and the resulting debris entered the pump
resulting in seizure. This example shows the enormous forces involved in such seizure
processes.

Figure 20 - A. Schematic of the hydraulic pump. B. Comparison of a new and a worn

shaft. C. Illustration of the broken neck in the cylinder block of an axial piston pump
resulting from bearing seizure and resulting wear debris contamination of the pump. D.
Illustration of worn and bent rollers removed from the roller bearing assembly after
seizure.

Figure 21 illustrates another example of roller bearing failure in an axial piston

pump. This example is interesting in that the roller bearing assembly was found to exhibit
relatively large clearances. When asked, the bearing manufacturer stated that there is no
critical clearance where failure would be expected. Even if the rollers fall out of the
assembly, this does not indicate potential for failure as long as the initial surface
conditions of the bearings are good. Therefore, the bearing failure illustrated in Figure 21
is caused by lubrication failure due to insufficient hydrodynamic film formation in the
load zone and not due to excessive clearance problems. The rule of thumb often followed
is that if the bearing looks good up to 5000 hours of operation and if the pump rotates
freely, it is acceptable for continued operation. After 5000 hours of operation, it is a good
practice to replace all beatings regardless of the condition of the pump. If the bearings are
damaged or the pump does not rotate freely, the beatings should be replaced.

Figure 21 - A. Wear debris from failed axial piston pump. B. Feeler gauge placement
between rollers of the bearing assembly indicating excessive roller clearance. C.
Straight spalling pattern on the raceway indicating lubrication failure and damaged
rollers.

Finally, Figure 22 illustrates intermediate bearing failure due to insufficient

lubrication due to the straight edge spalling pattern surrounding the beating race. Wear
debris transfer to the bearing rollers is also evident.

Figure 22 - Intermediate bearing failure: A. Even spalling pattern on the inner bearing
race. B. Even spalling pattern on the outer bearing race. C. Illustration of chip transfer
to the bearing roller.

Brinelling

I f a pump sits in one position too long without being operated, such as during
shipment, elliptical patterns will be formed in the axial direction at each roller or ball
position o f the rolling element beating assembly. The wear pattern, which is designated
as "false brinelling" will be surrounded by debris. This is a vibration-induced wear and it
is illustrated in Figure 23114].

Figure 23 - Illustration of elliptical marks due to false brinelling on the bearing roller
plate of a pump.

Table 1 - Rolling Bearing Damage symptoms and Their Causes

Symptom Damaged area of bearing Typical causes of rolling bearing damage
Mounting
i

iR n
Lip and Incorrect I Fit too Fit too
olli g roller Cage Sealing I Poor Misalignme
Seats contact face mounting j tight, too loose, I support nt or shaft
areas areas procedure Dirt much too little .I of rings J deflection
or tools I pre oad preload I
I
!
J

i i
]
I Unueual running i i J
a. ! behavlour
Uneven running * i*; l i
' i * ! * * ~ E
Unusual noise i l i ,
i L t --
'Disturbed temp, E
'~behaviour L, I i
IAppearance of i i I!!
i i l
b. idis-mounted I i t
!bearing parts ! ! ,!
1Foreign particle I . i ~ i
=I *1 i
i indentations I= I' i
I '
I . i i i
21 Fatigue
! #C ' k _ _ a t . i r a
I
iStationary = I
i vibration marks : ;
MoHen dents and i !
I; ]
4j flutes ! i
. ' i : I J I ;
51Skidding i ! i I ;

i Rolling element J I i
61indentations, i i I

scuffing I i L
i i i
7 Seizing marks * ! I
I J
8 Wear Ii *
i * I. ~.~ . i
Ii
91 Corrosion I
_ i Overheating ! . ! I
Uldamage * I
I*,I*i *
t I i
11 i Fractures "k ! * * I ! * i * i
, Ir J
21Fretting corrosion * [ = [ r 9 i * iI
-i (false bdnelling) i
: i

Table 1 - (Continued)

Symptom Typical causes of rolling bearing damage

Operational stress Environmentalinfluence Lubrication
Loadtoo Vibra- High Dust, Aggressive External Current Unsuitable Insufficient Excess
highortOo
low tions speeds dirt media,water heat passage lubricant lubricant lubricant

Unusual running
a.
behavlour
Uneven running St St St St St
-- Unusual noise ~ St St St St St St
Disturbed temp. St St St St St
behaviour

Appearance of
b. dis-mounted
bearing parts
1 Foreign particle St
indentations
2 Fatigue St St St St St

Stationary St
3 vibration marks
Molten dents and
4
lutes
St
5 Skidding St
Rolling element St
6 indentations,
scuffing I
7 Seizing marks St St St St

St St St
8 Wear
St
9 Corrosion St

Overheating St / St St St
10 damaous

11 Fractures LI
Fretting corrosion St /
i
12
(fa se bdnelling)
I
/

This was installed in a pump that was shut down but other equipment on the
machine remained operational resulting in small vibrations causing the false brinell
patters shown (Courtesy of INA Bearing Company).
False brinelling should be contrasted to '~ue brinelling" which is caused by impact
deformation, not wear. This would occur if the beatings are installed using a hammer or
if it is dropped/4].

Electrical Currents

A burning or arcing effect may be observed when electrical current contacts a

component surface. This may even result in a welding effect. Once such process was
observed with the assembly which is composed of a sleeve, poppet, and spring. In one
instance, a welding repair was conducted on the hydraulic system. The current passing
through the assembly was sufficient to cause undesired welding between the poppet and
the sleeve. Therefore, it is essential that equipment be properly grounded.

Summary of Possible Damage to Rolling Element Bearings

Except for cavitation, one of the most common sources of axial piston pump wear
and failure is due to rolling element bearing damage. Table 1 provides a summary of
typical wear processes encountered and their causes[3].

Summary
Various selected sources of wear processes occurring in axial piston pumps have
been discussed. These include: misalignment, solid contamination, cavitation, corrosion,
lubricant failure, brinelling, and damage by electrical current. Numerous photographs
forming a wear catalog for the reader's future use have been provided. One common
denominator of all of the processes shown is that the catastrophic damage which was
shown was often avoidable. In other words, the loss of downtime and cost of equipment
failure were unnecessary if an effective preventative maintenance program and suitable
records had been kept. This program would include equipment inspection, fluid analysis
and monitoring by vibrational analysis. When these steps are taken, potential damage
may be detected and corrected before costly catastrophic failures result.

References

[1] Feldmann, D., Hinrichs, M., Kessler, M., and Nottrodt, J., "Ermittlung der
Anwendungseigenschafien von Biologisch Schnell Abbaubaren
Hydraulikfliassigkeiten durch Labortests," Industrial and Automotive
Lubrication, 11thInt. Colloquium at Techniche Akademie Esslingen, 1998, M-
2952-S.

[2] Xie, L., Bishop, R. J., and Totten, G. E., "Bench and Pump Testing of Hydraulic
Fluids", Chapter 10 in Handbook of Hydraulic Fluid Technology, Ed., G. E.
Totten, Marcel Dekker, Inc., New York, 1999, pp. 523-575.

[3] "Rolling Bearing Damage: Recognition of Damage and Bearing Inspection,"

Bulletin No. 82 102/2EA, FAG OEM and Handel AG.

[4] Lemberger, S., and Tot-ten, G. E., "Failure Analysis," Chapter 12 in Handbook of
Hydraulic Fluid Technology, Ed., G. E. Tot-ten, Marcel Dekker, Inc., New York,
1999, pp. 601-673.

[5] Totten, G. E., and Bishop, R. J., "The Hydraulic Pump Inlet Condition: Impact on
Hydraulic Pump Cavitation Potential", SAE Technical Paper Series, Paper
Number 1999-01-1877.

[6] Totten, G. E., Webster, G. M., and Yeaple, F. D., "Physical Properties and Their
Determination", Chapter 4 in Handbook of Hydraulic Fluid Technology, Ed., G.
E. Totten, Marcel Dekker, Inc., New York, 1999, pp. 195-304.

[7] Hodges, P., Hydraulic Fluids, John Wiley & Sons Inc., New York, 1996.

[8] Wedeven, L. D., and Ludema, K. C., "Lubrication Fundamentals," Chapter 6 in

Handbook of Hydraulic Fluid Technology, Ed., G. E. Totten, Marcel Dekker,
Inc., New York, 1999, pp. 339-392.

[9] Sasaki, A., "A Study of Hydraulic Valve Problems," Lubr. Eng., 1989, 45(3), pp.
140-146.

[10] Sasaki, A., "A Review of Contamination Related Hydraulic Pump Problems in
Japanese Injection Molding, Extrusion and Rubber Molding Industries," in
Tribology of Hydraulic Pump Testing - STP 1310, Ed., G. E. Torten, G. H.
Kling, and D. J. Smolenski, American Society for Testing and Materials;
Conshohocken, PA, 1996, pp. 277-287.

[ 11] Back6, W., and Lipphardt, P., "Influence of Dispersed Air on the Pressure Medium,"
Proc. Contamination in Fluid Power Systems, C97/76, 1997, pp. 77-84.

[12] Roberton, R. S., and Allen, J. M., "Study of Oil Performance in Numerically
Controlled Hydraulic Systems", Proc. Natl. Conf. Fluid Power, Annual Meeting
30th, Vol. 28, 1974, pp. 435-454.

[13] Koch, R., "Remedy to Black Oil Problems in Centrifugal Pumps with Ball
Bearings", Lub. Eng., Vol. 55, No. 5, 1999, pp. 17-20.

[14] "Damage Analysis - The INA Damage Archives", Bulletin No. 204 802-7, 1NA
Walzlager Schaeffier KG, D-91072 Herzogenaurach, Germany.

Effect of Pump Inlet Conditions on Hydraulic Pump Cavitation: A Review

Reference: Bishop, R. J., Jr. and Totten, G. E., "Effect of Pump Inlet Conditions on
Hydraulic Pump W e a r , " Hydraulic Failure Analysis: Fluids, Components, and
System Effects, ASTMSTP 1339, G. E. Torten, D. K. Wills, and D. Feldmann, Eds.,
American Society for Testing and Materials, West Conshohocken, PA, 2001.

Abstract: This paper provides an overview of hydraulic fluid impact on the inlet
condition and cavitation potential. A clear understanding of physical properties is vital to
properly evaluate their effect on lubrication and cavitation. Proper hydraulic system
design is critical for optimal operation and to eliminate cavitation as a root cause of
wear. The importance of proper inlet conditions on hydraulic system performance is
reviewed. The effect of physical properties, including vapor pressure, viscosity, density
and bulk modulus on cavitation, as well as the idea of a pump-specific critical cavitation
number is also discussed.

Keywords: cavitation, cavitation number, hydraulic fluid, density, bulk modulus,

compressibility

Introduction

Hydraulic fluid performance, particularly as it relates to cavitation, is dependent on

the "inlet condition". The term "inlet condition" refers to the fluid flow, turbulence and
pressure of the hydraulic fluid as it enters the hydraulic pump. In this paper, an
overview of the inlet condition will be provided. The impact of the inlet condition on
cavitation-erosion wear will also be discussed and empirical methods for quantifying
relative cavitation potential wilt be provided.

~Project Scientist and Senior Research Scientist, respectively, UCON| Fluids and
Lubricants, Union Carbide Corp., 771 Old Saw Mill River Road, Tarrytown, NY
10591.
Copyright by ASTM Int'l (all rights reserved); Fri Aug 31 00:20:19 EDT 2018
Downloaded/printed by 318
YanShan University (YanShan University) pursuant to License Agreement. No further reproductions authorized.
Copyright9 2001 by ASTM International www.astm.org
BISHOP JR. AND TO'I-fEN ON PUMP INLET CONDITIONS 319

Discussion

Hydraulic Fluid Physical Properties

Hydraulic fluids are actually a component of the hydraulic system and hydraulic
performance is dependent on the physical properties of the fluid being used. Some of
the most important include:

9 Vapor Pressure
9 Density
9 Bulk Modulus
9 Viscosity

The importance of these properties on the operation of a hydraulic pump will be

shown. It is important to recognize that these properties are dependent on the chemical
nature of the fluid and therefore cannot be modified without changing the fluid type or
the conditions under which the fluid is used.

Most Common Hydraulic Pump Failures

There are numerous causes of hydraulic pump failures. However, one of the most
common root causes of pump failure is cavitation. The remainder of this discussion will
discuss the dependence of cavitation on fluid specific physical properties.

Fundamentals of Cavitation

Cavitation is the process that occurs when the pressure acting on the hydraulic
fluid is less than the vapor pressure of the fluid [1]. At this point, the fluid locally
vaporizes and forms bubbles. When the bubbles, which are flowing within the fluid as
it passes through the system, encounter a region of higher pressure they will collapse, as
shown in Figure 1 [1,2]. The collapsing can be very violent and cause vibrations, noise,
and material damage. [Note: Bubble collapse pressures up to >1 GPa (>145,000 psi)
have been reported]//7].
Another situation in hydraulic systems that may give rise to cavitation is the case
of dissolved gases in the fluid. If the pressure acting on the fluid is lower than the
saturation pressure of the gas, the gas will come out of the solution and form bubbles.
Bubbles can also be present in the hydraulic reservoir and consequently be sucked into
the pump. The bubbles will first increase in volume due to the decrease of pressure
along the suction line and then be compressed and dissolved again, through bubble
collapse, when they encounter a region with higher pressure. It can be very difficult to
distinguish between these two processes in practice, therefore, they will both be
considered as cavitation here.

Vapor Pressure and Cavitation

If the vapor and liquid phase of the hydraulic fluid are in equilibrium, the
condition may be represented by the Clausius-Clapeyron Equation [3]:

~ o = exp[- ~-G l 1 --~-o) ] (1)

Where: p = Final pressure (bar)

Po = Initial pressure (bar)
T = Final temperature (K)
TO -- Initial temperature (K)
L --- Latent heat of evaporation (kJ/kg)
R6 = Ideal gas constant

This equation can be used to represent the equilibrium vapor pressure curve for
various hydraulic fluid media Figure 2.

I
yl/ 2
/l,
Initial Bubble Initiation of
Bubble Collapse

"Ill/Ill/ill/ill~/~i/7T/T
3 4
Forming of Liquid Jet Impact and
Metal Extrusion

Figure 1 - Illustration of Bubble Collapse

When cavitation occurs, this equilibrium line will cross the vapor pressure curve as
shown in Figure 2 [4]. If this occurs, then either isoentropic-adiabatic or isothermal
transitions may occur. For example, an isothermal pressure drop will produce super-
heated steam and vaporization or an isoentropic pressure drop will produce super-cooled
vapor and condensation.
The pressure coefficient (Cv), also known as the "cavitation number", may be
calculated to indicate the potential for cavitation using the equation [5]:

Pd - P,, (2)
Cp- 1
-pV 2
2

Where: Pd = Downstream Pressure of the Liquid Phase (psi)

Pv = Vapor Pressure of the Liquid Phase (psi)
V = Velocity of the Liquid Phase

Liquid
I

t /jl
ID.
v

o 1 0 -1
r--t

(i)
/Superheated [cond
[Isothermal
.... tion
r

O_
1 O-1 ..
6team--forming

1 0 -N
0 20 40 60 80 1 O0
Temperature (~
Figure 2 - Clausius-ClapeyronVaporPressureCurvefor Water

It should be noted that cavitation numbers are not universal indicators of cavitation
since they may be affected by pressure variation, fluid velocity, physical surface
configuration, and other parameters [5]. However, the lower the cavitation number, the
greater the propensity toward cavitation. Comparison of cavitation numbers for
different fluids and inlet conditions will provide a relative comparison of cavitation
potential.
- The use of cavitation numbers to characterize the propensity of a fluid to cavitate
in a pump is demonstrated in the following example.

Vickers 20VQ5 Vane Pump End Plate Cavitation - Figure 3 illustrates the
cavitation potential for a hydraulic fluid in a Vickers 20VQ5 vane pump under two sets
of running conditions. The cavitation number for this fluid at 65~ at 1200 rpm is 224.
For 65~ at 2700 rpm, the number is 44, see Figure 3. These values indicate, as
expected, that the cavitation potential is significantly greater at 2700 rpm than at 1200
rpm. This is, in fact, the case as shown in Figure 3. There was essentially no cavitation
at 1200 rpm. At 2700 rpm, the cavitation was so great the cavitation damage nearly
proceeded all the way through the end plate Figure 4a. This data shows that there is a
critical cavitation number for this fluid-pump system, although it is not reported.
Cavitation damage on the ring and vanes is also evident in Figures 4b and 4c.

Figure 3 - Cavitation Damage on Vickers 20VQ5 Vane Pump End Plates (Source."
Union Carbide Corporation, Tarrytown, NY)

The Hydraulic Pump Inlet Condition

Cavitation often occurs when pressure losses in the suction line to the pump inlet are
sufficient to reduce air solubility producing an entrained air mixture. This mixture is then
fed into the pump resulting in gaseous cavitation. If the pressure drop is sufficient,
vaporous cavitation may also occur.
One example of a potential vaporous cavitation situation is in a gear pump when gear teeth
come out of mesh on the inlet side as illustrated in Figure 5a. Increasing void volume
occurs due to the rotation of the gears. This volume must be filled. If there is insufficient
inlet fluid flow, vacuum cavities will be formed within the fluid which may implode on
the discharge side of the pump. An example of cavitation damage on the spacer plate and
within the pump housing is shown in Figures 5b and 5c, respectively.

Figure 4 - Cavitation Damage on Vickers 20VQ5 Vane Pump.4) End Plate, B) Ring and
C) Vane (Source: Union Carbide Corporation, Tarrytown, NY)

Figure 5a - Illustration of a Gear Pump

Figure 5b, c - Cavitation Damage in a Gear Pump Spacer Plate and Housing,
respectively. (Source: Union Carbide Corporation, Tarrytown, NY)

Insufficient pump inlet pressure is one o f the most common causes o f hydraulic
pump cavitation. Pump inlet pressure may be readily calculated as Net Positive Suction
Head (NPSH). The available NPSH may be calculated from the following equation and
Figure 6 [6].

NPSH = H A+ H s - Hvp - Hr (3)

Where: HA = Head pressure acting on the fluid surface in the tank. If the system is
not pressurized, this will be atmospheric pressure.

Hs = Head pressure between the surface o f the fluid and centerline o f the
pump inlet. It is very important to note that this value will be negative
if the fluid surface is below the pump inlet.

Hvp = Vapor pressure o f the fluid at the fluid temperature see Figure 2.

HE = Friction loss in the suction piping.

This equation shows how the properties o f a fluid affect the inlet pressure to the
pump.

Bulk Modulus

Although the differences in bulk modulus (the inverse of compressibility) are not
sufficient to affect the inception o f cavitation, it may affect the amount o f damage
obtained [5]. The effect o f oil flow under negative pressure has been studied by various
authors[7,8]. Hayward has studied the effect of bulk modulus under negative pressure
and found that the relationship between bulk modulus and pressure was non-linear and
the non-linearity increased with decreasing pressure as shown in Figure 9 [7].

HF~ ~ _

Figure6 - Illustration of Head Pressures with a Pump Mounted Below the Reservoir

The dependency of cavitation collapse pressure may be calculated from:

(4)
3

Where: P = Cavitation Collapse Pressure

Po = Initial Pressure
WL = Liquid Density
WV = Vapor Density
[~ = Bulk Modulus, which is defined as:

= -V dP (5)
dV

Bulk modulus is also dependent on the amount of fluid aeration as illustrated in

Figure 8 [5,9].

Fluid Viscosity

Fluid viscosity will affect cavitation in two ways [5]."

1. An increase in fluid viscosity will inhibit cavitation by suppressing under-

pressures (localized pressure drops) caused by vortices.
2. Increasing fluid viscosity will decrease cavitation collapse pressures by
damping high localized fluid velocities.

1.8
09

"O
O
1.6

1.4

"OI'~
1.2
/
r

9 ! ! I I ! I I
1.0
-20 -10 0 10 20 30 40 50 60
Absolute Pressure (atm.)

Figure 7 - Bulk Modulus of Mineral Oil as a Function of Pressure

The presence o f air bubbles in oil (entrained air), such as those present in a suction
line, may be difficult to detect by the naked eye. However, the presence o f such bubbles
may actually increase oil viscosity. The viscosity o f "bubbly oil" may be calculated
from [10]:

r i b = 1 + 0.015 x 8 (6)
rlo

Where: rl b = Viscosity o f Bubbly Oil

qo = Viscosity o f Oil without Bubbles
= % Content of Air Bubbles in the Oil

Fluid Turbulence

One of the most important variables affecting cavitation is turbulence. Increasing

fluid turbulence will increase localized under-pressures which will increase cavitation
[5]. Fluid turbulence is quantified by the nondimensional Reynolds Number (Re):

VD
R~ - (7)

Where: V = Fluid Velocity (m/s)

D = Orifice Diameter (m)
rl = Kinematic Viscosity (m2/s)

1.0,
01
_.= 0.9

~ 0.7
x~ /
0.6 /
o.5

-~ 0.4 -

~ 0.3 -

UJ
o.li
0
it I I I I I I I I
0 10 20 30 40 50 60 70 80
Pressure( b a r )
Figure 8 - Effect of Free Air on Mineral Oil Bulk Modulus

Hydraulic Pumps, Component Design and Cavitation

The beginning of any analysis of hydraulic pump cavitation is the inlet [5,11,12].
Consider hydraulic fluid in an unpressurized reservoir. The pressure at the inlet must be
less because o f the pressure used to overcome flow resistance due to the suction filter,
inlet constrictions, etc. Because there is a net pressure decrease, the boiling point of the
fluid will also be reduced, see Figure 2. Furthermore, this is not the lowest pressure that
the fluid will experience since there will be additional internal pressure losses within the
pump.
After the fluid passes through the inlet it must accelerate to the speed of the
rotating cylinder block, as shown in Figure 9, which consumes a portion of the pressure
stored in the incoming fluid from the inlet [13]. Additional pressure loss occurs when
the fluid is squeezed into the cylinder chamber through a small opening in the cylinder
block. Inside the cylinder, the fluid must accelerate again to the maximum speed of the
piston which consumes even more energy in the form of pressure. A total of 8-10 psi

of the total incoming fluid pressure may be consumed in moving the fluid from the inlet
to the cylinder and accelerating it to the piston velocity [14,15].

Figure 9 - Illustration of" (.4) Swash Plate Axial Piston Pump and (B) Operating
Principle

Some of the most susceptible areas within a piston pump to cavitation are the
cylinders, valve plates and shoe-bearing plates. Cavitation may occur at a particular
location on the land between the suction and delivery ports on the valve plate, in the
cylinder barrel and on the face of the piston shoes as shown in Figures lOa-c. When a
closed cylinder from the delivery port opens to the suction port, it contains a small
amount of compressed fluid at the delivery pressure. When the cylinder opens to the
valve plate suction port, which is at lower pressure, the residual fluid will rapidly
expand into the inlet manifold. The consequence of this is a flow disturbance in the inlet

manifold creating a pressure drop which may be sufficient to lead to bubble formation
and subsequently to cavitation when the bubbles collapse during the pressurization
cycle. Cavitation may also arise due to the momentum of the expanding fluid also
leading to a decrease in cylinder pressure. The problem is reversed in the second half of
the rotational cycle. This creates a problem of pressure equalization of the pressure
differences.

Figure lOa - Illustration of Piston Pump Valve Plate Cavitation Damage between the
Suction and Delivery Ports (Source: Mannesmann Rexroth Corp.)

Figures 10b,c - Illustration of Cylinder Barrel and Piston Shoe Cavitation Damage,
Respectively (Source: Mannesmann Rexroth Corp.)

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330 HYDRAULIC
FAILUREANALYSIS
Pressure equalization during these two opening phases has been accomplished by
varying swash-plate design [16]. The objective is to release compressed energy as
smoothly as possible.
Gear pump cavitation is illustrated in Figure 11 [11]. Consider, for example, the
increasing volume V between the teeth after full mesh. This volume must be filled by
fluid passing through the orifice formed between the tip of the driving tooth and the face
of the driven tooth. As the gear teeth separate, the orifice may be insufficient to allow
fluid to fill the increasing volume, cavities may form and implode on the delivery side
of the pump.

~\\~ Driver Suction

\~ In)ow

Disside
charge ~'V/~ ~ ! i / / ~ / / / ~
// / /
Figure I I - The Suction Mechanism of a Gear Pump

Conclusions

Besides the importance of a proper inlet condition, the physical properties of

hydraulic fluids can greatly affect hydraulic pump performance and wear. It was shown
that the bulk modulus, though not a causative factor in cavitation, is directly related to the
bubble collapse pressure when cavitation does occur and that higher viscosities attenuate
this pressure. The major physical factors that affect the propensity toward cavitation were
shown to be density and fluid vapor pressure. Also, the determination of a "critical
cavitation number" may provide a way of predicting the onset of cavitation damage.

References

[1] Totten, G. E., Sun, Y. H., Lin, X., and Bishop, R. J., Jr., "Hydraulic System
Cavitation: A Review", SAE Technical Paper Series No. 982036, International
Off-Highway and Powerplant Congress, Milwaukee, Wisconsin, September 14-
16, 1998.

[2] Totten, G. E. and Bishop, R. J., Jr., "The Hydraulic Pump Inlet Condition: Impact on
Hydraulic Pump Cavitation Potential", SAE Technical Paper Series No. 1999-
01-1877, Earthmoving Industry Conference, Peoria, Illinois, April 14-15, 1999.

[3] Tillner, W., "Principles of Physical Processes in Cavitation", The Avoidance of

Cavitation Damage, Ed. W. J. Bartz, Ed., Mechanical Engineering Publications
Ltd., London, UK, 1993, pp. 1-50.

[4] Svedberg, G. C., Totten, G. E., Sun, Y. H., and Bishop, R. J., Jr., "Hydraulic System
Cavitation: Part II - A Review of Hardware Design- Related Effects", SAE
Technical Paper Series No. 1999-01-2857, International Off-Highway and
Powerplant Congress, Indianapolis, Indiana, September 13-15, 1999.

[5] Lamb, W. S., "Cavitation and Aeration in hydraulic Systems", BHRA, The Fluid
Engineering Center, Cranfield, Bedford, MK43 0A J, England.

[6] MacKay, R. C., "Pump Suction Conditiong', Pumps & Systems, May, 1993, pp. 20-
24.

[7] Hayward, A. T. J., "Measuring the Extensibility of Liquids", Nature, 1964, Vol. 202,
pp. 481-482.

[8] Lee, I. Y., Kitagawa, A., and Tanaka, T., "On the Transient Behavior of Oil Flow
Under Negative Pressure", Bull. ofJSME, Vol. 28, No. 240, 1985,pp. 1097-1104.

[9] McCloy, D., "Part I: Cavitation and aeration- The Effect on Valves and Systems",
Hydraulic Pneumatic Power, January, 1966, pp. 32-38.

[ I 0] B alasoiu, V., "The Effect of Air on the Development of the Cavitation Phenomenon
in a Hydrostatic System", Constructiade Masin~ Vol. 26, No. 2, 1974, pp. 71-74.

[11 ] Hobbs, J. M., and McCloy, D., "Cavitation Erosion in Oil Hydraulic Equipmenf',
Metals and Materials, January, 1972, pp. 27-35.

[12] Totten, G. E., and Bishop, R. J., Jr., "The Hydraulic Pump Inlet Condition: Impact
on Hydraulic Pump Cavitation Potential", SAE Technical Paper Series No. 1999-
01-18 77, Earthmoving Industry Conference, Peoria, Illinois, April 14-15, 1999.

[13] Wiklund, P. E., "Suction Dynamics of Axial Piston Pumps", Ph.D. Thesis,
Department of Machine Design, Royal Institute of Technology, Stockholm,
Sweden, 1998.

[14] Li, Z. Y., "Cavitation Fluid Power Equipment Operating with Fire ResistantFluids",
The FRHJournal, Vol. 4, No. 2, 1984, pp. 191-199.

[ 15] Foster, K., and Hannan, D. M., "Fundamental Fluid-borne and Airbome Noise
Generation of Axial Piston Pumps", Seminar on Quiet Oil HydrauiicSvstems,
London, Inst. Mech. Engrs., 1977, pp. 29-40.

[16] Pettersson, M., "Reduction of Piston Pump with Special Reference to Noise
Reduction", Ph.D. Thesis, Dept. of Mech. Eng., U. ofLinkoping, 1995.

[17] Okada, T., Iwai, Y., and Awazu, K., "Study of Cavitation Collapse Pressure and
Erosion Part 1: A Method for Measurement of Collapse Pressure", Wear, vol.
133, 1989, pp. 219-232.

The Influence of Surface Topography and Environment on the Fatigue Life of a

Hydraulic Motor

Reference: Scott, W., "The Influence of Surface Topography and Environment on

the Fatigue Life of a Hydraulic Motor," Hydraulic Failure Analysis: Fluids, Components,
and System Effects, ASTM STP 1339, G. E. Totten, D. K. Wills, and D. Feldmann, Eds.,
American Society for Testing and Materials, West Conshohocken, PA, 2001.

Abstract: Investigations into fatigue failure of the cam rings of hydraulic motors
revealed a characteristic ripple superimposed on the surface profile. It was also found that
the incidence of failure coincided with sites having high humidity.
This paper shows how reduced fatigue life under these conditions may be estimated.

Keywords: hydraulic motor, fatigue life, stresses, water

Introduction

Many radial piston hydraulic motors operate with Hertzian contacts between the
rolling elements and cam ring. The high stresses induced by this type of contact can lead
to fatigue failure of the elemental surfaces. Highest stresses will occur at convex/convex
interfaces. Even though substantial elastohydrodynamic lubricant films may completely
separate the two surfaces, the high stresses will still be transmitted to the solid surfaces.
This paper discusses a case where machining chatter marks on the cam ring surface
altered the intended geometrical proportions of the parts and increased the Hertzian
stresses. This, combined with moisture in the hydraulic fluid, was considered the reason
for fatigue failure.

Stresses

Non-conforming contacting surfaces such as a ball or roller on a flat were studied by

Heinrich Hertz, who determined the magnitude and nature of the resulting stress fields.
Such contacts and stresses are now referred to as Hertzian.

1Adjunct Professor, QUT, School of Mechanical, Manufacturing and Medical

Engineering, GPO Box 2434 Brisbane, Qld., Australia 4001.
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334 HYDRAULICFAILUREANALYSIS

For a roller on a fiat the maximum Hertzian stress is given by

4w
qlnax --
(1)
7/'Zl
and the maximum shear stress is given by

r . ~ = 0.3 qmax (2)

where

w = load/unit length
zI = width of contact zone
z2 = position of shear stress below surface = 0.39z~

The width of the contact zone is given by

Zl = 3.05~-~1 (3)

where equivalent radius r is given by

rff2
r = (4)
ri + r2

E ~= 2.2 x 10" N / m 2 (steel on steel)

therefore

qm~ = 0.418 ~ w ~-E~ (5)

V r

Change in Geometry

The chatter marks on the surface of the cam ring consisted of a periodic ripple, the
wavelength and peak-to-valley height of which were determined from a profilometer
trace. The effective radius of the asperities was determined in accordance with Figure 1
and equations (6) and (7).

x=l/2(2RI-~) (6)

1/4 c 2 + (x + y)2]
R2- (7)
2(x + y)

This reduces the equivalent radius of contact by almost a half

Y X

Figure 1 - Exaggerated geometry of surface asperity on surface

Summary of Stresses

S t r e s s e s f o r v a r i o u s c o n d i t i o n s a r e g i v e n in T a b l e 1.

Table 1 - Stresses and Contact Widths

Normal operating Maximum pressure Peak pressure

p r e s s u r e ( 2 0 0 bar) (350 bar) (420 bar)
No ripple zl = 0.89 mm zl = 1.18 m m Z1 1.3 m m
z2 = 0.35 m m z2 = 0.46 mm 22 = 0.5 m m
%~, = 1.3 G P a q~ = 1.72Gpa Qmax 1.9 G p a
1:m = 0.39 GPa xm = 0.52 Gpa Xm = 0.57 GPa

With ripple z1 = 0.68 m m zl = 0.9 m m Zt lmtn

z2 = 0.26 mm za = 0.35 m m Z2 = 0.39 mm
qmax = 1.7GPa qm~ = 2.25Gpa Qmax 2.46 Gpa
"cm = 0.5 G P a "1~m = 0.67 Gpa 17m 0.74 Gpa

Oil Film Thickness

For roller on roller the minimum lubricant film thickness is given by Dowson and
Higginson [1] as,

h~i. = 1.6 (T]oU)0"7 ((~)0.6 (r)0.43 (E1)003 (w)-O.S

where absolute viscosity at atmospheric pressure

U = entraining velocity
(/, = pressure-viscosity coefficient
r = equivalent radius
E1 = equivalent elastic modulus
W = load per unit length

This gives values shown in Table 2.

Table 2 = Lubricant Film Thicknesses

Normal operating Maximum pressure Peak pressure

pressure (200 bar) (350 bar) (420 bar)

No ripple 0.097 ~un 0.09 ~tm 0.088 ~tm

With ripple 0.077 ~tm 0.072 ~tm 0.07 ~tm

Allowable hmm(from Wellauer and Holloway [2]) is 0.06 ~tm.

Environmental Issues

Contaminants in a lubricant are known to affect the fatigue life of rolling contact
elements. The most common contaminants in hydraulic systems are solid particles and
water. Each of these will leave characteristic markings on the rolling contact surfaces. In
this particular case, examination of the surfaces showed that there was no significant
damage due to solid contaminants.

Water in the lubricant can accelerate the propagation of fatigue cracks leading to
fracture. It has been hypothesized that vacancy induced diffusion of hydrogen into the
highly stressed surface material causes hydrogen embrittlement and accelerated failure. It
has been suggested that acidic oxidation during rolling contact can liberate hydrogen
through electro-chemical reaction with steel with the trace quantities of water found in
mineral oils as the conducting medium.

However, the detrimental effects of water contamination in rolling contact fatigue may
be counteracted with additives. Even small quantities of water which lubricating oils are
capable of dissolving are detrimental to fatigue life.

Table 3 shows the results of rolling contact fatigue tests [3].

Table 3 - Unisteel Bearing Fatigue Life Data [3]

L50 fatigue life (cycles x 106)

Lubricant 4-8 lxin test surface 10-16 ~tin test surface

SAE 20 base oil, dry 27.0 (2.3) 19.8 (1.1)

SAE 10 base oil + 0.15% wt 1-120 30.0 (1.6) 22.6 (0.8)
SAE 10 base oil + 0.5% wt H20 16.4 (1.6)
Fully formulated turbine/circulating 56.3 (1.6)
oil (SAE 10 base) + 0.5% wt H20
(Figures in brackets are the specific film
thicknesses, ~.)

Fatigue data, along with the calculated specific film thickness values, ~, are given. In
previous work, they were not able to distinguish the viscosity effect on fatigue life
between SAE 10 and SAE 20 viscosity grades. Assuming this holds true in this work, it is
evident that 0.15% wt water in the reservoir does not significantly affect fatigue life for
either roughness test piece. It should be noted, however, that decreasing the specific film
thickness by half by increasing surface roughness does decrease fatigue life, in this test
by approximately 26%.

With 0.50% wt water in the reservoir, there is a significant reduction in fatigue life of
approximately 39% for the SAE 10 base oil using the 4-8 gin surface finish test pieces.
This occurs even though there is no significant change in water concentration in the oil
exiting the test bearing, and indicates that the effective water-in-oil concentration exposed
to the bearing is indeed increased. The fully formulated turbine/hydraulic oil with 0.50%
wt water exhibits a significant increase in fatigue life compared with both the wet and dry
base oil. This shows that positive lubricant-chemical factors other than those occurring
specifically to nullify the detrimental effect of water are operative in this test.

Discussion

It can be seen that the calculated stresses are high and these are increased significantly
by the presence of a ripple on the camring surface.

In Table 4 these stresses can be compared with those found in rolling contact fatigue
test figs. Typical fatigue lives for the AOL fig are given in Table 5. It can be seen that
low lives are obtained from these accelerated test methods and the effect of water is to
reduce life further.

Table 4 - Test Machine Standard Operating Conditions [3]

Max
Hertzian
Test No. of Applied compressive Machine Lubric-
beating beating Load stress speed ant
Machine (BS No) balls (kN) (GPa) C/P (rev min"~) flowrate
(ml h"l)
AOL TFX 017 14 6.67 2.26 1.31 1500 15
Vertical
Rolling
Contact
Fatigue
Rig

Rolling See IP 300 3 5.88 7.89 0.377 1500 Single

Four- charge
Bald of oil
Machine 12 ml

Unisteei SFL 2 9 3.34 3.89 1.71 1500 7

machine (modified)

Table 5 - Vertical Rolling Contact Fatigue Rig Test Data [3]

Test lubricant L50 life Lloli~(h) Weibull slope No. of

(h) runs

OM-33 50 11 1.3 47
OX-30 52 17 1.7 44
OX-30 + 1% svd 38 8.4 1.3 25
OX-30 + 10% sw ~ 17 3.7 1.3 44
OEP-69 21 9.8 2.5 25
OM-100 49 11 1.3 24
a SW denotes synthetic sea water made to the specification given in IP 135/64.

The magnitude and depth below the surface of the maximum shear stress is important in
relation to the depth of the induction hardness of the camring surface. If the depth of the
maximum shear stress coincides with the interface between the hardened and core
material then fatigue is likely to be accelerated.

The calculated lubricant film thicknesses are small but lubrication of the contacts
should not be a problem. However, it is emphasized that adequate lubricant films do not
alleviate high stresses. The stress will be transmitted undiminished through the lubricant
film. Also, because of the small film thickness the contacts will be sensitive to solid
contaminants.

Conclusions

The stresses between the rollers and camring are high when the motor is operating at
high pressure. Fatigue life reduces as stress increases. Identified factors which may also
have contributed to unsatisfactory fatigue life are:

9 ripple on the camring surface,

9 water in the hydraulic fluid,
9 coincidence between maximum shear stress and depth of induction hardening.

Other unidentified variables may also reduce fatigue life but it was concluded that a
combination of those given above caused the problems experienced.

According to elastohydrodynamic theory lubrication at contacts is satisfactory.

References

[1] Dowson, D. and Higginson,G.R., "Elastohydrodynamic Lubrication," Pergamon

Press,1966.

[2] Wellauer, E.J., and Holloway, G.A., "Application of EHD Oil Film Theory to
Industrial Gear Drives," Trans ASME JEnglnd 98B (2) 626-634 (1976).

[3] Tourret, R., and Wright, E.P., Eds., "Rolling Contact Fatigue - Performance Testing
of Lubricants," Institute of Petroleum, London, (1976).

TRIZ-Based Root Cause Failure Analysis for Hydraulic Systems

Reference: Mann, D. L., and Hughes, E. J., "TRIZ-Based Root Cause Failure Analysis for
Hydraulic Systems," Hydraulic Failure Analysis: Fluids, Components, and System Effects,
ASTM STP 1339, G. E. Totten, D. K. Wills, and D. Feldmann, Eds., American Society for
Testing and Materials, West Conshohocken, PA, 2001.

Abstract: Analysis of root cause failure mechanisms in hydraulic systems suggests that
poor overall system specification, leakage and contamination issues are the dominant
failure contributors. The paper examines how the Russian Theory of Inventive Problem
Solving, TRIZ, is beginning to be applied in the specification and design of hydraulic
systems and components. Several of the key TRIZ tools, methods and strategies -
Contradiction Elimination, Ideal Final Result, Trends of Evolution, and Function
Analysis have been deployed on a number of case study examples. These examples
include leak-free coupling and self-cleaning filter component design studies, and an
examination of whole system energy management issues.

Keywords: TRIZ, system specification, leakage, contamination

Introd uetion

Hydraulic systems are robust, but not invincible. The hydraulics industry has, generally
speaking, been quick to capitalize on the former, and slow to recognize the latter. Rising
customer expectations on parameters like time between overhaul and time between
failure have reached a point where they often exceed the inherent capability of today's
hydraulic systems. Existing design paradigms for individual components are no longer
appropriate. Existing design paradigms for integrated hydraulic systems are no
longer appropriate. The answer does not lie in the traditional route of adapting existing
designs with after-the-event remedies; these make the product more expensive
and, more often than not, shift the problem rather than remove it. After-the-event design
is the ultimate compromise.
Design for reliability, "design for robustness", "through-life design", all mean
thinking about failure issues on day one. Causes of failure in hydraulic systems are,
qualitatively at least, relatively well known. The two single biggest failure issues are
leakage and contamination. The single biggest root failure cause is poor specification.

1Research Fellow, Department of Mechanical Engineering, University of Bath,

BA2 7AY, UK.
2Research Officer, Department of Mechanical Engineering, University of Bath,
BA2 7AY, UK.
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MANN AND HUGHES ON TRIZ-BASED FAILURE 341

TRIZ is an extremely powerful Russian problem definition and problem solving

method. TRIZ is built on the knowledge of mankind accrued across the global patent
database. It is also a methodology built on a 'design without compromise' premise. It
guides engineers towards getting the specification right. It guides engineers out of
existing design paradigms into constructive and valuable new ones.
The objective of the paper is to demonstrate how TRIZ can and has been used to
design inherently better, more reliable, hydraulic components and systems. A number of
case study examples are presented. Each study focuses on one or more of the key failure
related issues:
9 Using TRIZ to get the specification fight - a look at system heat management
from the perspective of both overall fluid power system technology evolution
trends versus heat exchanger design strategy, using an example from a
mobile application
9 Using the Function Analysis and Ideal Final Result parts of TRIZ to conduct
upfront root cause failure analysis of systems, and then using 'Trimming'
techniques to derive the 'right' minimum life-cycle cost design solution - an
applicatiOn looking at the design of a simple, cheap, self-cleaning filtration
system.
9 Case studies examining the use of TRIZ root-cause contradiction elimination
methods to help in the real isation of leak-free coupling and connector
designs.
Most real world organizations are caught in a constant battle to produce ever more and
ever better products with ever fewer resources.
Fewer engineers with more to do is a combination which usually leads to a strong
focus on fire-fighting today's problems with today's tools and techniques. The 'quick-fix'
is very much the order of the day.
All too often, the 'quick fix' turns out to be no fix at all. At least not in terms of
overall business performance. The reason for this is very simply that by fixing the
symptoms of a problem - rather than the root causes - we tend to generate a new solution
which is fundamentally more expensive to produce than the old one. Adding a palliative
is very much easier than finding a root cause. Especially when time is short.
Russian naval officer and engineer Genrich Altshuller had the idea that all of the
examples of 'good' design practice - the designs which succeeded in achieving
maximum functional benefit from minimum use of resource - followed common solution
strategies. He also felt that these strategies could be systemized. And so Teoriya
Resheniya Izobreatatelskikh Zadatch (TRIZ), or, in English, the "Theory of Inventive
Problem Solving", was born.
TRIZ research began in 1946 with Genrich Altshuller's hypothesis that there are
universal principles of invention that are the basis for creative, technology advancing,
innovations [I]. Altshuller believed that if these principles could be identified and
codified, they could be taught to people; and thus could make the process of invention
more predictable. TRIZ research has proceeded in several stages over the last 50 years,
now accumulating over 1500 person-years of scientific study and going far beyond
Altshuller's initial hypothesis. The three primary findings of the research are:
1. Problems and solutions were repeated across industries and sciences
2. Patterns o f technical evolution were repeated across industries and sciences

3. Significant innovations used scientific effects outside the field where they
were developed.
Much of the practice of TRIZ consists of learning these repeating patterns of
problems-solutions and patterns of technical evolution, and methods of using scientific
effects, and applying the general TRIZ patterns to the specific situation that confronts the
developer. Figure 1 describes this process graphically.

TRIZ TRIZ
GENERIC GENERIC
PROBLEM SOLUTION

_1_ SPECIFIC
1
SPECIFIC
PROBLEM SOLUTION

Figure 1 The General Model For TRIZ Problem Solving

Altshuller's work on problem classification and the discovery that there are only a
very small number of Inventive Principles available to the engineer is already profoundly
changing the systematic innovation picture. That there are only these small number of
principles has, for example, meant their systemization in software form has been
relatively easy. The emergence of a number of commercial packages built around TRIZ
ideas [2] is therefore not surprising.
This concept of identifying the contradictions in a design and correlating them to
how other inventors have solved the same types of problem is but one element of what is
now a much broader TRIZ methodology covering;
9 Trends of technology evolution classified in terms of generic function-
based parameters.
9 Classification of physical, chemical, and mathematical effects into a
function-based database structure.
9 The concept of 'Ideal Final Result'; a means of first helping to define the
problem to be solved and then a method for establishing the route towards
the optimum (compromise-free) solution to that problem.
9 A Function Analysis system modelling methodology and a corresponding
database of what Altshuller described as "Standard Inventive Solutions".
9 A method - known as the Algorithm for Inventive Problem Solving
(ARIZ) - through which inventors are able to classify and discover
effective means of solving complex problems.
The paper examines the Effects, Contradictions, Trends, Ideal Final Result and
Function Analysis parts of TRIZ from a fluid power industry perspective, and looks at
how TRIZ is being applied at the University. of Bath to shift a number of design
paradigms surrounding seemingly intractable problems.

Case Study 1: Flanged Joint/Leak-Free Coupling

In order to demonstrate some of the differences between the traditional design

approach and the TRIZ approach, it is useful to look at the example of a flange joint
design.
A flange joint is designed to carry a variety of loads and moments whilst
simultaneously forming a satisfactory seal. Traditional logic says that ifa flange is
designed and tested and is found to leak, the way to rectify that leak is to do one of three
things: 1) increase the bolt torque, 2) increase the number of bolts, or 3) add a gasket of
some sort. Ninety-nine times out of a hundred, the "quick-fix" solution to the leaking
flange problem would be to do one of these things. In each case, however, although the
immediate problem may have been fixed, the designer has merely solved the problem at
the expense of something else in the design. Increasing bolt torque has degraded life
expectancy of the joint, increasing the number of bolts has increased the overall weight
and maintenance time, and adding a gasket has increased assembly and maintenance cost,
and decreased life. The designer has in effect done no more nor less than find a different
point on the same trade-off characteristic (Figure 2).

high ~ bad
Number
of Bolts

low
good
I*
bad
LeakagePerformance
>
Weight

Convenience
of Use
or

good
good
k_ bad
Leakage Performance

Figure 2 - Typical Conflicting Parameter Design Trade-Off Scenario

In TRIZ terms, the designer has designed by compromise. Given the same leaking
flange scenario, TRIZ gets the designer to examine the design from a compromise-free
perspective. In this case, 'design without compromise' will have been achieved ifa
design with good leakage performance AND a small number of bolts (low wei~t, high
convenience of use) can be devised. Identification of this type of apparently paradoxical
contradiction statement is an important aspect of TRIZ.
The Contradiction Matrix [3] provides a potent means of connecting such statements
to inventive principles with which other engineers have managed to solve similar generic
types of contradiction.
Reference [4] details the process by which the flange joint problem may be solved
without compromise. Needless to say, it is possible to design a better seal with fewer
bolts. The answer is illustrated in Figure 3. Tests on this type of flange joint [5] have

demonstrated that it is actually possible to halve the number of bolts relative to

conventional design practice.

*.=ex

,,r \

r /
\\vJ
Figure 3 - Fluid-Tight Joint With Inclined Flange Face, US Patent 5,230,540

Leak-Free Coupling. No designer sets out to design a coupling that will leak. And yet
over 300 million litres of hydraulic fluid go missing in Europe every year. Theoretically
at least, the design picture is a well understood one; there are known design loads, L, and
known material characteristics, S, and each has some kind of statistical spread - due to
the various uncertainties present in systems - variations in material properties, variations
in operating condition, degradation over time, etc. Design of a leak-free coupling, may be
achieved by 'simply' ensuring there is no overlap between the load and strength
characteristics, Figure 4.
The reality, of course, is that the two characteristics do overlap. The overlap occurs
because - traditionally - the designer is also expected to keep a keen eye on other design
requirements like cost, weight and manufacturability. Compromise occurs as the designer
attempts to find the best balance between each parameter. Quite often cost - and
particularly 'initial purchase cost' - becomes the dominant selection criterion; and
leakage performance becomes compromised.

gth \,
Strength anal load measured
in identical units

Figure 4 Load versus Strength Ideal Design State

The TRIZ root-cause compromise-elimination approach allows designers to escape

from the traditional design strategy i.e., balancing different parameters (Figure 5).

bad

i i . Tradis;~ratna~g
Design
Parameter
B
9 m

good
good bad
Parameter A

Figure 5 - Traditional versus TRIZ-based Approach to Root-Cause Design

Contradictions

The inclined flange face idea of Figure 3 is one such idea where the traditional
coupling design paradigm may be modified in order to achieve good leakage performance
a n d a low weight, low cost solution. The same contradiction-elimination perspective may
also yield other significant root-cause problem solutions in other aspects of fluid power
system design for true leak-free performance.

C a s e S t u d y 2: F i l t e r s

A common starting point in TRIZ thinking is to look at the compromises and trade-
offs present in the state of the art. In the case of filtration systems, those trade-offs
include:-

9 Physical Size 9 Mesh Size

- contaminant holding capacity, - circuit protection versus filter life
- pressure loss versus weight 9 Operating Pressuure
9 Media Type - size versus stability
- cleanable versus disposable
9 Bypass/No-Bypass

Recognition of the trade-offs is a very good initial step towards removing them.
AltshuUer's trends of technology evolution provide one of the ways of determining how
such trade-offs might be removed.

Strictly speaking not one of Aitshuller's discoveries, but nevertheless consistent with
all the trends he did discover is the universal trend towards increasing product 'ideality'.
This idea was first discussed by Larry Miles [6]. Miles defined 'ideality" or 'value' as:

Value - Benefits / (Costs + Penalties)

The 'law' of increasing product 'ideality' in the context of fluid power filtration says
that future systems will evolve towards greater benefit (better circuit protection), lower
cost (cost of filter, life-cycle cost of system into which filter is designed) and reduced
operating penalties (lighter filters, reduced volume, better disposability, etc). None of
these should appear particularly surprising.
Miles' ideas are commonly expressed in terms of the S-curves of product evolution. S-
curves show trends of increasing ideality through successive generations of product
evolution.
Altshuller's trends of evolution discoveries are based primarily on analysis of the
global patent database and have thus concentrated on the physical manifestations
distinguishing one product generation from another. Among a host of patterns of
evolution spotted by Altshuller [1] is the example of'trimming'.
The 'Trimming' evolution trend (Figure 6) says simply that products will evolve to
contain progressively fewer components. Generally speaking, the reduction will
eventually be achieved with no decrease in product functionality.

Complete
engineeringsystem e imSystem with.
natedobjects I I Partisal~
yt:mmmed Trimmed system

Figure 6 - 'Trimming' Evolution Trend

Thinking now in terms of some of the current filtration system trade-offs and these
possible evolutionary trends, it becomes possible to see how the latest generation of
'core-less' filters have evolved.
Conventional disposable filters involve disposal of the filtration medium and the
supporting structure (element support, bowl, etc). Disposal occurs because the filtration
medium is filled with contaminant. The support structure around the medium, however,
has much useful life left. The 'increasing value' and 'Trimming' trends suggest that the
support structure should be made re-usable and only the filtration medium is disposed of.
Which is the exact principle in, for example, US patent 5,762,788 (Figure 7).
The 'core-less' filter is indeed a useful - perhaps 'generational'- advance in filtration
technology. It ought to be possible to employ the evolution trend patterns to project
further advances beyond this core-less unit.

Filter Medium~
(3 Re-Usable
, ~ .... ~ _ : _ ~ ~ ,~,.,~ __=.,,. Bowl

'---~:~" ,. ", . ,;_,~.., ..... _ ......

Figure 7 - US Patent 5, 762, 788 'Fluid Filter Having Re- Usable Filter Housing and a
Replaceable Coreless Filter Element'

Altshuller, conceived the Ideal Final Result (IFR) philosophy as another means of
assisting in the derivation of future technology advances. In effect, the IFR approach is a
way of encouraging designers to look at the furthest evolution along the trend paths.
There are a number of ways in which the IFR of a product can be developed. One such
means is to pass through the following sequence of questions:
1) What is the final aim?
2) What is the 1DEAL FINAL RESULT?
3) What is the obstacle to this?
4) Why does this interfere?
5) Under what conditions would the interference disappear?
(What resources are available to create these conditions?)
In theory, passing through the questions successfully should lead to the required IFR
solution, at least conceptually. In the case of the filter, for example, the following
answers may emerge:

/) What is the final aim?

To remove contaminant from circuit ('make the circuit invulnerable' to
contaminant could also be considered an effective strategy);
2) What is the IDEAL FINAL RESULT?
Contaminant removes itself from the circuit (Figure 8);

OIL
Con OIL

~ Contaminant

Figure 8 - Filtration System 'Ideal Final Result'

3) What is the obstacle to this?

Contaminant follows the oil flow.
4) Why does this interfere?
Since contaminant follows the flow, there is no means of removing it from the
flow stream (except by using a barrier that stops contaminant but does not stop
flow).
5) Under what conditions would the interference disappear? (What resources are
available to create these conditions?)
contaminant able to move relative to flow
(contaminant has momentum, mass, shape, magnetic properties, etc).

Asked how many ways there might be to make a particulate contaminant "move",
evidence suggests engineers working in the area might be able to name three or four.
Thinking more globally, other evidence suggests that the majority o f engineers have
working knowledge of perhaps 20-30 physical, chemical or mathematical effects, and
maybe a passing knowledge o f as many again.
The Invention Machine| software contains a massive database of such effects. One o f
the advantages o f this database is in following the lead provided by Altshuller to classify
the database in terms of function. So, for example, the database collects all the known
ways o f making particles move under a single heading. At present the number of ways o f
moving particles contained in the database is 33 (Table 1).
Some o f these effects will turn out to be more appropriate to the problem at hand than
others. It is the j o b of the engineer to determine which is which. This will probably
involve a significant amount o f work. Likewise, the process o f transforming a promising
effect into a viable engineering design is equally tortuous.
In some instances, the technology associated with the effect will be insufficient to
carry out the required function. For example, gravity alone will be insufficient to
separate, say, a 3 p m particle from oil in an acceptable (for a filtration system) period. In
these cases, engineers are forced into a program of research to improve the effect, or,
more likely, there will be a need to back away from the IFR towards a solution which is
viable. (See Reference [7] for an example o f how such a process works in practice).

Table 1 Means of 'Moving Particles'

* Gravity * Laminar Flow * Resonance

* Inertia * Funnel Effect * Vibration
* Acoustic Vibration * Hyperboloid * Turbulent Flow
* Birds Beak Effect * Ion Conductivity * Electrets
* Corona Discharge * Mobius Strip * Photophoresis
* Coulomb'sLaw * Magnetic Explosion * Thermophoresis
* Friction * Photophoresis * Triboelectricity
* Diffusion From Limited Source * Resonance * Pascal Law
* Boundary Layer Entrapment * Ferro-magnetism * Ranque Effect
* Atomic Beam-Stimulated Desorption * Diamagnetism * Fluidisation
* Diffusion Depth * Reuleaux Triangle * Funnel Effect
* Dopant Segregation * Laminar Flow * Electrophoresis

Meanwhile, in the case of the "contaminant removes itself' Ideal Final Result, it
appears that a solution may well be possible.
The problem is amenable to analysis by yet another of Altshuller's TRIZ tools - the S-
Field Analysis part of TRIZ [1]. S-Fields are Altshuller's attempt to describe inventive
problems in a manner analogous to chemical formulae.
'Fields' are external forces that may be applied to Substances (the ' S ' in S-Field).
There are six basic families o f field:
9 Gravitational
9 Electromagnetic (electrical/magnetic)
9 Nuclear - weak interaction
9 Nuclear - strong interaction
9 Mechanical
9 Thermal.
Taking $1 to represent a typical particulate contaminant, we are able to draw an S-
Field for the current situation:

According to the IFR, we require to impart some kind of force onto the particle in
order to separate it from the force. The dashed arrow indicates that this is currently an
'insufficient action'. Analysis o f the available Fields along with use o f the Effects
database does not appear as though a (practical) field with sufficient force can be
obtained. Probably the closest would be to use an electrical field (cf. electrostatic
precipitator separation devices), although the low velocity requirements o f such systems
mean they ......
. . . . ld k,~
. . . .~.. . . . bulkj ~o n d expensive) for a fluid power application.
This 'insufficient action' S-Field scenario is one o f a number o f problem types
classified by Altshuller. For each type o f problem, he identified a number o f Standard
Inventive Solutions. For this particular case, one o f the suggested solutions is, ' i f it is not
possible to impart sufficient Field to the Substance directly, then impart it through a
second substance'. The S-Field map for this suggestion is illustrated in Figure 9.

tF F

$1 z_ $1 4 1 - - - $2
Figure 9 - S-Field for 'Ideal Final Result' Fluid Power System Filtration Device

Preferably, the second 'substance' 82 will be an existing part (or a modification of an

existing part) of the system surrounding the separator. Ideally, the Field applied to $2 will
be the simplest of the six possibilities.
Analysis of the 'self-cleaning filter' based on this S-Field has in fact revealed that a
solution does exist. In keeping with the concept of using existing parts of the system (i.e.
the overall fluid power system), preliminary calculations suggest that a self-cleaning filter
offering:
* lower installed volume
9 lower pressure loss
9 higher pressure loading capability
9 low part count (lower than for current barrier filters)
9 low cost
can be achieved. In common with other studies [8] this case demonstrates a tendency to
achieve many more side-benefits above and beyond the initial goal (which was 'self-
cleaning' in this case) if 'design without compromise' can be achieved. A self-cleaning
filter based on the S-Field work presented here is currently the focus of a patent
application.

Case Study 3: Evolution of Pump Controls to Improve System Efficiency

In order to develop competitive advantage in what is a highly competitive market,

companies manufacturing mobile equipment, e.g., excavators and tractors, are increasing
the sophistication of the hydraulic control systems available to the operator. In doing so
they are adding to the demands on the fluid power system to dissipate energy, e.g., within
the reservoir, as increased temperatures affect viscosity and therefore performance levels.
As space restrictions limit the size of the oil reservoir on mobile equipment many
manufacturers have to add additional Components such as coolers and fans to control the
heating problem. This increases the complexity of the auxiliary systems and adds
significant cost.
To improve energy efficiency, and counter beating problems, fluid power system
designers have evolved increasingly more sophisticated control strategies. Five control
strategies are described below with the first three being used with fixed displacement
pumps and the final two with variable displacement pumps.
1. ('onstant f l o w with m a x i m u m p r e s s u r e limitation - This system always absorbs
considerable power especially when flow is zero. Under this condition all the pump flow
is relieved through the relief valve at maximum system pressure. The pump is therefore
being operated at maximum power and as no useful work is being done by the system, all
the power is dissipated as heat at the relief valve_
2. ( ;onstant f l o w with m a x i m u m p r e s s u r e h m i t a t i o n a n d automatic u n l o a d i n g -
The efficiency of the basic circuit can be improved by replacing the pressure relief valve
with an unloading valve which automatically unloads the pump whenever the flow in the
system becomes zero. Unlike the pressure relief valve, the unloading valve opens fully

whenever the system pressure reaches its maximum value, permitting pump flow to be
passed directly back to tank.
3. Variable f l o w with m a x i m u m input p o w e r limitation - Some systems require
large flows at low pressure and only small flows at high pressure. Considerable saving in
installation cost and overall efficiency can be achieved by using two or more fixed
displacement pumps driven from a single prime mover of limited power. Such a system is
more efficient as by selection of suitable pump flows and pressures the power required to
drive the pumps for both low and high pressure conditions is the same.
4. Constant p r e s s u r e ~ystems - Introduction of variable displacement pumps
permitted hydro-mechanical control (compensation) to provide a constant pressure
irrespective of the flow demand. An equilibrium is reached when the delivery flow is
such that the delivery pressure is close to (but slightly more than) the pre-set level. Such
an arrangement is, in many applications, more energy efficient than a fixed displacement
pump discharging flow, through a relief valve.
5. L o a d - s e n s i n g systems - There is a definite trend towards greater use of load
sensing control, particularly in mobile applications. The aim is to vary both flow and
pressure to suit the demand of the load, thereby saving energy. Unlike control pressures
for pressure compensated pumps that are sensed inside the pump and reflect all system
pressure variations, control pressures for load-sensing systems are sensed close to the
load. These reflect only variations in that specific load, and are usually sensed at the
motor port of the DCV or at a motor or actuator inlet port.

Two significant design issues arise when examining heat-dissipation in mobile

applications. The first concerns the use of evolution trend prediction to establish whether
or not pump control has anything further to offer in terms of reducing the root-cause heat
generation problem. The second concerns the design of the heat exchanger part of the
system.
Regarding the pump control evolution path, it is useful to examine the corresponding
'action co-ordination' evolution trend observed by Altshuller (Figure 10).

Non-coordinated i ~ Partiallycoordinated Coordinatedaction~: ;1 . duringintewals

Actions t i
........... ~cti~ ............i I actions L J

Figure 10- TR1Z "Action C o - o r d i n a t i o n ' E v o l u t i o n Trend

it is clear that the pump control evolution story is consistem with the predicted trends
when examining the co-ordination of the actions of the pump and its related control
valve, and the corresponding load conditions. System A represents the first step on the
evolution path, in that the action of the pump is uncoordinated with the prevailing load.
Systems B, C, and D each represent varying degrees of load/supply co-ordination
consistent with the second evolutionary stage. Load sensing, System E, represents the
third evolutionary stage, at which the load conditions and the pump/valve conditions are
well co-ordinated.

The trend indicates that there is scope for further enhancement in pump efficiency,
and heat generation reduction, through use of design strategies in which actions occur
"during intervals". In the context of the pump control issue, this could either mean
incorporation of some form of heat/energy store or actions to boost heat dissipation
during convenient times during the duty cycle. Alternatively, looking beyond the pump
control system, incorporation of a prime mover with a variable speed capability.
The other side of the heat management problem examines the design of the heat
exchanger system itself. A typical mobile application would use a water-tube oil cooler.
The space restrictions on most mobile applications see the creation of yet another design
contradiction with respect to the design of the exchanger; where the device is required to
be both compact and possess high effectiveness.
Similar heat exchanger contradictions have been comprehensively evaluated from the
TRIZ compromise-elimination perspective [9], and it has been shown that significant
improvements in the heat transfer rate per unit volume of heat exchanger can be
achieved.
The mobile system application designer is thus presented with two equally viable
design strategies; one looking at root cause heat generation issues, the other looking at
compromise-eliminating heat dissipation design options. Both are equally valid. The most
appropriate design strategy between the two must be made on a case-by-case basis. The
decision will depend on many trade-offs involving issues like time-to-market, technical
risk and other business-related issues. Alternatively an organisation might seek to
examine ways to use TRIZ to address and help to eliminate these trade-offs.

Conclusions

9 The growing importance of effective innovation and the ever-increasing cost of

product development both mean significant increases in the responsibility borne by
engineers in ensuring we achieve the 'best' possible solution to a problem.
9 The Russian-based TRIZ inventive solving methodology offers a number of powerful
new ways of looking at the design process relative to traditional 'design is a ttade-oW
assumptions. It is quite probably the most effective tool available anywhere to assist
engineers in getting to that 'right' (compromise-free) design solution at a root-cause
level.
9 Problem definition is by far the most important part of the problem solving process.
Altshuller's Ideal Final Result philosophy provides a means of assisting engineers
and designers in this definition process.
9 The Trends of Evolution TRIZ tools provide a very powerful tool for breaking out of
existing design paradigms and into new and exciting ones.
9 TRIZ methods have been successfully used to derive novel leak-free coupling and
connector design concepts.
9 TRIZ methods have been successfully used to derive a patentable 'self-cleaning' filter
concept design.

References

[ 1] Altshuller, G., "'Creativity As An Exact Science ", Translated by Anthony Williams,

New York, Gordon And Breach, 1988.
[2] Invention Machine Ine, TechOptimizer V3.01, www.invention-machine.com.
[3] Domb, E., "Contradiction Matrix", TRIZ Journal, www.triz-joumal.com, June 1997.
[4] Mann, D. L., "Case Studies in TRIZ: Halving The Number of Bolts in a Flanged
Joint", TRIZ Journal, www.triz-journal.com, November 199~8,
[5] Lewis, L., "Improvements To Flanged Joints", ISABE X, Athens, 1989.
[6] Miles, L. D., "Techniques of Value Analysis and Engineering ", McGraw-Hill Book
Company, New York NY, 1961. (Latest printing 1989. Published by Eleanor
Miles-Walker. Sold through SAVE International, 60 Revere Drive, Suite 500,
Northbrook, IL 60006).
[7] Mann, D. L., "Case Studies in TRIZ: A Re-Usable, Self-Locking Nut", TRIZ
Journal, www.triz-journal.com, April 1999.
[8] Mann, D. L., "Case Studies in TRIZ: A Helicopter Particle Separator", TRIZ Journal,
www.triz-joumal.com, November 1998.
[9] Busov, B., Mann, D. L., Jirman, P., "TRIZ and Invention Machine: Methods and
Systems for Creative Engineering and Education in the 21 st Century", paper
presented at 1st International Conference on Advanced Engineering Design,
Prague, May 1999.

The Surface Behavior of Metallic Materials During the Incubation Period of

Cavitation Erosion

Reference: Yabuki, A., Noishiki, K., Komori, K., and Matsumura, M., "The Surface
Behavior of Metallic Materials During the Incubation Period of Cavitation
Erosion," Hydraulic Failure Analysis: Fluids, Components, and System l'2ffects, ASTM
STP 1339, G. E. Totten, D. K. Wills, and D. Feldmann, Eds., American Society for
Testing and Materials, West Conshohocken, PA, 2001.

A b s t r a c t : Cavitation damage in hydraulic machines is still unavoidablc as the

downsizing and the increase in their power continue. One of the characteristic features of
cavitation erosion is that the removal of metallic material occurs after an incubation
period, during which no mass loss, but plastic and elastic deformation of the surfacc,
occurs. The current methods lor predicting the amount of erosion damage inflicted upon
metallic materials in a cavitating environment are based on the mass loss of material. As
a consequence, the erosion-resistance of a material can not be determined until a certain
amount of mass loss has occurred. In this study, in order to quickly evaluate the erosion-
resistance of metallic materials, the plastic deformation behavior of metallic materials
during the incubation period was analyzed. The increment of the surface area was
determined from the material surface profile data, measured through a surface roughness
meter, to establish a good index for evaluating cavitation erosion development on the
surtace, as Well as the intensity of the cavitation attack. According to the index, the
incubation period of cavitation erosion is to be divided into two periods. In the first
period, the rate of surface area increment is related to the hardness of the metallic
material, and in the second period to the strain hardening exponent. These results can
then be applied to the rapid determination of the level of erosion-resistance, in turn
leading to a rapid prediction of the service life of the material.

Keywords: cavitation, erosion, incubation period, plastic deformation, surface roughness,

damage prediction

i Research associate, graduate student, and professor; respectively, Department-of

Chemical Engineering, Faculty of Engineering, Hiroshima University, 1-4- I
Kagamiyama, Higashi-Hiroshima 739-8527, Japan.
2 Graduate student of Hiroshima University, Energy & Nuclear System Center, KOBE
STEEL, LTD., 2-3-I Shinhama, Arai-cho, Takasago 676-8670, Japan.

Copyright by ASTM Int'l (all rights reserved); Fri Aug 31 00:20:19 EDT 2018
Downloaded/printed by
357
YanShan University (YanShan University) pursuant to License Agreement. No further reproductions authorized.
Copyright9 2001 by ASTM International www.astm.org
358 HYDRAULIC FAILURE ANALYSIS

Introduction

Cavitation erosion is a phenomenon in which the material is mechanically damaged

by the impulsive pressure generated by the collapse of cavities in the high pressure zone
of fluid, which were generated by localized evaporation due to the static pressure drop in
flowing fluid. One of the characteristic features of cavitation erosion on metallic material
is that the removal of material occurs after an incubation period, during which no mass
loss, but plastic and elastic deformation of the material surface, occurs. The current
methods for predicting the cavitation erosion damage of metallic materials in the field are
based on the mass loss of test specimen, that is, the measuring the mass loss [1], or the
damage depth [2], of material after the incubation period. Using these methods, the
erosion properties of materials cannot be estimated until a certain amount of the material
has been removed. On the other hand, during the incubation period, material removal
does not occur, but plastic deformation is increasing with time, and the surface profile of
the material is changing: If the erosion properties of materials are estimated from the
material surface profile during the incubation period, the service life of the materials may
be predicted more rapidly than by using current methods, and it would be useful for the
design of industrial machines. There may be some cases, for example in precision
machines, where even the mass loss is not allowed; that is, the end of the incubation
period is the termination of the service life for the machine.
A cavitation erosion test for type 304 stainless steel was carried out by S, M. Ahmed
et al. and it was reported that the damage process was qualitatively derived into three
periods, showing the relationship between the developed stage of cavitation erosion and
the surface roughness [3]. The cavitation erosion tests for several materials were carried
out using a water tunnel unit under several conditions by H. Louis et al. and the change in
the surface roughness of materials was investigated.l As a result, a method for predicting
erosion damage on actual machines was offered; however, the roughness data obtained
were not correlated with the mechanical properties of materials.
In this study, in order to quickly evaluate the erosion-resistance of metallic
materials, the surface behavior of metallic materials during the incubation period of
cavitation erosion, in particular the plastic deformation behavior, was analyzed. Based on
the results, the relationship between the material deformation during the incubation
period and the mechanical properties of the materials was investigated. Using these
results, a method for predicting the duration of the incubation period for the material in an
actual machine in a cavitating environment was proposed.

Experimental procedure
The three different types of experimental devices used in the present study were as
follows:
a) A water tunnel unit developed by Louis [4, 5]. The test section was a rectangular

1Louis, H., Tai, P. T., Whelage, T., and Yabuki, A., "Evaluation and prediction of
surface roughness due to cavitation erosion," International STG-Symposium on
Propulsors and Cavitation in Humburg, 1992.

channel (40x30 mm) with two semicircular columns through which the fluid flow was
accelerated to generate cavitation (Figure 1 (a)). Cavitation occurred in a form similar to
that in pumps and valves in the field.
b) A vibratory unit [6], in which a disk-shaped specimen 16 mm in diameter, was
vibrated vertically in a test liquid at a frequency of 20 kHz with a double amplitude of 25
~tm (Figure 1 (b)).
c) A vibratory unit with a stationary specimen [7], which was located 0.4 mm below
a vibrating nozzle of stainless steel. The surface of the stationary specimen was damaged
by the collapse of cavities, which were generated by the vibration of the nozzle. A test
liquid was injected into the gap between the nozzle and the specimen through a bore in
the horn which nullified the expansion of the horn due to heat, so that the distance
between the nozzle and the specimen was kept constant (Figure I (c)).

Test specimen.
./
Test

__~_Test specimen I
(a) Watertunnel unit (b) Vibratoryunit (c) Vibratory unit wih a
stationaryspecimen
Figure 1 - Schematic Diagram of Testing Apparatus

Table 1 - Chemical Composition and Mechanical Properties of Testing Materials

Material Chemical composition Hv, GPa Strain

hardening
exponent, -
Stainless (SUS316) 0.08C-2.00Mn- 1.00Mg-0.045P- 2.10 0.26
steel 0.03S-18.0Cr-14.0Ni-3.00Mo-Fe
Carbon steel ($45C) 0.43C-0.63Mn-0.26Si-0.03P- 2.06 0.234
0.033S-Fe
Commercial (Fe) 0.035C-0.1Mn-0.01Si-0.026P- 1.56 0.16
pure iron 0.035S-Fe
Brass (Brass) 3.23Pb-0.23Sn-0.20Fe-59.2Cu- 1.25 0.291
Zn
Pure copper (Cu) 99.99Cu 1.07 0.291
Aluminum (A2017) 0.55Mn-0.60Mg-0.56Si-0.01Cr- 1.39 0.358
alloy 0.50Fe-3.90Cu-0.02Ti-A1
(A6061) 0.15Mn-0.15Cr-0.70Fe-0.30Cu- 1.14 0.45
0.15Ti-0.25Zn-A1

The test liquids were tap water for the water tunnel unit and deionized water
(conductivity of 0.2 ~tS/cm) for the vibratory units. The temperature of the lest liquids
was maintained at a constant 40 ~
As shown in Table 1, seven kinds of metallic materials were used for the test:
stainless steel (SUS316), carbon steel ($45C), commercial pure iron (Fe), brass (Brass),
pure copper (Cu) and two kinds of aluminum alloys (A2017, A6061). The specimens
were disk-like in shape, of 16 mm in diameter, and the same in all apparatus. A
compression test using a tungsten carbide shot of 3 mm in diameter was carried out on
each material in order to obtain the strain hardening exponent from the resultant stress-
strain curve measured.
In order to determine the incubation period of each material, and to analyze the
material behavior after material removal, the mass loss and volume loss of test specimen
were used as the indices of current use. In addition to this, the damage depth d, which
was the difference of the profiles before and after the cavitation erosion test measured
through a surface roughness meter (radius of diamond cone-tip, 5 ~m), was also used for
the estimation of the amount of localized damage caused to the material.
The index ARa, defined by equation (1), was adopted for the evaluation of material
surface behavior during the incubation period; this was the difference between the
arithmetical averaged roughness after the test, Ral, and that before the test, Rao, which
were determined in accordance with JIS Surface R o u g h n e s s - Definitions and
Designation(B 0601). As a new index of material damage during the incubation period,
the surface increment percentage AS defined by equation (2) was adopted; where L, is the
length of surface profile before the test and L~ is that at the same place after the test. ARa
and AS of a specimen were determined from the data which was taken at 1 ~m regular
intervals for 1 mm along the profile.

ARa = Ra, - Ra o (1)

AS" LI2 -L''2 x l 0 0 (2)

In addition to this, using several pieces of brass specimen, the hardness distribution
in the depth direction on the cross section of a specimen, at several testing durations, was
measured using Vickers hardness meter.

Results and Discussion

Determination o f the incubation period

The incubation period is generally defined as being the early stage of damage, during
which mass loss does not occur. The relationships between the damage depth, and the
testing time, at a certain zone on the specimen surface where severe damage occurred for
four kinds of metallic materials in the vibratory unit with a stationary specimen are shown
in Figure 2. The incubation period of each material obtained from this figure agreed with
that obtained from the volume loss vs. testing time relationship. Thus, either will serve in

determining incubation period. This is true so long as the damage occurs uniformly over
the whole surface area, and that the weight loss, can be easily determined from which the
volume loss is calculated. The volume loss, however, is difficult to determine for the
uneven damage on a specimen or for the damage on a part of an actual machine. As the
damage depth, meanwhile, can evaluate even a very localized damage on a real machine.
it was adopted to determine the incubation period. While the damage depth increased
gradually owing to the plastic deformation in the incubation period, the slope of damage
depth vs. time relationship after mass loss began was obviously different from that in the
incubation period, so that intersection of the line with the time axis was easily determined
as the incubation period.

70
E 60 Cu

~E / 40

20
o~~ Brass
o SUS316
10

0
0 5000 10000 15000 20000
Time (s)
Figure 2 - Damage Depth vs. Testing Duration Relationship Obtained in a Vibratory
Unit with a Stationary Specimen

Surface behavior of material in the incubation period

The change of ARa and AS over time for four kinds of metallic materials in the
vibratory unit, with a stationary specimen, are shown in Figure 3 (a), (b). The closed
squares in the figures indicate the incubation period determined by the damage depth, d.
measurement. The ARa o f each material increased with the testing time during the
incubation period and the plots fell on a straight line. The slopes of the lines were
different among each of the materials. As the material was separated from the damage
surface after the incubation period, the slope changed from that of the incubation period,
which is in accordance with the resulfs given by Louis et a L I The surface increment
percentage AS of each material increased with testing time, in a similar manner to ARa,
but the slopes of AS further increased after AS reached 0.2 %, showing that the incubation
period was divided into two periods. The behavior of each material was similar in that:
(1) the slope of a straight line, namely, the exponent was one during the first period, (2)
after AS reached 0.2 %, the slope further increased, namely, the exponent became larger
t h a n o n e , ( 3 ) s h o r t l y a f t e r t h e t e r m i n a t i o n o f t h e i n c u b a t i o n p e r i o d , AS

100
(a)

lC
i i vv !
cui i i

n"
<3 0.1

0.01
9 g- ~k Brass

...... i ........ I ........ I ..... I . . . . . .

0.001
10 100 1000 10000 100000
Time (s)
100 ''""1 ' ' ''""1 ' ....... I ' '""1 ' '''"'

i ~ ~ (b)

A2017 o

GO
<3 0.2
0.1

O.01 .... - ~ Brass 6-

0.001
10 100 1000 10000 100000

T i m e (s)
Figure 3 - Surface Roughness (a) and Surface Increment Percentage (b) vs. Testing
Duration Relationships for Various Materials in the Vibratory Unit with a
Stationary Specimen

became constant.
The changes of ARa and AS against the testing time for brass in three kinds of testing
apparatus are shown in Figure 4 (a), (b). In both cases, the number of break point and the
slope of line during the incubation period, as well as the ARa and AS values at the
termination of incubation period, coincide regardless of the intensity of cavitation attack.
If the same shape could be reproduced in the behavior of those indices during incubation

period under a cavitation attack of low intensity such as that occurring in actual machines,
it would be quite useful for predicting the extent of damage in the field. The evaluation
of the physical meaning of the characteristic shape would make the feasibility of
reproduction greater.

tO0
Brass (a)
Vibratory unit with a
statiohary specirrien
10 r

ZSS
Vibratory unit : '~.~,_t z
E 1

o~
0C
<3 0.1

0.01

, ,,.,.,d , , ,.,,,,I , , ,,,..,I . . .,,.,,I . ......

0.001
10 1 O0 1000 10000 100000
Time (s)
100
Brass Vibratory unit w i t h a (b)
stationary specimen :

Vibratory umt

o~. 1

0.2 . . . .
O.t

0.01
n

0.001 ........ ~ ........ J ........ J ........ ~ .......

10 100 1000 10000 100000

Time (s)
Figure 4 - Surface Roughness (a) and Surface Increment Percentage (b) vs. Testing
Duration Relationships for Brass in Three Kinds of Apparatus

The physical meaning of the index itself is as follows: ARa indicates how deep the
material surface is plastically deformed in the depth direction. AS indicates, on the other
hand, the ratio of the increment of material surface area originated by plastic deformation

in relation to the original. There is not much choice between them in the physical
meaning. AS is, however, judged more suitable for the index of damage because a lot of
information is involved in the characteristic shape, as indicated above. In the next
section, the physical meaning of each period's characteristic behavior is discussed.

Surface deformation model in the incubation period

The deformation behavior of surface material during the two characteristic periods
which appeared in the AS vs. time relationship in the incubation period were compared
with each other. Firstly, the surface profiles of the brass specimen obtained through a
surface roughness meter were examined. The surface in the first period was almost
completely covered with dents which were generated in the underside of the virgin
surface level (Figure 5 (a)). On the surface in the second period, there were not only the
dents but also piling up in both ends of a dent, resulting in that the surface material was
moved down to the underside, as well as up over, the virgin surface level (Figure 5 (b)).

_.,1 mm

(a)
% ~ ~ ~ ~ . . . . . ~ ~ * e i ~ ~ . . . . L ~ ~ ~ ...... j-~

(b)

Figure 5 - (a) Surface Profiles in the First (300 s) and (b) Second Period (1000 s) ]or
Brass in Vibratory Unit with a Stationary Specimen.

Secondly, the hardness distribution in the depth direction on the cross section of the
brass specimens were measured in each period (Figure 6). During the first period, some
increase in hardness was observed only close to the surface, about 50 ~m, indicating that
the strain hardening of the material was limited to the vicinity of the dent. During the
second period, the strain hardening proceeded deeper into the material (over 100 ~m).
After the material began to separate, the depth of hardening became constant (150 vtm).
The previous observation may link the characteristics of surface deformation
behavior with the mechanical properties of materials. The dent formation in the first
period is accompanied with scarce rise in hardness, except for in close proximity to the
dent, which bears a resemblance to the indentation process witnessed in the Vickers
hardness measurement. Therefore, the increasing rate of surface increment percentage or

the slope of AS vs. time relationship in a normal coordinate was compared with the
Vickers hardness of the material to find an accurate correlation between them, as shown
in Figure 7.

2.0
Viratory unit with a stationary specimen
Brass
1.8
First period
O_ 1.6 Second period
(.9
v
>
I 1.4

1.2

1.0 I I I I
0 50 100 150 200 250
Distance from the surface (#m)
Figure 6 - Change of Hardness of Specimens in the First and Second Period for Brass

1 0 .2 ,

v A6061 A2017

E
O)
E
10 -a
.... L l ....... / Brass
(3
C

1 0 .4
C~ o\ $45C
0

69
I I I I I I I I I I I I I I I I
10
0.1 1 10

Hv ( G P a )
Figure 7 - The Surface Area Increment Rate in the First Period vs. Hardness
Relationship

In the second period, piling up occurred in addition to the dent formation, with

--4
E
c-
O

-. $45C

~ 6 Cu
_ o ~ A6061 I
C
Brass A2017
<1)

't::
I I I I
0 0.1 0.2 0.3 0.4 O5
Strain hardening exponent (-)
Figure 8 - The Surface Area Increment Exponent in the Second Period vs. Strain
Hardening Exponent Relationship

enhanced strain hardening at the top of the surface as well as in the depth direction.
Therefore, the strain hardening process must be playing an important role in this period,
either enhancing or inhibiting the deformation of material surface, so the relationship
between the surface area increment exponent (the exponent of AS in Figure 3 (b)) and the
strain hardening exponent was examined. As a result, a satisfactory correlation could be
seen between them (Figure 8).
A model was constructed for the surface deformation process under the following
assumptions: (1) during the first period dents are generated due to cavitation impulsive

0
First period
1 --~_j
-,~- ~---.

(1.) 3 --,..j
E
.m 4 ~

5 Second period
6

8 ~
(a) (b)
Figure 9 - Surface Deformation Model during the Incubation Period of Cavitation
Erosion; (a) Dents Formation in the First Period, (b) Effect of Impulsive
Pressure

pressure on the flat virgin surface; namely, the dents do not overlap each other. (2) The
size of dents depends on the hardness of materials, but the shape is similar in that the area
of a dent is 0.2 % larger than that of the virgin surface is.
According to the model, the increase in AS during the first period is proportional to
the number of dents because the frequency of occurrence (the number occurring over
time) of large impulsive pressure, which brings about the dents, is constant (Figure 9 (a)).
Since AS of each dent is 0.2 %, AS measured in a certain area of specimen surface
becomes 0.2 % when dents cover the total area. In the second period, the dents are
overlapping, or a dent is generated on a dent, so that a dent surface is pushed not only in
the vertical direction but also in a horizontal direction by the impulsive pressure (Figure 9
(b)), thus resulting in the higher exponent of AS vs. time relationship.
As the intensity of cavitation attack is represented by the occurrence frequency of
impulsive pressure which brings about dents on the material surface [8], it is feasible to
believe that the dents on the material surface of actual machines have the same shape as
those in an accelerated test unit, so that AS vs. time relationship will present the same
shape as in Figure 4.

Prediction of the duration of the incubation period

The model given in the previous section illustrated the physical meaning of the
shape of AS so clearly that it can be sufficiently expected to present the same shape under
the milder cavitation conditions experienced in the field.

100
Actual
Accelerated test machine
ft--

10 #

!
#
#

r ~-- I #

O3 ]"
<1 S
0.1 jJ

Measureddata
0.01
: Operation I:~dOff(measurec~
Incubationperiod(predicted)
= = ill=== I | | m |||ml i | | | Him . . # |m=|ml 9 9 mml!
0.001
102 103 104 05 106 10 7
Time (s)
Figure 10 - Prediction of Incubation Period

The duration of the incubation period in actual machines can then be predicted in
the following way. Firstly, the behavior of the surface increment percentage of a material
is to be obtained by an accelerated erosion test in laboratory. Secondly, the surface
increment percentage is to be determined by comparing the surface profiles both before,
and after, practice in the actual machine. If it takes a value in the incubation period, the
duration of the incubation period of the machine can be determined by shifting the curve
determined in the accelerated test by the operation period (Figure 10).

Conclusions
The surface behavior of metallic materials during the incubation period of cavitation
erosion was investigated and the following conclusions were obtained.
(I) For estimating the duration of incubation period, the surface increment percentage
proposed in this study is useful. Using the index, the incubation period can be
divided into two periods.
(2) The increase in surface area during the first period of the incubation period is in
correlation with the hardness of materials.
(3) The surface deformation during the second period of the incubation period is in
correlation with the strain hardening exponent of materials, which is in turn the
resistance against the surface deformation.
(4) Using the surface increment percentage, a method to predict the duration of the
incubation period in actual machines was proposed.

Acknowledgement

The authors wish to express their gratitude to Messrs. K. Hayashi and T. Ohnishi for
their assistance in the experiments.

References
[1] Oka, Y., Matsumura, M., and Ohsako, Y., "Equation for Estimating the Amount of
Cavitation Damage," Boshoku Gijutu (Corrosion Engineering), Vol. 34, 1985, pp.
234-239.
[2] Matsumura, M., Oka, Y., Ueda, M., and Yabuki, A., "Prediction of Service Life of
Metallic Materials exposed to Cavitation Attack," Boshoku Gijutu (Corrosion
Engineering), Vol. 39, 1990, pp. 550-555.
[3] Ahmed, S. M., Hokkirigawa, K., Oba, R., and Matsudaira, Y., "Developed Stages of
Ultrasonically Produced Cavitation Erosion and Corresponding Surface
Roughness," Transactions of the Japan Society of Mechanical Engineers, Series B,
Vol. 55, 1989, pp.572-578.
[4] Louis, H., "Erosive Zerst6rungen dutch Str6mungskavitation," Dissertation,
Technishe Universit~it Hannover, 1973.
[5] Matsumura, M., "Influence of Test Parameters in Vibratory Cavitation Erosion
Tests," Erosion: Prevention and Useful Applications, ASTM STP 664, W. F.
Adler, Ed., American Society for Testing and Materials, Philadelphia, PA, 1979,
pp. 434-458.

[6] Matsumura, M., "Vibratory Cavitation Erosion Test," Kagaku Kogaku Ronbunshu,
Vol. 2, 1976, pp. 399-404.
[7] Matsumura, M., Okumoto, S., and Saga, Y., "Effects of Tensile Stress on Cavitation
Erosion," Werkstoffe und Korrosion, Vol. 30, 1979, pp. 492-498.
[8] Mori, H., Hattori, S., Okada, T., and Mizushima, K., "An Approach to Studying
Cavitation Bubble Collapse Pressure and Erosion," Transactions of the Japan
Society of Mechanical Engineers, Series A, Vo|. 62, 1996, pp. 2326-2332.

Failure Mechanism of a Hydraulic Log Piston and Slipper Assembly

Reference: Sikes, J. T., "Failure Mechanism of a Hydraulic Log Piston and Slipper
Assembly," Hydraulic Failure Analysis: Fluids, Components, and System Effects,
ASTMSTP 1339, G. E. Totten, D. K. Wills, and D. Feldmann, Eds., American Society
for Testing and Materials, West Conshohocken, PA, 2001.

Abstract: A failure investigation was conducted on hydraulic log piston and slipper
socket interfaces from aircraft Integrated Drive Generators (IDGs) to determine the
reason for the occurrence of several in-service failures. Typically, one piston out of
nine broke through the slipper socket. Once this occurred, secondary damage led to the
removal of the unit from the aircraft. The effort to determine root cause proved
difficult because despite the widespread usage of the components in numerous aircraft
applications, only a few operators were experiencing failures. The scope of the effort
was expanded from analysis of failed units to those exhibiting poor wear performance
in order to define in detail the wear mechanism leading to failure. Expansion of the
effort revealed that a complex wear process consisting of several stages and classic
wear mechanisms was occurring, due primarily to the rapid deterioration of the
lubrication film.

Keywords: piston, slipper, lubrication, degradation, polishing, wear, surface fatigue

Background Information

Hamilton Sundstrand Integrated Drive Generators are used to generate electric

power on a wide variety of commercial aircraft. Variable output speed from the engine
is refined through gearing and hydromechanical systems to drive an integrated
generator at a constant speed. In the IDG, both fixed and variable displacement
hydraulic log systems work together to govern generator speed. Failure typically
occurred in the variable hydraulic log (Figure 1). Each hydraulic log unit has nine
slippers mechanically attached to pistons (Figure 2). The pistons are made from a
bearing steel, heat treated to a high hardness. The slippers are made of a wear resistant
tool steel heat treated to a much lower hardness than the pistons. Both components
have surface finishes optimized for fluid retention. A hydrostatic lubrication film is
created by oil that is directed into the socket through a hole in the center of the piston.

'Master Materials Engineer, Hamilton Sundstrand, United Technologies, 4747 Harrison

Ave., Mail Stop 267-6, Rockford, IL 61125-7002.
Copyright by ASTM Int'l (all rights reserved); Fri Aug 31 00:20:19 EDT 2018
Downloaded/printed by 370
YanShan University (YanShan University) pursuant to License Agreement. No further reproductions authorized.
Copyright9 2001 by ASTM International www.astm.org
SIKES ON A LOG PISTON AND SLIPPER ASSEMBLY 371

Ester based turbine oils meeting the requirements of Mil-L-23699 are used as the
lubricant.

Figure 1--Failed Piston and Slipper

Figure 2-Cross-section of piston and slipper assembly

Procedure

Pistons and slippers from units with accumulated operating time varying from 200

to 20 000 hours were examined. Components in various stages of wear were compared
with good performing pistons and slippers using microscopic examination up to 60x
magnification and scanning electron microscope (SEM) analysis. Light microscopy
techniques were used to examine components for protective oil films. Fourier
Transform Infrared Spectroscopy (FTIR), X-ray fluorescence spectroscopy, and SEM
energy dispersive X-ray techniques were used to analyze oil samples, debris collected
in system filters, and wear particles. When available, oil samples were analyzed for
total acid number (TAN), water content, chlorine concentration, viscosity, foaming, and
dissolved metals, using standard laboratory procedures. The filter media was ultrasonic
cleaned and the debris collected for analysis.

Observations

Initial examination of the pistons and slippers from failed units did not provide a
clear understanding of the failure mechanism due to the extent of secondary damage.
Expansion of the effort to include components from units exhibiting excessive or
premature slipper socket wear revealed that a complex wear process was occurring.
The wear process reduced the operational life of the components and led to failure of
some components. The various stages of the process and the wear mechanisms active
in those stages were defined. A description of the stages and the features observed on
the components in these stages is provided below.

Stage 1." Breakdown of the Lubrication Film and Metal-to-Metal Contact

Retention of the oil film is essential in minimizing wear at the piston/slipper

interface. The features observed in the sockets of slippers and on the heads of pistons
from poor performing units with as little as a few hundred hours suggested that rapid
degradation of the lubrication film was occurring. Breakdown of the lubrication film at
the piston/slipper interface allowed contact between surface asperities, resulting in
surface deformation in the slipper socket. Wearing of the slipper socket occurred in
isolated regions. This regime which had transitioned between full fluid lubrication and
initial wearing of the surface asperities is similar to the description of a mixed
lubrication regime Etal.

Stage 11."Polishing Wear

Contact between the piston and slipper produced features typical of polishing
wear. This mild form of wear involves fine-scale abrasion of micro-asperities under
light loads tI,2] The original surface finish on the piston head is gradually removed,
resulting in a shiny, polished appearance (Figures 3 and 4). As the amount of operating

time increased, this mild wear mechanism encompassed more of the slipper socket and
piston head. (Figure 5). Eventually the original surface finish of the pistons and

Figure 3-Polishing of the piston head

Figure 4-Initial stages of asperity contact in the slipper socket

slippers were eliminated, thereby losing the majority of their sites for oil retention,
increasing the probability of metal-to-metal contact under boundary lubrication
conditions. In contrast, components from good performing units with up to 20 000

Figure 5-Loss offinish in slipper socket due to wear

hours were in excellent condition with virtually no wear. When wear was occurring in
these units, the pistons and slippers exhibited only minor polishing wear. Typically this
wear was observed only after several thousand hours of operating time. SEM
examination of both poor and good performing slippers revealed that cavitation was
occurring in the sockets. Cavitation was observed in the poor performing sockets only
on the fiat plateaus formed by surface deformation of the original surface. Detailed
analysis of the cavitated features suggested that while cavitation was occurring, it was
not continuous during the life of the slippers.

Stage III: Chemical Wear (Pistons) and Surface Fatigue (Slippers)

Through examination of units with more operating time, it was evident that the loss
of the original surface finish and increased surface contact transitioned the wear process
from a mild to a more aggressive stage. As the degradation of the surfaces occurred,
the frictional forces at the interface increased. The high frictional forces resulted in
surface fatigue to the softer slipper socket. Surface fatigue is a form of wear occurring
in components that experience repetitive sliding and cyclical loading. Surface and
subsurface cracking created by the repetitive loading leads to loss of surface layers I11.
The slippers in this category exhibited very polished surfaces, with material smearing
into the counterbore at the bottom of the socket. Dark resinous deposits, varying from

gel-like sludge to brittle films, were present in significant quantities along the slipper
lands. SEM energy dispersive X-ray and FTIR analysis revealed these slipper deposits
were a combination ofoil degradation products, carboxylates, and wear debris. SEM
and microstructural analysis of the slippers revealed that regions of the socket exhibited
numerous sub-surface cracks. Linking of the cracks led to delamination of material,
inducing sheets of hardened wear debris into the system (Figure 6). Swirled abrasive
tracks in the slipper sockets indicated that the wear debris was trapped between

Figure 6- Smearing and delamination of slipper socket material

the piston head and socket, further degrading the surfaces. During this stage, the
appearance of the piston heads transitioned from shiny and polished to a matted texture
(Figure 7). High magnification examination of these areas revealed the surfaces
were etched and pitted (Figure 8). Etching delineated the more corrosion resistant
carbide particles in the material. Pitting and etching were confined to regions of the
piston head in contact with the slipper socket. Non-functional surfaces of the piston did
not exhibit similar features. Dark oil degradation and reaction products rich in
phosphorus, magnesium, and oxygen were present in the etched regions of the piston
heads and in regions of the slipper socket. Intermixed with the etched structure were
small, very polished "islands" of material that appeared raised relative to the etched
regions. As the wear process continued on the piston head, it was observed that surface
cracking and spalling of material occurred in these polished regions. The spalled
material created abrasive wear tracks (comet trails), leading away from their original
location (Figure 9). The features observed on the piston heads suggest that chemical
wear, a form of corrosive wear, was the active wear mechanism on these surfaces.
During this form of wear, it is believed that sliding wear and contact removes the self-
passivating layer on a region of the surface (piston head). Corrosive media at the
interface attacks the exposed areas, producing a pitted, etched structure [3,4].

Figure 7-Piston in stage III of wear process

Isolated regions that were protected exhibited surface cracking and spalling of material,
from apparent localized high contact stresses.

Figure 8-Etched and pitted regions of the piston head

Stage IV." Adhesive Wear

The wear process defined through the first three stages provided an understanding
of the conditions causing premature wear of the pistons and slippers. However, the

Figure 9- Polished and spalled region, intermixed with

etched structure on piston

components through the first stages were wearing at essentially the same rate and did
not appear to be close to failure. A crucial piece of information was lacking and was
needed to define the missing stage(s) that led to failure of the piston/slipper. Often in
wear analysis, vital information can be obtained from components in which the wear
process has just initiated or are on the verge of failure. As previously stated, when
catastrophic failure of the slipper socket occurred, many of the features were
obliterated. Continued examination of poor performing units eventually provided the
missing information. One set of pistons and slippers from a variable hydraulic log
returned from service operation revealed that one slipper was on the verge of failure.
Severe surface deformation of the socket had completely worn away the socket land.
Extrusion of material had eliminated the counterbore and nearly plugged the lubrication
hole in the bottom of the socket. Swirled abrasive tracks were prevalent throughout the
socket (Figure 10). Cross-sectioning and microscopic examination showed the slipper
had been worn to a knife edge condition at the bottom of the socket. The mating piston
head exhibited the dull, matted appearance commonly observed on other worn pistons.
However, several regions of the piston head contained material deposits, confirmed by
energy dispersive X-ray analysis to be transferred slipper material (Figure I 1). The
piston/slipper assembly had clearly transitioned to a very aggressive wear mode,
increasing the wear rate of the slipper socket. Once the slipper material transferred to

the piston head, rapid degradation of the slipper socket would occur. With the
identification of this last stage, a summary (Table 1) of the various stages of wear, the
classical wear mechanism active in each stage, and the supporting analysis of the
pistons and slippers.

Figure lO-Severely worn slipper socket

Figure 11-Slipper material transferred to the piston head

Downloaded/printed by
Wear Stage Classical Description Features Observed on Features Observed in Slipper Figure Reference
Pistons Socket

Breakdown of
lubrication film, mixed Slight polishing Surface deformation of
lubrication.regime asperities, smearing of material 4

Loss of original Continued surface nl

II Polishing wear
finish,shiny appearance deformation, loss of original o
z
finish, abrasive wear 3 and5

Copyright by ASTM Int'l (all rights reserved); Fri Aug 31 00:20:19 EDT 2018
Matted'texture, pitting and S
etching, delineation of
"u
carbide, localized Smearing/extrusion of
Boundary lubrication, polishing, surface
1II chemical wear, surface material, sub-surface cracking, o
cracking, spalling, z
fatigue delamination of material,
abrasive features, oil z
sludge buildup in socket land
reaction/degradation

YanShan University (YanShan University) pursuant to License Agreement. No further reproductions authorized.
r-
>roducts in etched regions 6-9 "o
m

q~
Severe surface deformation,
Deposits of slipper m
IV Adhesive wear excessive thinning of socket, g
material smearing of material into the
counterbore and lube hole,
abrasive wear 10
C,O
",4
CO
380 HYDRAULICFAILURE ANALYSIS

Oil and Filter Analysis

When available, oil samples and filters from the IDGs were analyzed using standard
laboratory techniques. Properties that were measured included total acid number (TAN),
water content, chlorine concentration, viscosity, foaming, and dissolved metals. While
bulk oil analysis of a few samples indicated that hydrolytic and oxidative degradation had
occurred, a direct correlation between poor oil condition and poor component wear
performance could not be made. The results suggest that the localized oil degradation at
the slipper socket interface was not measurable in bulk oil analysis. The filters contained
metallic wear debris and degradation products.

Discussion

Since the key factor in the wear process was rapid degradation of the lubrication film, the
factors affecting film degradation were studied. A multi-discipline team conducted a
fault tree type analysis. A detailed investigation was conducted of all the possible factors
that might affect oil degradation including (but not limited to) flight conditions, airline
maintenance practices, oil cleanliness, aircraft and IDG system effects, specific oil
tendencies, external contamination, manufacturing practices, and assembly practices. In
cases where possible, IDG or rig testing was conducted to prove or disprove these
theories. While detailed discussion of these factors is beyond the scope of this report, the
factors that were identified as being most likely to contribute to lubricant film
degradation in this application were:

1. Elevated aeration/cavitation
2. Elevated temperature
3. Slipper socket conformity

With the identification of these factors, appropriate changes could be made from the
design level to the manufacturing levels to optimize the retention of the lubrication film
in the slipper socket. With the incorporation of these changes, IDG field reliability has
improved.

Conclusions

1. A detailed study was made of the wear process leading to slipper socket failure in
the variable hydraulic log of an IDG. It was determined that a complex wear
process consisting of several stages and classic wear mechanisms was occurring,
due primarily to the rapid deterioration of the lubrication film.

2. In the wear process, one piston/slipper transitioned to an aggressive wear mode,

resulting in the piston breaking through the slipper socket. Aggressive wear was
due to transfer of slipper material to regions of the piston head. The transferred
material resulted in rapid wear and eventual failure of the mating component.
. Bulk oil analysis did not show a direct correlation of poor oil condition with poor
performing components. The lack of correlation could be due to a limited number
ofoil samples and degradation of the oil on a localized level at the slipper socket
interface.
4. The factors identified as being most likely to contribute to rapid oil degradation
were elevated aeration/cavitation, elevated temperature, and slipper socket
conformity.

References

[1] Rabinowicz, E., Friction and Wear of Materials, John Wiley & Sons, 1965.
[2] ASM Handbook, Volume 18, Friction Lubrication and Wear Technology,
ASM Intemational, 1992.
[3] Brown, R. D., Burhhard, H. C., Jr., "Analysis of Wear Specimens," Technical Report
RS-636, Southwest Research Institute, San Antonio, TX, 1976.
[4] Jones, W. R., "Boundary Lubrication Revisited," NASA TM-82858, 1982.
[5] Fowles, P. E., "An Analysis of Possible Motion Patterns and Corresponding Wear
Rates of the Piston/Slipper Assembly in the Sundstrand Constant Speed Drive,"
Interoffice Correspondence, Mobil Research and Development Corporation, 1971.
[6] Needleman, W. M., "Summary of Southwest Research Institute Programs on
Lubricant Breakdown," Publication No. APM-141, Aircraft Porous Media, Inc.,
FL.
[7] All, A., Duda, J. L., Klaus, E. E., Lockwood, F., Tewksbury, E. J., "The Chemical
Degradation of Ester Lubricants," ASLE Transactions, Volume 22, 1978,
pp. 267-276.
[8]Mobil Aviation Products, URL: http://www.mobil.com/business/aviation/products,
Mobil Oil Corporation Technical Publications, 1995.
[9] Engel, Klingele, An Atlas of Metal Damage, Prentice-Hall, Inc., 1981.
[10]Glaeser, W. A., Materials for Tribology, Elsevier, 1992.

Development of Pseudoelastic TiNi Tribo Materials

Reference: Li, D. Y., "Development of Pseudoelastie TiNi Tribo Matermls,

Hydraulic Failure Analysis: Fluids, Components, and System Effects, ASTM STP 1339,
G. E. Totten, D. K. Wills, and D. Feldmann, Eds., American Society for Testing and
Materials, West Conshohocken, PA, 2001.

Abstract: It has recently been demonstrated that TiNi shape memory alloy exhibits high
resistance to wear and could be a superior tribo material. Excellent wear performance of
this alloy benefits by its pseudoelasticity, resulting from a reversible martensitic
transformation. Extensive research was conducted to investigate wear behavior of TiNi
alloy during various wear processes, including sliding wear, erosion and corrosive wear.
Friction of this alloy was also investigated with the emphasis on pseudoelastic effects on
friction. The research manifests that this novel wear-resistant alloy is multi-functional
and can be an excellent candidate for various tribological applications. Attempts have
also been made to develop tribo composites using TiNi alloy as the matrix, reinforced by
TiC, TiN and nano-TiN particles, respectively. The TiNi-matrix composites possess
considerably improved wear resistance. This paper presents a brief review of our studies
on the development of novel TiNi-based tribo materials.

Keywords: wear, corrosion, pseudoelasticity, TiNi alloy, TiNi-matrix composites

1. Introduction

Near equiatomic TiNi is a well-known shape memory alloy having special

deformation behaviour caused by a reversible martensitic phase transformation [1-5]. In
addition to its shape memory effect and vibration-damping capability, TiNi alloy has been
found to exhibit high resistance to wear [6-19] and successfully used as a high-performance
tribo-alloy in chemical plants and power stations [17, 8]. A number of researchers have
investigated the wear behavior of TiNi alloy in different wear conditions and compared it to
conventional engineering materials such as steels, Ni-based and Co-based tribo-alloys [8,
11-13, 15, 18, 19]. It is observed that TiNi alloy performs better than these conventional
wear-resistant materials, especially during erosion wear processes. In addition, TiNi alloy
also exhibits good resistance to corrosive wear [17, 32] and this makes TiNi alloy attractive
for application in corrosive environments.
The wear resistance of conventional tribo-materials strongly depends on their
mechanical properties such as hardness, toughness, and work-hardening [20, 21]. Hardness

Assistant professor, Department of Chemical and Materials Engineering, University of

Alberta, Edmonton, Alberta, Canada T6G 2G6
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LI ON PSEUDOELASTICTINI TRIBO MATERIALS 383

is of importance to the resistance to abrasive wear, while toughness and work-hardening

could be more responsible for the resistance to wear under impact or high stresses.
However, these mechanical properties do not appear to be the only factors responsible for
high wear resistance of TiNi alloy. It has been suggested that the high wear resistance of
TiNi alloy also benefits from its pseudoelasticity [6, 8, 9, 12, 14, 15, 30], which is caused by
a stress-induced reversible martensitic transformation as well as the rearrangement of
martensite variants under stress [22-29]. Shida and Sugimoto observed remarkable erosion
resistance of TiNi alloy during a water-jet erosion test [9]. They found that the erosion
resistance of TiNi alloy was strongly dependent on its chemical composition. The optimal
composition was in the range from Ti-55wt%Ni to Ti-56.5 wt%Ni, where the erosion rate
decreased sharply. Since in this composition range TiNi alloy behaves pseudo-elastically
due to the thermoelastic martensitc phase transformation, it appears that the high erosion
resistance is closely related to the pseudoelasticity. Liang et al. [15] observed that TiNi alloy
showed high resistance to wear under impact during a sand-lasting test. They noticed that
there was a strong correspondence between the wear resistance and the recoverable strain
resulting from the pseudoelasticity or pseudoplasticity. The larger the recoverable strain, the
higher was the resistance to wear. They observed that the specimens with pseudoelasticity
had higher wear resistance than those with little pseudoelasticity. This unique deformation
behaviour of TiNi alloy is of great benefit to its wear resistance, although this alloy has
intrinsically high wear resistance.
Extensive research was conducted on TiNi tribo alloy by the wear/surface group at
the University of Alberta. Beneficial effects of the pseudoelasticity on wear and friction
were investigated through wear, erosion a n d friction experiments as well as the finite
element analysis. Corrosion and corrosive er0sion of TiNi alloy were also investigated.
Recent efforts include the development of tribo composites by sintering process, using
pseudoelastic TiNi alloy as the matrix reinforced by hard particles. This article briefly
reviews recent progress in our studies on TiNi alloy and its composites.

2. Tribological behavior of TiNi alloy

2.1 Pseudoelasticity and sliding wear of TiNi alloy [19, 30, 35]

Pseudoelastic TiNi alloy behaves differently from conventional materials. Under a

tensile stress, a conventional material first experiences elastic deformation and then plastic
deformation, while the TiNi alloy shows two "plastic" deformation stages as Fig.1
illustrates. The first "plastic" stage (I) is caused by stress-induced martensitic transformation
while the second stage (1I) corresponds to real plastic deformation of the martensitic phase.
This martensitic transformation is thermoelastic and the corresponding strain is recoverable.
Such special deformation behavior was suggested to be of great benefit to the wear
resistance of this alloy.
To confirm the beneficial effect of pseudoelasticity on wear resistance, we evaluated
two groups of Ti-5 lat%Ni alloy specimens by tensile test. One group was in the as-received
state (cold-drawn) and the other was heat-treated (aged at 500~ for five minutes). The
heat-treated specimens had a recoverable strain of 4%, while the recoverable strain of the as-
received specimens was 3%, as Fig.2 illustrates. However, when the total strain was large,

12~176 (u) 1200

\ 1000 t
o. 800
600 t / /71 /~Jld" I /
-

,oo I[Z-/ AI II -%~ ~

0 ~/YJ' Jr,/ , Heat-treated,11NI,lloy ,
0 5 10 15 20
Slain r Strain s (%)

Figure 1 - Stress-strain curve o f a Figure 2 - Stress-strain curves o f Ti-51at%Ni

Ti-51at%Ni alloy. alloy at room temperature.

the degrees of pseudoelasticity of both the as-received and heat-treated TiNi specimens
became closer. As a matter of fact, the martensite transformation shows different responses
to tensile stress and compressive stress, respectively [5]. Since during wear processes the
contact stress involves tensile, compressive and shearing components, a nanoindentation
technique was employed to evaluate the pseudoelasticity of TiNi alloy. The indentation is
somewhat similar to the process of an asperity penetrating into a surface and resulting in
damage by plowing. The indentation testing procedure was described in detail elsewhere
[31]. The ratio (r/) of the recoverable deformation energy to the total deformation energy
during a loading and unloading cycle was measured, as a parameter to evaluate the
pseudoelasticity. The higher the r/ratio, the higher is the degree of pseudoelasticity. Under
an indentation load of 20 mN, the heat-treated TiNi alloy had its r/ratio equal to 47% while
the as-received TiNi alloy showed a lower r/ ratio of 36%, consistent with the tensile test
result. With an increase in the indentation load, however, their r/ ratios became closer, as
Fig. 3 illustrates. The indentation result is consistent with the tensile test.

80
607or/ He.at-treated Ti N i alloy

50 ~ i v e d TiNi alloy

20 Steel 304
~ A ~ A
,OoF. .
0 500 1000
Load(mN)

Figure 3 - Variations in tl ratio against the load.

Sliding wear of the TiNi specimens was evaluated and compared to that of 304
stainless steel. The wear test was performed on a pin-on-disc tester against a 304 steel disc
that was in contact with a coiled copper tube through which cooling water past to reduce the
temperature rise by frictional heating. The following results were obtained and are shown in
Fig. 4.

Steel 304 10 Steel 304

100

o
~ 0.1
0.1
Heat-treated TiNi alloy

0.01
001 f ..,,.r .,ed.,.,

0.05 0.1 0.15 0.05 0.1 0.15

Normal load (kN) Normal load (kN)

(a) (b)
Figure 4 - Wear losses versus the applied load: (a) dry sliding, and
(b) oil lubricated sliding.

a) Volume losses of TiNi alloy specimens were one order of magnitude lower than that of
304 steel under dry sliding condition. This difference increased as the normal load was
decreased.
b) No large difference was observed between the heat-treated and the as-received TiNi
specimens under high loads. However, the former showed significantly higher wear
resistance than the latter under low loads.
c) Similar phenomena were observed when the materials were worn during oil lubricated
sliding.

The above observed phenomena can be explained by considering the

pseudoelasticity of the alloy. The role of the pseudoelasticity is particularly effective under
low loads because less plastic deformation is involved. The pseudoelasticity may benefit the
wear resistance in the follow ways.

1) The low "yield" strength due to the pseudoelasticity makes the asperities on the surface
flexible, thus reducing the frictional force and in turn the probability of failure;
2) The deformation within the pseudoelastic range is recoverable and this robber-like
property diminishes the accumulated plastic deformation caused by the wearing force,
thus minimizing the surface damage;
3) The martensitic phase has a larger specific volume than that of the parent phase. The
resultant internal compressive stress may help to diminish wear, bearing in mind that
wear is mainly caused by tensile stress. The internal compressive stress could reduce
wear by compensating the tensile component of the wearing force.

Therefore, the larger the degree of the pseudoelasticity, the higher is the wear resistance. In
our experiment, the heat-treated TiNi alloy showed better pseudoelasticity than the as-

received TiNi alloy; this difference in pseudoelasticity made the former exhibited superior
resistance to wear (one order of magnitude higher at low loads) than the latter. This may
also be seen from worn surfaces of the TiNi specimens. Fig. 5 illustrates worn surfaces of
the as-received and the heat-treated TiNi specimens under the same wearing condition. One
may see deformation bands perpendicular to the sliding direction. The width of the
deformation bands of the heat-treated specimen is narrower than that of the as-received
specimen. The narrower width of the heat-treated specimen could be attributable to its better
pseudoelasticity that made the residual deformation bands narrower. The close correlation
between the pseudoelasticity and the wear resistance was also demonstrated using finite
element analysis [30].

Figure 5 - SEM micrographs of worn surfaces of(a) the as-received TiNi alloy and (b) the
heat-treated TiNi alloy, against stainless steel 304 under dry sliding condition.

Under high loads, however, the heat-treated and as-received TiNi alloy specimens
showed similar performance. This is because under high loads with larger deformation
involved, the difference in the degree of pseudoelasticity between the as-received and heat-
treated TiNi specimens became closer as the indentation test illustrates (see Fig. 3). This
may decrease the difference in wear resistance between these two differently treated TiNi
specimens. In addition, under high loads more frictional heat was released and this could
pull the TiNi alloy away from the temperature range in which the martensitic transformation
was easily induced by stress. In this case, both the heat-treated and as-received TiNi alloy
specimens responded to an applied stress similarly and thus their wear performances became
further closer.

2.2 Direct observation of the pseudoelastic effect on erosion of TiNi alloy [38]

The effect of pseudo,elasticity on the wear resistance of TiNi alloy may be seen
directly from an erosion test performed in a temperature range that covered the
martensitic phase transformation. The erosion test was performed on an air-jet erosion
tester with temperature control. SiC sand was used as the erodent. Fig. 6 illustrates the
weight loss of a Ti-51 at%Ni alloy with respect to temperature at three erodent velocities
that corresponded to different pressures of the air flow which carried silica sand. One
may see that there was a minimum wear loss around 3250K. The martensitic
transformation temperature, Ms, of this alloy was determined as Ms - 305 ~K using the

differential scanning calorimetry (DSC, see Fig. 7). The erosion test demonstrated that
the alloy had the highest erosion resistance at temperature about 20*K above the
martensitic transformation temperature Ms. Higher than this temperature, the martensitic
transformation would be difficult to be induced by the impact force. It was observed that
the temperature range in which the pseudoelasticity influenced the erosion loss was
relatively wide. For instance, under pressure of 80 Psi, the minimum erosion loss was at
about 330* K. It was estimated that the erosion loss increased by 1.7%, 12%, 34.5% and
63.5% when temperature was apart away from 330~ by AT = + 1 0 , + 2 0 , +30 and
+ 40 * K, respectively. Therefore, the pseudoelasticity may have a beneficial effect on the
erosion resistance in a relatively wide temperature range.

_~ ,o
\\~ . .S <

0
25O 300 350 400 450
Temperature, K

Figure 6 - Erosion loss temperature curves for Ti-51at%Ni alloy at

different carrier pressures (the impact angle = 30* ).

"4--
8

1
E 3

,,p

-7

-12
200 250 300 350, 400
Temperature, K

Figure 7 - DSC profile of fl ~ M transformation in the Ti-51at%Ni alloy.

2.3 Effects of pseudoelasticity on friction under lubrication condition [37]

Friction behavior of the TiNi alloy against 304 steel during oil-lubricated sliding was
evaluated. The friction coefficient was determined by measuring the ratio of the frictional
force to the applied normal load on a pin-on-disc tribometer. A strain sensor was used to
measure the lateral displacement of the pin specimen, and the friction force was calculated
using a cantilever approach. The friction coefficients of the as-received and the heat-treated
TiNi alloys were continuously measured over a sliding distance of 600 m under a normal
force equal to 0.05 kN, corresponding to a contact pressure of 1.8 MPa. Results of the test

As-received "riNi alloy

0.1
Heat-treated TiNi alloy

0.01

1.001
0 200 400 600
Sliding distance (m)

Figure 8 - Variation of the friction coefficients with the sliding distance

under oil-lubrication condition (normal load = 0.05 kN).

are presented in Fig. 8. It is shown that under the oil-lubrication condition, the friction
coefficients of the TiNi alloys and the 304 steel are relatively stable in the whole sliding
range (600 m); and the heat-treated TiNi alloy has a friction coefficient (about 0.01) close to
that of the stainless steel. The as-received TiNi alloy, however, has a considerably higher
friction coefficient, compared to the heat-treated TiNi alloy.
The determined friction coefficients of the heat-treated and as-received TiNi alloys
are consistent with their wear performance. As shown in Fig. 8, the heat-treated TiNi alloy
has a considerably lower friction coefficient than the as-received TiNi alloy. It is known that
the frictional force comes from two major sources: one is the adhesion force from the atomic
interaction between two surfaces in contact and the other from the force needed to deform
interacting asperities or to plough the surface by wear particles and asperities [20,36]. The
friction coefficient, /t, may therefore be approximately expressed as a sum of two
components: fl = ~'/a "[- ~'/d' where /La and /t d represent the contributions of the adhesion
and the deformation or plough, respectively. The adhesion contribution is mainly dependent
on the pair of materials in contact, especially on their chemical compositions that largely
determine the atomic interaction. It is expected that the pseudoelasticity may not strongly
influence the adhesion force (per unit area), since unlikely the pseudoelasticity can influence
the atomic interaction and thus considerably change the adhesion force. In addition, in the
oil-lubrication condition, the difference i n / t a between the as-received and heat-treated TiNi

specimens can be further decreased. As for /t d , the pseudoelasticity definitely affects its
value. As discussed earlier, the heat-treated TiNi alloy has a low "yield" strength with the
recoverable deformation resulting from its good pseudoelasticity. This property may make
this alloy possess lower /z d , compared to the as-received TiNi alloy that has inferior
pseudoelasticity. In the oil lubrication condition, /t could be dominated b y / t d . As a result,
the heat-treated TiNi alloy should exhibit low ]t d due to its superior pseudoelasticity, thus
showing significantly l o w e r / t value than the as-received TiNi alloy, as Fig. 6 illustrates.

2.4 Corrosion and corrosive erosion of TiNi alloy [32]

Another attractive property of TiNi alloy is its good corrosion resistance, better
than that of austenitic stainless steel. The good corrosion resistance in addition to its
excellent wear behavior may render TiNi alloy attractive for wear application in corrosive
environments. We measured steady corrosion rates of TiNi alloy respectively in dilute
NaC1 and H2SO4 solutions, in comparison with 304 stainless steel (see Fig. 9). The heat-
treated TiNi alloy performed similarly to the as-received TiNi alloy. Compared to 304
stainless steel, the TiNi alloy exhibited superior corrosion resistance. Electrochemical
polarization test was also performed using a saturated calomel electrode (SCE) as the
reference electrode with a platinum net counter electrode. The polarization test
demonstrated that the TiNi alloy and 304 stainless steel all showed evident passivation
characteristics (see Fig. 10). Although some electrochemical noise was detected during
polarization of the TiNi alloy in the dilute NaC1 solution, its polarization behavior is
generally better than that of 304 stainless steel in both the NaC1 and H2SO4 solutions as
Fig. 10 illustrates; this is consistent with the result of the corrosion rate measurement.

0A5

~ 0.40

m
Oin 3.5% NaCI
0.35
B in 0.1rnol/I H~SO4
Eo.3o
~o2s
.m020
.~0.15
~ 0.10

~ 0.05
0.00
304SS ~-received "RNi heat-treated 33Ni

Figure 9 - Corrosion rates of TiNi alloy and 304 stainless steel in 3.5% NaCl
and O.lmol/l H2S04 solution, respectively

Corrosive erosion of TiNi alloy was then evaluated and compared to that of 304
stainless steel. A slurry-pot erosion tester was used for the test [32]. Fig. 1 l(a) illustrates
volume losses of Ti-51at%Ni alloy and 304 stainless steel at room temperature in a slurry
containing 30% silica sand and 3.5% NaC1. The volume loss of the TiNi alloy increased
proportionally with an increase in the erosion time. The heat-treated TiNi samples were
slightly better than the as-received ones. The slope of the erosion~time curve of heat-treated
TiNi alloy is 9.2xlO-3mm31cm2.hr, while that of the as-received TiNi alloy is
1.12xl0-Emm 3 Icm 2 9hr. Under the same test condition, 304 stainless steel showed much

higher erosion loss. The situation was similar when the tests were performed in a slurry
containing 0.1 mo///H2SO4 and 30% sand. In this case, the TiNi alloys and 304 steel had
their volume losses linearly proportional to the erosion time as shown in Fig. 11 (b). The

2.00 /~as-reeevied TiNi

1.50
he a t- tr e ate d ~ f ~ _ _ . _ _ _ / / w . ~
1,00

,-:., ~" 30,ss

0.50
m
0.00

-0.50

-1.00
I.E-10 1 .E-07 1.E-04 I.E-01

log i, A / c m 2

~
0.50 as-received TiNi
heat-treated TiNi
0.30 304SS

0.10
-0.10
-0.30
-0.50
-0.70 i

1.E-11 1.E-09 1.E-07 1.E-05 1.E-03 1.E-01

log i, A/cm 2

Figure 10 - Polarization curves of Ti-51at%Ni alloy and 304 stainless steel in (a )

0.1mobq H2S04 solution, and (b) 3.5% NaCl solution, respectively.

heat-treated TiNi alloy has the lowest slope of 3.63xlO-2mm3/cm 2 .hr and the as-
received TiNi alloy has a slightly higher slope of 5.0xl0-2mm 3/cm 2 .hr, while the
stainless steel has the highest slope equal to 9.24x10-2mm 3/cm 2 .hr. The lower the
slope of the erosion ~ time curve, the longer is the service life of a material. Therefore,
the heat-treated TiNi alloy performed better than the as-received TiNi alloy, while the
stainless steel was considerably inferior to the TiNi alloy, no matter whether or not the
TiNi alloy was heat-treated. The synergistic attack by corrosion and wear is, however, a
complex process and is not well understood. Further studies are needed to understand the
corrosive erosion behavior of TiNi alloy in different slurries at different pH levels.

1.8o
1.60 m ~
~
1.40
1.2o
~ 3~
31/1
b

,//
3o4ss
>

.o l.oo ~
~ 250 /
2o3 m-mmxerl'l~q
r~
.~
0.80
0.60
/ t...
~L50 j
~ 0.40 r~
~ 0.20
0.00 i
r3 am
0 10 20 30 40 40
0 1o 20 30
"rm~e,hr
'nn~hr
Figure 11 - Corrosive erosion of TiNi alloy and 304 stainless steel in (a) a slurry containing
30% silica sand and 3.5% NaCl, and (b) a slurry containing 30% silica sand
and O.lmogl H2S04.

3. Development of TiNi tribo composites

3.1 Sintered TiNi-matrix composite [33]

Attempts have been made to develop new wear-resistant composites, employing

TiNi alloy as the matrix reinforced by hard particles such as TiC. It is expected that hard
TiC particles play the role in withstanding external load, while the pseudoelastic TiNi
matrix accommodates large deformation, absorbs impact energy and binds the reinforcing
particles. In addition, the TiNi alloy possesses good wear resistance, which may make it
an ideal matrix material for producing high-performance tribo composites. Superior wear
resistance can be anticipated from such type of composite materials.

Figure 12- SEM microstructure of a 60% TiC-TiNi specimen sintered at 1500~ for 6 hours.

Vacuum sintering was employed in this work to make the TiC/TiNi composite.
Fig.12 illustrates the microstructure of a 60%TiC/TiNi composite sample made by sintering

a mixture of TiC, Ti and Ni powders at 1500~ for 6 hours. The matrix of this composite
was alloyed (the nominal composition was Ti-51 at%Ni) after sintering, determined using X-
ray diffraction method. Wear loss of this composite was measured and compared to several
standard materials, including Ti-51at%Ni alloy, 304 stainless steel, and a WC/NiCrBSi
hardfacing overlay. The comparison with the TiNi alloy provides the information on the
efficiency of TiC particles in improving the wear resistance of TiNi alloy. It is also worth
comparing the TiC/TiNi composite to 304 steel and the WC/NiCrBSi hardfacing overlay,
since 304 stainless steel is a standard engineering material and WC/NiCrBSi overlay is a
hardfacing material widely used in the mining and oilsand industries [44]. Fig. 13 presents
the volume losses of the above materials at different load levels. Clearly, the TiC/TiNi
composite possesses significantly improved wear resistance, compared to the TiNi alloy.
The 60%TiC/TiNi composite showed its wear resistance more than one order of
magnitude higher than that of the as-received TiNi alloy over the entire loading range.
Compared to the heat-treated TiNi alloy, TiC/TiNi composite exhibited considerably higher
wear resistance under high loads. However, under lower loads the difference in wear
resistance between these two materials decreased as Fig. 13 illustrates. This could be due to
the superior pseudoelasticity of the heat-treated TiNi alloy, which made this alloy extremely
resistant to wear under lower loads. Nanoindentation tests showed that the r/ratio of the

..9.o 1 ~
E= l
,~ 0.1
0.01 ....
0.05 0.1 0.15
Load P (kN)

Figure 13 - Wear of 60% TiC/TiNi composite, TiNi alloy, 304 stainless steel
and WC/NiCrBSi overlay.

TiNi matrix of the TiC/TiNi composite was equal to 33%, close to that of the as-received
TiNi alloy (r/=36%) but away from that of the heat-treated TiNi alloy (r/---47%). Therefore,
if the pseudoelasticity of the TiNi matrix is improved, an enhanced wear resistance can be
expected. Compared to the highly wear-resistant WC/NiCrBSi hardfacing overlay,
TiC/TiNi composite showed superior wear-resistance under low loads, but under high
loads, the latter performed better. The superior wear resistance of the TiC/TiNi composite
under low loads could result from the pseudoelastic behavior of the TiNi matrix, which
however became less functional as the load was increased as discussed in section 2.1 of
this paper.
Fig. 14 illustrates worn surfaces of the 60%TiC/TiNi composite under a low load
and a higher load. One may see that under the higher load, many voids appear at the left-
hand side where is the central area of the specimen. This indicates that the specimen was
not well sintered. The voids are detrimental to the composite. However, on the other

Figure 14 - Worn surfaces of 60%TiC/TiNi specimen after dry-sliding wear (x200)

under (a) a low load of O.05 kN, and (b) a higher load of 0.167 kN

hand, this work has shown that even such a void-containing specimen has already had
fairly good wear resistance, implying that this composite is very promising and markedly
higher wear resistance could be expected if the voids can be eliminated. Efforts have
being made to improve the wear resistance of TiNi-based composite using hot isostatic
pressing process (HIP) and employing nano-hard particles.

3.2 Improvement in wear resistance of the TiNi-matrix composites by HIP process

[34]

Sintered TiC/TiNi and TiN/TiNi composites were treated using a HIP process,
during which the specimens were heated to 1300~ under a pressure of 30 ksi in Ar and kept
for 2 hours, followed by furnace cooling. The HIP treatment markedly diminished the
porosity. Before the HIP treatment, many pores were observed in a sintered TiC/TiNi
sample (see Fig. 15 (a)), while after HIP, much less pores were observed as Fig. t5(b)
illustrates. The density of the TiNi-matrix composites was markedly increased by HIP. For
instance, the density of sintered TiN/TiNi specimens was increased from 5.22x 103 kg/m 3 to
5.94x 103 kg/m 3.
Wear resistances of the TiNi-matrix composites before and after the HIP were
evaluated using a pin-on-disc wear tester. Fig. 16 illustrates results of the wear test. One
may see that the wear resistances of TiC/TiNi and TiN/TiNi composites were markedly
improved by the HIP treatment. For instance, the wear loss of TiC/TiNi under the highest
load was reduced by 30% ~ 40%. In Fig.16, one may notice that there are decreases in wear
loss between 0.14 kN and 0.17 kN for specimens without HIP. This drop in wear loss was
attributed to the self-sealing of pores or sealing by metal transfer from the stainless steel disc
under high wearing loads [39]. When HIP was used, the specimens were greatly densified
and in this case, no similar drop in the wear loss was observed.
The improved wear resistance may also be seen from the morphology of the worn
surfaces. Fig. 17 (a) and (b) illustrate worn surfaces of two TiN/TiNi specimens, one was
sintered and the other was sintered followed by HIP treatment.

F i g u r e 15 - Microstructure of TiC/TiNi (X780)." (a) before HIP (X780) and (b) after HIP.

o~t§ /
o451x ~~,.,~e /y~

QC5 01 015 02 02

Figure 16 - The wear behavior of TiC/TiNi and TiN/TiNi before and after HIP.

Figure 17 - Worn surfaces of TiN/TiNi composite (X350): (a) without HIP

and (b) with HIP (Load = O.05kN).

3.3 Improvement in the wear resistance of TiC/TiNi composite using nano-TiN

particles [40]

Recent work has shown that the wear resistance of TiNi alloy is largely
dependent on the balance between the pseudoelasticity and hardness [41]. It is thus
expected that the wear resistance of the TiNi-matrix composite could be further improved
if the TiNi matrix can be strengthened without loosing its pseudoelasticity. An attempt
was made to improve the sintered TiC/TiNi composite by modifying the TiNi matrix with
TiN nano-particles. TiN nano-particles (< 50 nm) were added to strengthen the TiNi
matrix without changing its composition that affected the martensitic transformation. The
added nano-TiN particles may also increase the lubricity during sample pressing before
sintering. It turned out that only a small amount of nano-TiN particles were beneficial to
the integral wear resistance of the composite. Fig. 18 illustrates the wear loss of
55%TiC/5%nano-TiN/TiNi composite, in comparison with those of 60%TiC/TiNi,
30%TiC/30%nano-TiN/TiNi and the WC/NiCrBSi hardfacing overlay. As shown, the
5%nano-TiN significantly improved the wear resistance of the composite especially

~leer~@~iO
1.2
j ,--ll-60*l,TiO
--&- ~i%ONOI~I

0.8
o, a6
~ a4
00.2

0
0.1 0.2 03 0.4

Figure 18 - Effect of nano-TiN powder on the wear loss of TiC~TiN composite.

under high loads, and rendered this composite have markedly higher wear resistance than
others. Fig. 19 illustrates worn surfaces of 60%TiC/TiNi and 55%TiC/5%nano-TiN/TiNi
composites after sliding under loads of 0.05kN and 0.3kN, respectively. The greater
benefit of the nano-TiN particles to the wear resistance under high loads is clearly shown
by the morphological observation of the worn surfaces.
A small amount of nano-TiNi particles are beneficial to the TiNi-matrix
composites by strengthening the matrix without loosing substantial pseudoelasticity. Fig.
20 illustrates load ~ depth curves of the matrixes of 60%TiC/TiNi, 55%TiC/5%nano-
TiN/TiNi and 30%TiC/30%nano-TiN/TiNi composites, obtained during indentation test.
The value of #7 is related to the pseudoelasticity and the maximum depth is a measure of
the hardness. One may see that 5%nano-TiN did not considerably reduce the r/ value but
markedly increased the hardness. Too much nano-powder is detrimental, although it may
significantly strengthen the TiNi matrix. This could be attributed to the loss of
pseudoelasticity as well as a decrease in the interfacial bonding strength when the
probability for a TiC particle to neighbor with nano-TiN particles is increased [42].

Figure 19 - Worn surfaces of TiNi-matrix composites. A) 60%TiC/TiNi under a low load,

B) 60%TiC/TiNi under a higher load, C) 5%nano-TiN/55%TiC/TiNi under
the low load, and D) 5 %nano-TiN/55 % TiC/TiNi under the higher load.
[Low load: O.05KN, High load: 0.3KN]

1200 ,
q=35~ q--.45~ q=47%
1000
/
" 004
~
600

3 400

200 = oo.x~3o~c
~ 5"~lar,o+55%TIC

0 _ ,- _ I

0 5O 1 O0 150 20O

Depth Q~)

Figure 20 - Load -depth curves of the matrixes of TiNi-matrix composites.

3.4 Wear Behavior of TiC/TiNi and TiC/nano-TiN/TiNi tribo composites in

Corrosive Environments [43]

As mentioned earlier, one of the attractive properties of TiNi alloy is its high
resistance to corrosion [17, 32], which makes this material suitable for wear application
in corrosive environments, e.g., those in chemical processing and mining industries.
However, it was unclear if the TiNi-matrix composite, which had considerably higher
wear resistance than TiNi alloy, still retained good resistance to corrosive wear in
different environments.

1.6 3.5 TiN/TIC/TiNi

9 WC/NICrtBSJ jL -.-D..-WC/NICrBSi
,.r "L' 1 JI. TiNi / ,#.3 JI. T,Ni

I.1, x/
0 0 ~

0 .......
0 005 0J 0.10 0. / 0 0.05 0 0.15 02
L o a d (KN) [ Load(KN)

(a) (b)

1,4 i .........
9 nano-TiWTiC/'riNi 9 nano-TiN/TiC/TiNi
~tl-- WCINiCrBSi / "--B'--,LWCINtCrBSiTiNi /
I & TiNi /
I ~EE "--X-'-TiCrII'INi / --~'-" TiC/TiNi

o~ Ol o15 o.2 005 O1 015 02

Load(KN) Load(KN)
(r (d)

Figure 21 - Wear losses of 60% TiC/TiNi, 5 5 % TiC/5 %nano- TiN/TiNi, Ti-51at%Ni alloy,
and WC/NiCrBSi hardfacing overlay vs the applied load: (a) dry sliding,
(b) sliding in a 2% H2S04 solution, (c) sliding in tap water, and (d) sliding
in a NaC120g/l solution.

Sliding wear test was performed in three media using a pin-on-disc tribometer,
including tap water, dilute NaC1 and H2SO 4 solutions. Results of the test are illustrated
in Fig. 21. In Fig. 21, wear losses caused by dry sliding are also presented for
comparison. It was demonstrated that although the reinforcing phases increased the
microstructural inhomogeneity, the resistance of the TiNi-matrix composites to corrosive
wear was still significantly higher than that of the TiNi alloy. As a matter of fact, the
reinforcing phases, TiC and nano-TiN particles, did not markedly influence the corrosion
resistance of the TiNi alloy. As shown by corrosion test (Fig. 22), the corrosion rates of
the TiNi-matrix composites were comparable to those of the TiNi alloy. Compared to the
WC/NiCrBSi overlay, the TiNi-matrix composites showed superior corrosion resistance.

12
[] H2S04 solution

A
10

8 ~ I [] NaCI solution

0
WC/NiCrBSi TiC/TiNi TiC/nano- TiNi
TiN/TiNi

Figure 22 - Corrosion rates of TiNi-matrix composites in different solutions, in

comparison with those of TiNi alloy and WC/NiCrBSi overlay.

4. Conclusions

This paper presents a brief review of recent studies at the University of Alberta on a
new type of tribo material, pseudoelastic TiNi alloy. The mechanism responsible for high
wear resistance of TiNi alloy was explored and the research has demonstrated the beneficial
effects of pseudoelasticity on wear resistance and friction behavior of this alloy. It has been
demonstrated that TiNi alloy also has high corrosion resistance and possesses high
resistance to corrosive wear. In particular, the development of TiNi-matrix composites
reinforced by hard particles is reported. This work has demonstrated that incorporating hard
particles can significantly enhance the wear resistance of TiNi alloy and there is a great
room for further improvement in its wear resistance through process optimization and
microstructural control.

Acknowledgement

The author is grateful for the fmancial supports from the Natural Science and
engineering Research Council of Canada (NSERC), and the Alberta Oil Sands
Technology and Research Authority (AOSTRA), and Alberta Science and Research
Authority (ASRA)

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[2] Wayman, C.M., Journal of Metals., Vol.6, 1980, P. 129.

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Technology, Vol.92, 1997, P. 178.
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[24] Otsuka, K., Sakamoto, H. and Shimizu, K., Acta MetaU., Vol. 27, 1979, P. 585.
[25] Brown, L.C., Met. Trans., 6A, 1975, P. 1124.
[26] Schroeder, T.A. and Wayman, C.M., Acta Metall., Vol. 26, 1978, P. 1745.
[27] Zhang Yi, Ji Zhiqiang, and Gao Gangqiang, in "Shape Memory Materials'94",
International Academic Publishers, Beijing, Chu Youyi and Tu Hailing, Ed., 1994,
P. 215.
[28] Wasilewski, R.J., Scripta Metall., Vol. 5, 1971, P. 127.
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[30] Liu, R. and Li, D.Y., Materials Science & Engineering, A277, 2000, P. 169.
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Vol. 41, 1999, P. 691.
[32] Zhang Tiancheng and Li, D.Y., Materials Science & Engineering A, 2000, in press.

[33] Ye, H., Liu, R., Li, D.Y. and Eadie, R., Scripta Materialia, Vol. 41, 1999, P. 1039.
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[40] Luo, Y. and Li, D.Y., submitted to J. of Materals Science, 2000.

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[44] "Wear Materials Guide for the Mining and Mineral Processing Industry", compiled
by Llewellyn, R., Leith, W. and Magel E., The Mining Association of British
Columbia, Vancouver, BC, Canada, 2000.

Research of Suitable Material Pairs for Applications Operating with High Water-
Based Fluids.

Reference: Oberem, R., and Murrenhot~ H., "Research of Suitable Material Pairs for
Applications Operating with High Water-Based Fluids," Hydraulic Failure Analysis:
Fluids, Components, andSystem Effects, ASTMSTP 1339, G. E. Totten, D. K. Wills, and
D. Feldmann, Eds., American Society for Testing and Materials, West Conshohocken, PA,
2001.

Abstract:
Using high water-based fluids in a hydraulic system requires the application of
other materials than in oil hydraulic facilities. High water-based fluids have a content of
water not under 80%. The rest is a HWBF concentrate. The content of water defines the
features of the liquid. Because of the low viscosity of a high water-based fluid, the loading
of the surfaces in water hydraulic systems is much higher than in a machine operating with
oil. The low viscosity produces smaller gaps in tfftmlogical contacts. It is possible that the
surfaces o f a tn13ological contact will not be separated. The problem of adhesive and
abrasive damage is increased. The selection of a suitable material pair for a tnl~ological
contact is especially important. To substitute a material in a pump or in a motor directly by
another material requires great efforts and may become very lengthy and expensive.
IFAS is concerned with the development of a hydrostatic transmission operating
with high water-based fluids. The goal of the project is to design and construct a constant
displacement motor and a pump with a variable displacement volume based upon the
swash plate principle for pressures up to 315 bar. In order to achieve the goal specially
coated material pairs and their surface finish have to be tested with the objective of
decreasing friction and wear. To reduce the expense of testing, the selection of materials is
conducted with a special model. Two ring-shaped test bodies are pressed against each
other by a hydraulic cylinder. One of the test bodies is rotated. Both test bodies are
flushed by a high water-based fluid. Under different loadings and with different velocities
of rotation the friction coefficient and the wear of different material combinations were
established. Conventional materials, plastics, PVD coatings, and ceramics were tested. To
verify the positive results obtained in the model, one of the materials which was classified
as suitable is tested in a swashplate unit.

Keywords: hydraulics, high water-based fluids, tn'bology, ceramics, coatings, plastics,

surfaces, wear, friction

Dipl.-Ing., IFAS, SteinbachstraBe 53, 52074 Aachen, Germany, [email protected]

2Professor, IFAS, SteinbachstraBe 53, 52074 Aachen, Germany, [email protected]
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OBEREM AND MURRENHOFF ON WATER-BASED FLUIDS 403

Introduction

Hydrostatic power transmission systems operate in some cases with high water~
based fluids. High water-based fluids (HWBF) are fire-resistant liquids. They are based
upon a water content not under 80%. The rest is a HWBF concentrate. In practice a
concentrate content of 1 to 5% is common. Because of their fire-resistant characteristics
high water-hased fluids are used in forge shops, in steel plants, in welding lines in
automobile assemblies [1] and in underground coal mines. Using high water-based fluids
reduces not only the fire hazard but decreases the cost of insurance polices too.
The group of high water-based fluids is divided into fluids of type E and type S [5].
The fluids of type E are oil-in-water emulsions. The oil can be mineral oil or synthetic
ester. The fluids of type S are aqueous solutions of polymers and organic salts. These
solutions are mineral oil flee. Hereby the hazard of environmental pollution in cases of an
external leakage can be reduced.
The tnlaological properties of the liquid are defined by the dominant water content.
The kinematic viscosity of a high water-hased fluid with a concentrate content of 3% is
0.7 mm2/s when the temperature of the fluid is 40~ [Figure 1]. For comparison, the
kinematic viscosity oftap water is shown in Figure 1 too with a value of 0.66 mm2/s.
1,5

viscosity-pressure coefficient: i
1,25
water: 5 9 10 .6 bar "1 I
E
E Lo
>

.! o,75
viscosity-pressure coeff'r
of other fluids:

! 0,5
mineral oil: 2 , 0 8 - 2,4" 10-3 bar"1

o25 HFC-fluids: 0,287 9 10-3 bar "1

o
20 30 40 50 60 70 80
[~I

Figure 1 Viscosities of water and high water-based fluids

While in pure water metallic parts will be damaged by corrosion, the protection of
a high 3vater-based fluid against corrosion is sufficient. Damages caused by corrosion can
be prevented by the concentrate content of the fluid.
Using high water-based fluids in hydrostatic engines means that some
disadvantages of the fluid have to be accepted. Because of the low viscosity as a function
of the temperature it is not easy to reduce the flow of high water-based fluids through
small gaps. In most engines of hydrostatic power transmission systems the pressure
chambers are sealed by small gaps. To achieve an acceptable volumetric efficiency grade
using HWBF is more problematic than using oil. In a theological contact the hydraulic

fluid will be under pressure, leading to an increase of the viscosity. A higher viscosity
results in a higher load capacity of the fluid. How the viscosity depends on the pressure, is
shown by the viscosity-pressure coefficient. The different hydraulic media have different
viscosity-pressure coefficients. The viscosity-pressure coefficient of pure water has a value
of 5*10 "6 bar "s [7]. Because of the dominant content of water in a high water-based fluid it
can be assumed that the viscosity-pressure coefficient of a high water-based fluid has
approximately the same value as pure water.
The viscosity-pressure coefficient of oil has a value between 2,08"10 -3 bar q to
2,4* 10.3 bar -1. The values of oil are about 450 times higher than the value of water. The
dependence o f the viscosity-pressure coefficient r and the viscosity r I is described by
equation I.

r/= rio. e '~'p (1)

The viscosity-pressure coefficient a is used in the exponent in this equation. A

viscosity-pressure coefficient ct, which is 450 times higher than the coefficient of water
produces a much higher viscosity.
While in oil hydraulic systems tribological contacts are very well lubricated and a
separation o f the surfaces in the tribological contacts is poss~le, in hydraulical systems,
which operate with high water-based fluids, the separation of the surfaces is doubtful.
Therefore the load of surfaces in triboiogical systems is higher in water hydraulics than in
oil hydraulics. The tests reported in this paper are concerned with the research o f material
pairs which can be used in water hydraulic systems. It describes, which material pairings
were tested, how the examination was done and which improvements were gained.
The tests are a part of a project [2], the title o f which may be translated as:
"Development of the basic rules to optimize fast running variable displacement pumps and
motors for operation with high water-based fluids." The goal of the project is the
development o f a hydrostatic transmission consisting o f a pump with a variable
displacement and a constant displacement motor. At the beginning o f the project the
motor was designed and tested. Parallel to this material pairs to use in high water-based
fluids were selected and their properties examined. An elig~le combination was integrated
into the motor to improve its performance.

Motor

The motor of the hydrostatic transmission will operate with high water-based fluids
with a HWBF concentration of 3%. The maximum operating pressure is 315 bar. The
speed range is to 1500 rev/min.
The layout o f the motor designed for high water-based fluids is based upon the
swashplate concept (Figure 2). The fixed displacement volume has a value of 27 cm3/rev.
That displacement volume results ~ o m a swashplate angle of 13.3 ~ and a piston diameter
of of 15.2 mm. The 9 pistons are arranged on a diameter of 70 mm.

M~,,: ~ , 16 kg ~///////,A~C~ ~."///////,f~

CuZn4OAl2 CuZn4OAI2

Figure 2 Motor with a fixed displacement for high ~ater-basedfluids

Some deta'ds were changed in comparison to machines of oil hydraulics. For

example the gap between the piston and the drum was m a n n e d with a value of
10 ~tm. This reduces the volumetric loss, but increases the friction between the piston and
the drum.
The biggest difference from an oil hydraulic machine is the bearing of the shaft. In
oil hydraulic machines the use o f ball bearings is common. Because of the low viscosity-
pressure coefficient the usage of ball bearings is not poss~le. A separation of the balls and
the sliding areas of the bearings will not occur. The surfaces of ball bearings will fail in
high water-based fluids in 2% of the lifetime reached in oil [7]. Even ffmodern materials
are used, the lifetime of ball bearings operating in oil media can not be achieved [7].
To reduce the load on the sliding surfaces of the bearings, the motor was
designed with journal bearings. Journal bearings can be divided into hydrodyrmmically and
hydrostatically working bearings. Hydrostatic bearings need a volumetric flow to generate
a bearing force. The volumetric flow would increase the volumetric loss of the motor.
Because of the low kinematic viscosity of high water-based fluids, it is not easy to achieve
a satisfactory volumetric efficiency grade. Hence, the volumetric loss of hydrostatic
bearings should be avoided and the motor provided with hydrodynamical bearings.
The hydrodynamical bearings of the shaft have a transition speed from the area of
mixed friction to the area of pure fluid friction about 20 000 rev/min. The reason is the
low viscosity of the fluid in function of the pressure. The fluid film is not able to bear the
load if the speed is lower than 20 000 rev/min. The motor shall operate with a maximum
speed of 1500 rev/min. The bearings will be driven at all times in the area ofmixed
friction. Therefore the materials of the shaft and the bearings are very important.
Figure 2 shows which materials were choosed for the first version of the motor.
The main material pairing is a brass alloy against nitrided steel. The brass alloy has the
signification CuZn40A12. The signification of the steel is 34 CrAINi 7. This material
pairing was approved in a former project [6]

After putting the motor into opperation, the engine was tested more than 580
hours under constant conditions. The speed of the motor was 1250 rev/min and the
pressure difference 75 bar. The tfibological systems after this test were differently weared.
The gap between the pistons an the drum showed no damages. The height of the gap
remained undamaged, like before the long-duration test.
The journal boxes of the shaft bearings showed extreme wear. On the edges to the
hydraulic part of the machine the sliding areas were eliptically deformed. The wear,
effecting a concentricity of the bearing bushes, had a value of 10 I~m in the front bush and
a value of 5 pm in the rear bush. The reason of that wear is the transverse force generated
by the angle of the swashplate in the joint between the slipper and the piston, which drives
the motor. That force effects a bowing of the shaft and the wear in the bearing bushes.
While the used materials of the contact piston/drum are suitable for the toad, the
material pairing of the shaft and the bearing is not optimal for that contact. Therefore, the
necessity is obviously, to find material pairings, which have a higher wear resistance when
high water-based fluids are used. Another reason for that task is to minimize the friction
forces to increase the hydraulic-mechanical efficiency grade.

Test bench for material tests

Testing different material pairings inside the motor takes great efforts. The parts of
a tn'bological system of the motor are comparatively complex. Producing complex parts
results a waste of time and money. To avoid this, a material test procedure was developed
at IFAS with which simplified test bodies can be used.
For this test procedure a test bench was constructed [4] (Figure 3). The kernel of
the test bench are two mounting plates. The lower plate can be set in rotation by a
hydraulic motor. The upper mounting plate will be pressed agah~t the lower one by a
hydraulic cylinder. On the plates two test bodies ~ 1 be mounted. The test bodies and the
mounting plates are assembled in a tank which will be filled with the high water-based
fluid.
When the upper test body will be pressed against the lower one and the lower
mounting plate will be set into rotation, a friction torque will be generated. That friction
torque can be measured by a rod loaded with a resulting torsional moment. The force
generated by the hydraulic cylinder can be measured too. The temperature of the fluid and
the speed of the lower mounting plate can be controlled.

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OBEREMANDMURRENHOFF
ONWATER-BASED
FLUIDS 407
hydrauliccylinder
forcesensor~ ~ = = = ~ i ~
fricti~176 ~ 1 ~p~ ~ upper
HWB_fluid I ~ m ~~~unting plate
testbodies
hydraulic
drive ~ Ix lower
mountingplate
maintenance~ ~7'/
circuit /%
Figure 3 Test bench for material tests

The two test bodies are ring-shaped (Figure 4). When the two rings are mounted in
the test bench, there is a contact area between the two rings with an interior diameter o f
80 mm and an exterior diameter o f 110 mm. The outer diameter o f the lower test ring is
larger and the inner diameter o f the upper one is smaller than the diameters o f the contact
area. Hence, both test rings have a reference area, which is not loaded in the tests. The
reference area is necessary to measure the wear after the tests.

uppertestbody lowertestbody

contactarea:
de=110mm di=80mm A=4176,77mm2
Figure 4 Test bodies

The surfaces o f t b e test rings were ground with an out-of-flatness o f 2-3 lam. The
surface o f the lower test ring is provided with 4 grooves. Each groove has a width o f
5 mm. The function o f the grooves is to provide the gap between the two test rings with
lubricating fluid. When using oil, the gap between the test bodies is high enough to
separate the surfaces o f t b e rings. Because o f the low viscosity as a function o f pressure a

high water-based fluid cannot separate the surfaces o f the test rings when using a high
water-based fluid. Hence the test rings are permanently operating in the mixed friction
regime.
I r a material combination is to be tested, the test rings will be produced o f the
materials o f this combination. For each material combination several test rings were
produced. With these test rings 3 different tests were executed.
First the adhesion test was run. The speed was controlled to a constant
100 rev/min. The contact pressure between the test bodies was steadily increased. This
produces an increasing fi'iction moment. I f the test bodies are be adhesively welded, the
friction torque rises to an extreme value stopping the test. The achieved maximum contact
pressure is one criterion for selecting material pairs. Another criterion is the friction
coefficient as a function o f the contact pressure. A flutter o f the friction coefficient
indicates heavy wear. A smooth curve indicates low wear.
The second test is the abrasion test. In this test the wear resistance is examined.
The surfaces o f the test bodies are loaded with a constant contact pressure over 10 hours,
the speed having a constant value o f 100 rev/min. ARer this test the wear o f the contact
area o f the surfaces o f both test bodies was measured.
The friction coefficient o f these test pieces as function o f the speed was
investigated. The contact pressure was held at a constant value and the speed was
constantly decreased from 800 rev/min to 0 rev/min.
The gained results o f all three tests were found to classify a material combination
as suitable. Not only the maximum contact pressure in the adhesion test, the wear in the
abrasion test and the static friction coefficient, but especially the smoothness o f the
measured curves were criteria to declare a material combination as suitable and rate its
range o f use.

Results of material tests

The material pair CuZn40AE / 34 CrAINi 7 nitrided is the main combination used
in the first version o f the motor. This material combination is the reference for all further
material tests. In the adhesion test this reference pair achieved a maximum contact
pressure o f 11 N/mm 2 (Figure 5).
The curve o f the friction coefficient is smooth, which indicates low wear. This
result will be confirmed by the abrasion test.

0,12 0,21

0,1 ~ - 0,18

0 , ~ ..... k ......... r.-- J ......... L . . . . . . I_ . . . . . . . .

0,15 iiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiiill
0.12
i 0,06 ......... 9 .... ~ ..... 9 ........ , . . . . . ~ ........
o,og
0,04 ...............................................
0,06

Ol ~ ..... L ........ t. . . . . d ......... L ........ ~ .......

0,03

0 0
2 10 12 0 200 400 600 800
contact pressure [N/rn~ ] speed [11min]

Figure 5 Adhesion test of the reference combination CuZnAI4OAI2/ 34 CrAINi 7 nitrided

After 10 hours with a contact pressure o f 1 N / m m 2 the lower, weaker test ring-
CuZnAI40AI2 - shows a wear o f about 1 ~tm. The peaks o f the surface o f the harder test
ring ofnitrided steel are only smoothed. The curve o f the friction coefficient as a function
o f the speed shows minor wear too. The static friction coefficient has a value o f about 0.2.
Because o f the low wear, this material combination was classified as suitable.

0,1 I; : : '~ : 0,14

0.12
o,ooI........
o,~ .......
~ !...... ..~.. !i........
..... i:........... ~ . . . . . . . , ........
0,I
o,o~ . . . . . . . . . E. . . . . . '
i 0,04 ........ ~ ...... ~. . . . . . ~ ....... ~ ...........
0,08

I 0,06
o,o3 ........... ~.......... i.......... i........... ~ . . . . . . . . . . 0,114

o,o2 ......... ~ ....... i....... ~ ........ " . . . . . . . . . . .

.............. L ............. J ............ ~ ..............

o,o1- ...... i ..........! ........i

o ! i ! ! 0
200 400 600 800
0 2,5 5 7,5 10 12,5
conta~ pressure (Nlmn~] speed [ m W m m l

Figure 6 materialpair CuZnAI4OAI2 / GGG40

Figure 6 shows an example o f a non-suitable material combination. The pair
CuZn40AL2 / G G G 4 0 was tested. In the adhesion test the friction coefficient shows
oscillating values as a function o f the contact pressure. The friction coefficient, as a
function o f the speed, is at a high level for the whole speed range. The tests s h o w high
wear, which can be confirmed in the abrasion test. After 10 hours the wear has a value o f
5 lam.
To find a material pair which shows less wear and lower friction coefficients,
several metallic material combinations were tested. St 52, Ck 45, 42 CrMo 4, 100 Cr 6
were tested against CuZn40AI2. These further metallic pairs gave no better results than
the reference pair. Furthermore three stainless steels were tested against the brass alloy.
These material combinations showed no improvement either.

In some water hydraulic applications plastic materials are used. To obtain a

comparison two PEEK(Poyetheretherketon)-materials, the basic PEEK material and a
carbon-fiber reinforced PEEK material, were examined against the nitrided steel
34 CralNi 7. The basic PEEK material obtaines acceptable results in the adhesion test and
in the abrasion test. In these two tests only the peaks of the surface roughness were
smoothed. In the adhesion test the friction coefficient has a constant value as a function o f
the contact pressure. The maximum achieved contact pressure is 5 N/mm 2. High wear is
found after measuring the friction moment as a function o f the speed (Figure 7). The
friction coefficient is high during the whole test and after the test a material loss o f 75 p.m
was measured. The basic PEEK material can only be used under low sliding velocity.
Otherwise the material bums out.

0,27 34 CrAJNi 7 nibided

t
O,24
-5 . -i-..-~ - 4 ........i-----i --

0,21

0,18 ............................ i ............. -1 .... L-.;-.....i ......... i-- i ..

i
i 0,15
24 20 16 12 8 4 0
c 0,12 i i i surfaces of ~ e test rings [mm]
.o
15 4 8 "12 16 20 24
0,09 .............. L ............ 9 .............. L ............. . . . . . 25
,,
':1i i ~, i o
0,06
1 --~-----~----;---i-----; ....... 25
0,03
.............. i ............. i .........................
; 1
0
2O0 4O0 6OO 80O

speed [revlmin] PEEK

Figure 7 Friction coefficient of PEEK against nitrided steel as a function of the speed

The carbon-fiber reinforced PEEK material obtained the same maximum value o f
contact pressure o f 5 N/mm 2 in the adhesion test as the basic PEEK material. But after the
test a trough-shaped wear o f 8 Bm was measured. In the test, showing the friction
coefficient as a function of the speed, a better result was gained than with the basic PEEK.
The friction coefficient is much lower and the material loss has a value o f only 6 pm
(Figure 8). If the test to find the friction coefficient as a function o f speed is repeated five
times, the friction coefficient drops from test to test. That may be a result o f the wear o f
the plastic ring. The worn area of the test ring can be filled with the high water-based fluid
which lubricates the contact between the two test rings.

0,18 34 CrAINi 7 nib'ided

-,8
-6
0,15
-4

0,12 0
2
0,09 24 20 16 12 8 4 0
surfaces of the test rings [rnm]
0 4 8 12 16 20 24
0,06
i ! i ]

0,03

0
0 200 400 600 800
iiiilliiiiillilli12127
iiiiiiiii?iii'_211211.I
.
speed [rev/min] Carbon-fiber reinforced PEEK

Figure 8 Carbon-fiber reinforced PEEK against nitrided steel

Because the material loss and the friction of the plastic-materials are higher than
the values of the reference pair, other material combinations had to be tested. PVD
(physical-vapour-deposition) coatings were successfully tested in oil hydraulic systems [3].
PVD coatings have a hard surface and because they are only some micrometers thin, they
do not change the shape of the coated body. After coating a part, it is not necessary to
rework that part.

Figure 9 Damaged TiCN coating after an abrasion test

The ceramic coatings WC/C, CrN, TiN, TiCN and TiA1N were tested. In many
tests, the coatings were damaged or totally destroyed. An example of a damaged coating
is shown in Figure 9. A TiCN coating was tested on 34 CrA1Ni 7 hardened against nitrided
steel in an abrasion test over 10 hours. In the left part o f the figure, a smoothed area of the
coating is shown. This area is damaged by some fissures. To the right of this area the
coating is destroyed. Some remaining particles and spherical identations are visible. This

wear can be explained by the fact that the surfaces o f the two test rings are not
hydrodynamically separated by the fluid. The surfaces are not perfectly flat. The coating is
unequally loaded if the peak o f one surface is sliding over the peak of the surface o f the
other ring. The coating will be shattered.
Testing TiAIN and TiN results in the same damages. Testing CrN on hardened
steel showed a wear resistance o f the coating, high enough for one 10-hour abrasion test.
In a second abrasion test the coating was damaged the same way as the TiN coming.
Coating an unhardend body with CrN gave a wear resistance that was not high enough for
the load. The coating was totally damaged in the first abrasion test.
Only the WC/C coating resisted the uneven load permanently. The WC/C coating
was tested on the nitrided steel in two variations: one on the unhardened and the other on
the hardened steel. With the coating on the unhardened steel a maximum contact pressure
o f 5 N/mm: was achieved. Coating the hardened steel allowed the maximum contact
pressure to increase to a value o f 9 N/mm 2.
A similiar result effects the higher hardness o f the coated body in the abrasion test.
The use of the unhardened steel as body for the coating makes the friction coefficient drop
during the test to a value o f 0.07. With the hardened body the friction coefficient drops to
a value o f 0.02 (Figure 10). After a 10-hour abrasion test the wear is hardly measurable.
The surfaces o f both test rings are only polished. The static friction coefficiem was
obtained with a value o f 0.12 (Figure 10).
0.12 0,14

0,1 0,12
0,1
0,~
i 0,06
0,06
0.06
0,04
0,04

0,~

0 0 0
4 6 8 10 200 400 ~ 800

Figure 10 WC/C coating in tests against nitrided steel

The hardness o f the coating and the coated body have a deciding influence on the
wear resistance o f the coating. The hardness of the tested coatings are given in Table 1.
The WC/C coating is the weakest. The CrN coating is the next harder one. All
other coatings are even harder. Regarding the hardness o f the coatings and considering the
test results, it is obvious that the difference between the hardness o f the fundamental test
body and the hardness o f the coating should be as small as possible. The hardness o f the
fundamental test body should be as high as poss~le.

Table 1 Hardness of the tested coatings

Coating Hardness[HV0,05]

WC/C 1000

CrN 1750

TiN 2300

TiCN 3000

TiAIN 3500

If the ceramic material is not a coating but a massive material, the problem o f the
shattered surface can be avoided. SSN and SSiC were tested against themselves and each
other, the nitrided steel 34 CrAiNi 7 and the brass alloy. While the ceramics against the
brass ahoy and SSN against the nitrided steel and ceramics against ceramics are no
suitable material pairs, SSiC against the nitrided steel showed excellent results. After the
abrasion test the wear was barely detectable. Even after increasing the contact pressure in
several tests to a value o f 5 N/mm2 the wear o f both surfaces was hardly measurable. The
friction coefficient during the test was lower than 0.01. The static friction coefficient has a
value o f 0.12 if the contact pressure has a value o f 1 N/mm 2.
The curve o f the friction coefficient o f the adhesion test achieves a maximum
pressure o f 6 N/mmz. The curve is not smoothed but shows two peaks. These peaks
indicate wear o f the ceramic test body. ARer the test it has found, that parts o f the test
ring were broken out. The reason is the brittleness o f the material and the geometry o f the
test ring. The material parts were broken out beside the sharp-edged grooves. The
material combination can be suitable, if the geometry is adapted to the brittlenss o f the
ceramics.

Surfaces

One way to increase the wear resistance and to decrease the friction coefficient o f
a mT~ological contact is to modify the surfaces. T I ~ method was tested with the ceramic
material SSN against SSN and the plastic material PEEK against the nitdded steel
34 CrA1Ni 7. Figure 11 shows the out-of-flatness o f the surface o f the ceramic test ring.
The profile is sine-shaped. While testing SSN against SSN with fiat test rings leads to a
total damage o f the test bodies, with the sine-shaped surfaces an abrasion test is poss$1e.
Figure 11 shows that the fi'iction coefficient drops to a low level and both surfaces are
hardly worn.
A second shape o f tested rings, which leads to less wear and a low friction
coefficient is shown in Figure 12. The areas o f the surface o f a test ring o f PEEK was

ramp-shaped ground. This test ring could be used with a speed up to 750 rev/min.Aftera
series o f tests the wear o f the PEEK ring had a valueof only2 pm.

0,04 ~N
m,
-5
-4
-3
0,03
=" -2

-1

1
24 20 16 12 8 4 0
0,02
SU~ 0 ( ' ~ test rin~ [mm]
0 4 8 12 16 20 24

0,01 .o g

0 2 4 6 8 10
time [h] SSN

Figure 11 Out-of-flatness of the ceramic test ring

The improvements concerning wear and friction can be explained by two reasons.
The non-flatness o f the surfaces produces an easier passage o f the fluid through the gap
between the test rings. The fluid can be stored in the cavities o f the non-flat surfaces.
Furthermore the gap in the contact area is convergent, which generates a hydrodynamic
load capacity.

0,1 34 CrAINi 7 nitrided

s.v, -6 . . . . .
q 9 , -s ........ .._..i-...~.... ~ ...--~ ........

0,08
-3 ........ 1 -.----i-.---;-.--...-;--.--.--- ........

r
.~ 0,06

,E
=
0,04
--:i
- ~. i~
............. 0
24 20
surfacesof gle nngs [mini
4 8
16

12
12

16
8

20 24 _
4 0

I n = 750 ulmin contact pressure: 1,0 N / mm l ..~....~:,...._.~ ........ 2

0,02 ........... i ........... i .......... i .......... ~ ..........
', , ', .4=
- " . . . . - "'S . . . . . ~'- "] . . . . . . . . . . "~ . . . . . 9. . . . . . "I" -'~ ..... ,
....~ 'i......... ~ -6

E t ~ 9 ~ J -12
0 2 4 6 8 10
PEEK
t i m e [h]

Figure 12 Test result of a ramp-shaped PEEK test body

Integration of ceramic bearings into the motor

The journal bushes of the shaft bearings in the designed and tested motor made of
CuZn40AL2 showed heavy wear after a long duration test. If the design conditions of the
motor are not to be changed, an improvement of the creep strength only can be realized if
another material pair with a higher wear resistance can be found. The material test showed
that SSiC against 34 CrAINi 7 nitrided achieves a high contact pressure over a long period
with minor wear. The bushes of the shaft bearings were made of SSiC. The material of the
shaft, 34 CrAINi 7 nitrided, was retained. With these bushes the efficiency grades of the
motor were ascertained. The hydraulic-mechanical efficiency grade against operating
pressure and velocity of rotation generates a smoother curve than with the bushes of the
brass alloy. This indicates minor wear. Furthermore, a long duration test was realized. The
test conditions were defined by a pressure difference of 75 bar and a speed of
1250 rev./min, like in the first long-duration test. After a test of 650 hours the wear of the
bushes was measured again. The measurement shows no appreciable wear.

Conclusion

The use of high water-based fluids in hydraulic systems, especially in

hydrostatically working pumps and motors, increases the load of surfaces of their
tfibological systems. The reason for the higher load is the low viscosity as a function of
temperature and pressure. The low viscosity also makes it difficult to achieve a sufficient
volumetric efficiency grade. Using the volumetric flow to reduce the load of the
tnl~ological systems will decrease the volumetric efficiency grade, which restricts this
solution. A solution can only be achieved by finding a material pair which is suitable for
the higher load. Testing different material pairs in a motor or a pump requires extensive
efforts and can be very lengthy and expensive. To avoid these efforts the test bench of the
WAS, developed for testing materials may be used.
Several material combinations were tested on this test bench in a special test
procedure. The main material pair of a motor designed for operating with high water-
based fluids was examined and choosen as a reference for the tests. An example of an
unsuitable material pair is given in this report. Several conventionel metal pairs had to be
classified as unsuitable. The tested plastic materials showed no improvements to the
reference pair. Plastic materials show heavy wear under high temperatures. Because the
fluid is not able to separate the surfaces of the test rings under the chosen low velocities of
rotation, the friction between the two test bodies raises the temperature to values which
produces heavy wear of the plastic materials. The severity of the wear is a function of the
plastic material too. Reinforcing carbon-fiber in the material improves the wear resistance
markedly. A plastic material showing minor wear, l~e that of the reference pair could not
be found. This would be a wide field for further examinations.
PVD coatings were tested for water applications. The WC/C coating could be
classified as suitable for applications with high water-based fluids. Other coatings had to
be classified as unsuitable, because the hardness of these coatings is to high. The effect is a
destructive shattering of the coatings in the tribolugical contact. Furthermore ceramic
materials were tested. Ceramics against ceramics results in heavy wear. Several ceramic
materials against metallic materials were unsuitable too. Only SSiC against nitrided steel

was found suitable. This combination showed such excellent results that this ceramic
material was used for the shat} bearings in the tested motor, where the material showed
excellent results too.
With the descnl~ed test procedure on the material test bench variations of the
surfaces were tested. Non-flatness produces a decrease of wear and friction. The out-of-
flatness of the surfaces should be so small that it is difficult to produce it. If it is possible
to obtain it of acceptable costs, this level of out-of-flatness might improve tribological
systems considerably. Here another method of solution is offered.

References

[1] Dittmer, H.-J., "A wie A.Klasse, Rastatt trod HFA-Hydraulik"

O+P Olhydraulik und Pneumatik, Nr. 10, 1997

[2] Jacobs, G., "Verschleiflverhalten hydraulischer Pumpen und

Ventile beim Betrieb mit feststoffverschmutztem O1"
Dissertation, RWTH Aachen, 1993

[3] Murrenhoff; H. and Oberem, R., ,,"Entwicklung der Grundlagen zur

Optimierung schnellaufender Verstellpumpen und Motoren
Rir HFA.-Fltissigkeiten"
Abschlul3bericht zum AiF-Vorhaben Nr. 10529
Aachen, 1999

[4l Nevoigt, A., "Re~kratt- und Verschleil3messungen an

Hydraulikzylindem mit beschichteten Kolbenstangen
und -fiihrungen"
O+P Olhydraulik und Pneumatik, Nr. 1, 1998

[5] Reichel, J., ,,"Druckflfassigkeiten ftir die Wasserhydraulik"

O+P Olhydraulik und Pneumatik, Nr. 4 1999

[6] Rinck, S., "Untersuchung und Optimierung schnellaufender

Axial- und Radialkolbenpumpen beim Betrieb mit
wasserbasischen Druckfl~issigkeiten"
Dissertation, RWTH Aachen, 1992

[7] Werries, H., "Korrosionsbest~indige Wiilzlager in wasserhaitigen

Hydraulikfl~ssigkeit en"
Dissertation, Hannover, 1995

Ceramic Parts for Hydrostatic Pumps and Motors

Reference: Feldmann, D. G., "Ceramic Parts for Hydrostatic Pumps and Motors",
Hydraulic Failure Analysis: Fluids, Components, and System Effects, ASTM STP 1339,
G. E. Totten, D. K. Wills, and D. Feldmann, Eds., American Society for Testing and
Materials, West Conshohocken, PA, 2001.

Abstract: This paper deals with the development of ceramic parts in hydrostatic machi-
nery as the result of a research project, whose purpose was to demonstrate the potential
improvement of ceramics. The properties of ceramics, how to use them in hydrostatic
machines, and the differences in the design approach compared to the design of metal
parts will be shown. The lack of material data for ceramics was resolved by developing a
test method and specimens that reproduced the load and stress conditions of the compo-
nent parts. Test results with respect to endurance life and change of machine efficiency
are also reported. An outlook for work in the future will be given at the end.

Keywords: ceramic parts, hydrostatic machinery, failure probability of ceramic parts,

tribology, layout of ceramic parts

Introduction

Hydrostatic transmission technology is at a high level of materity today and it is there-

fore very challenging to improve upon existing system and component performance. One
of the possibilities is to consider the use of "new" materials, such as ceramics.
Ceramic materials have two primary attributes: improved wear resistance and in-
creased load capacity. The "negative" aspect is that ceramic materials behave differently
under load compared to metals.
The purpose of this paper is to show the approach of a mechanical engineer using ex-
isting technology to design, "produce", and test, heavily loaded parts of hydrostatic
pumps and motors. The applicability of ceramics to hydrostatic machinery and the im-
provements which can be achieved will also be demonstrated. The parts under consid-

l Professor, Institute for Mechanical Engineering Design 1, Technical University of

Hamburg Harburg, Denickestrage 17, D-21073 Hamburg, Germany.
Copyright by ASTM Int'l (all rights reserved); Fri Aug 31 00:20:19 EDT 2018
Downloaded/printed by
417
YanShan University (YanShan University) pursuant to License Agreement. No further reproductions authorized.
Copyright* 2001 by ASTM lntcrnational www.astm.org
418 HYDRAULICFAILURE ANALYSIS

eration are the bearing plate and the valve plate of a swashplate type pump or motor,
originally a bimetal plate (bearing plate) and a steel plate working together, see Fig. 1.

Figure 1 - Axial piston swashplate type hydrostatic motor

Use of ceramic to reduce wear and failure probability in a hydrostatic machine

The properties of ceramic materials can be used in different ways for hydrostatic ma-
chinery, as shown in Fig. 2. This paper focuses on wear and failure.
The load capacity of sliding and rolling surfaces is an important design parameter,
especially in tribocontacts, where operating conditions do not always produce a perfect
separation of surfaces through a hydrodynamic film. Such situations can be found typi-
cally in hydromotors starting from zero speed under load, or in pumps when high rota-
tional speeds are combined with high pressure, especially under transient conditions. The
limited load capability of conventional bronze or brass materials which are used in many

tribosystems, sets a load limitation; if this could be overcome, the power of the machine
could be increased significantly, allowing higher speeds and pressures.

properties potential advantages

,,,7~ ~e~cOmponent stressl

i,owcomponentmass1--'{ good dynamic behaviour

.............. I
Ireduced energy consumption 1
+
lhigh effi n
4,
[highhardnessI~ ~ .......~.!durablegood |
wear resistance) tcomponent surfacel

extended,!el
good chemicalI , ....no ai~ck thiough ]
stab ty I hydraulic fluids J

= no contamination of [
no effect on environment I ~ ; hydraulic fluids with
through raw materials I ~ - ;heavy metal wear debris I
land components ]~ '
no' disposingproblems ]
" iwith production remainsj

main elements: [
A, S, C, 02, N21 ) iavailibility of raw materials I

Figure 2 - Properties and potential advantages of ceramic components

Wear on part surfaces in hydrostatic machines normally does not cause a catastrophic
breakdown, but has a significant impact on the volumetric and may be not as high on the
hydromechanical efficiency. To control wear, fluids with high antiwear potential are used
and the cleanliness of the fluid is controlled by intensive filtration. But experience tells us
that all efforts to control system cleanliness cannot prevent contamination importation
through repair, for instance. Such contamination usually causes severe damage, espe-
cially on soft surfaces, therefore, it would be a system improvement if soft surfaces could
be successfully replaced with hard surfaces.
A detailed list about of the properties of ceramics is given in Fig. 2, together with the
benefit of the material when used in hydrostatic machinery.

Handling of ceramic in the design process

Engineers who design hydrostatic machinery are familiar with metal material and a
part layout for infinite fatigue life. The shaft, the piston and the bearing plate, as well as
the valve plate, are dimensioned and designed so that no part will fall if the design load is
not exceeded.
Design engineers also know, that ball and roller bearings are calculated for "nominal"
life, which means that there is a certain "failure probability" for a minority of bearings.

Figure 3 - Failure probability of the component near specimen

Ceramic material parts behave similarly as ball or roller bearings, that is, their layout
is based on the calculation of "failure probability". A typical chart is shown in Fig. 3,
giving the relation between material stress and survival of specimen under static load.
But, in contrast to the common beating calculation the calculation of ceramic parts is
much more complicated and requires material data, which are not always available from
standard material tests.
Life calculation of ceramic parts is done for two load conditions: a sudden load in-
crease in short time with a sudden burst of the part and a continuous load increase in
small steps, where crack propagation can be observed. Material data generated in stan-
dard tests use test specimen of simple shape and one-dimensional stress distribution. The
material data from these tests are of limited use, because stress distribution normally is
complex and load is cyclic. This raises the question as to how to achieve adequate mate-
rial data for life calculations.
Fig. 4 shows one basic equation for life calculation. Without going into details, it be-
comes clear that compared to the calculation for a metal part, a much more detailed stress
distribution across the part volume is required as input (the reason is that stress has an

exponential influence on life expectance). The probability of surface defects and of vol-
ume defects has to be reflected in the calculation, and different failure mechanisms have
to be taken into account.

Figure 4 -Basic equation for the life calculation of a ceramic part

Development of ceramic bearing plate and valve plate for a swashplate type axial
piston machine

Since the purpose of this project and the interest of the industrial partners was to de-
velop ceramic plates and test them in a real machine, a way had to be found to get to the
material data for life prediction by calculation, which reflected a complex stress distribu-
tion, cyclic loading and the fluid environment of the plates in operation. Fig. 5 shows the
approach: a component near specimen was designed, which can be loaded in the same
way as the original part (component) and shows the same stress distribution. The shape of
the part being simple, it can be pressed either as a solid plate with the hole machined in
green state or it can be pressed including the whole inside. Specimens of this kind can be
produced from different ceramic materials with reasonable cost in high quantities, which
are needed to get statistically sound material data from testing.
Fig. 6 shows the test principle with the specimen between two plane surfaces and the
pump, which delivers a flow to the hole inside the specimen. The pressure built up de-
pends on the magnitude of force F, which can be adjusted by different means.

Figure 5 - Prediction of component reliability and life

Fig. 7 shows the test rig with the carder for the samples and the hydraulic circuit to
pressurize the specimen and the cylinder, which generates the force F. The test rig was
used to investigate short time life and crack propagation; due to the high number of tests,
a nearly automated operation had to be installed. For tests with cyclic loading a different
testrig design based on the same principle was used.

Figure 6 - Test method for ceramic specimens

A typical result of specimen tests for different materials and different manufacturing pro-
cesses is shown in Fig. 3. A significant difference in the fracture characteristic can be
seen between test parts produced from well known materials such as aluminum oxide or
silicon nitride in an industrial process, and parts from reaction bonded aluminum oxide
produced in the university laboratory. The lower Weibull-modulus is mainly caused by
small deviations from ideal in the part production process and will be higher for an in-

dustrial process; interestingly, it is the strength of the material in relation to its price,
which is low due to aluminum base material.

thrustplate
cylinder
test specimen

Figure 7 - Test rig for ceramic specimens

Based on the material parameters determined by tests with specimen, life expectancy
was calculated for bearing plates and valve plates. The result for the bearing plate is
shown in Fig. 8, where the logarithm of the failure probability is plotted versus the con-
stant operating pressure with time as parameter for two materials. It can be seen that
plates in the original design with kidneys do not reach sufficient survival rates at higher
operating pressures, even if the plate is made from Silicon nitride, which is an expensive
material. The knowledge about the high influence of stress level on life expectancy con-
sequently lead to thoughts about shape modifications to reduce the stress level in the
plate. The solution was to replace the kidney by two holes (Fig. 9). The plate with holes
is interchangeable with the original plate, but has a slightly higher pressure drop, which
leads to a small reduction of the hydromechanical efficiency. Its calculated life expec-
tance is, as can be seen in Fig. 8, is significantly higher than that of the plate with original
geometry. This demonstrates how sensitive ceramic material is to stress.

Figure 8 - Short time failure probability of ceramic bearing plates

Plates made from Silicon nitride were run successfully in a standard 70 cm 3 unit with
continuous operating pressure of 420 bar, 1800 rpm, and 90 kW in pumping mode for
900 respectively 700 hours. Other plates of the same material failed after a short time of
running. Because of the limited number of plates, it is too early for production release.

Figure 9 - Ceramic bearing plate in original shape (left) and after modification (right)

Figure 10 - Change of efficiency of a hydrostatic motor due to change of bearing plate

and valve plate material from metal to ceramic

To answer the question, how the change from metal plates to ceramic plates influences
the machine performance, efficiency measurements were done. Fig. 10 shows one of the
results: the change of total efficiency of the machine running at 7 ~ swashplate angle (30%
of nominal displacement) in motor mode. It can be seen that the material change has a
positive impact on efficiency; reasons can be lower friction due to lower roughness of the
plates and lower leakage due to improved flatness. It is important to mention, that both
will last for long time of operation, due to the hardness of the surfaces.

Conclusion

The purpose of this paper was to convince design engineers, especially those from
fluid power firms that ceramic as a modern material could be worthwhile to be consid-
ered for parts of hydrostatic machinery, as their surfaces are more resistant to wear by
abrasion, erosion, or cavitation. If load bearing capability is required, and yellow metal
should be avoided or would be overloaded, ceramics is an option. A valve plate/bearing
plate configuration for axial piston swashplate type unit was selected and demonstrated
that even parts with high loads and resulting high stresses can be made from ceramic
material and successfully run in a machine under realistic operating condiditions. The test
results are promising, but a lot of work still has to be done by the manufacturer before
production release.
This paper also presented a method for designers to overcome the lack of material data
by testing specimen, which are easily produced to reproduce the load and stress condi-
tions of the component part.

Ceramics is an interesting and promising material for design engineers to begin taking
advantage of.

References

[1] Sch6pke, M., "Gestaltung, Berechnung und Erprobung hochbeanspruchter Keramik-

bauteile - Lagerplatte und Umsteuerplatte ffir eine Axialkolbenmaschine",
VDI Fortschritt-Berichte, Reihe 1, Nr. 308, VDI-Vedag, DUsseldorf 1999.

[2] ROger, M., "Aufbereitung und Verarbeitung yon RBAO-Precursormischungen zur

Herstellung hochfester Bauteile", VDI Fortschritt-Berichte, Reihe 5, Nr. 524, VDI-
Verlag, DUsseldorf, 1998.

[3] Feldmann, D. G., Sch6pke, M., "Einsatz keramischer Werkstoffe in Axialkolben-

maschinen", Olhydraulik+Pneumatik 41 (1997) Nr.4, p. 242-250.

PVD-Coatings - Applications in Fluid Power Technology

Reference: van Bebber, D. and Murrenhoff, H., "PVD-CoatingsmApplications in Fluid

Power Technology," Hydraulic Failure Analysis: Fluids, Components, and System Effects,
ASTM STP 1339, G. E. Torten, D. K. Wills, and D. Feldmann, Eds., American Society for Test-
ing and Materials, West Conshohocken, PA, 2001.

Abstract: Hydraulic systems are used in many technical applications, for example, in
agricultural and forestry machines as well as in aeroplanes and ships. Hydrostatic pumps
and engines are essential components of hydraulic mechanisms. They transform
mechanical energy into hydraulic energy and vice versa. Hydrostatic machines and their
standard fluids based on mineral oils have developed to a high technical standard. In
order to withstand the operating loads, engineers have made considerable effort to find
the best combination of additives. The fluids in this case are not biologically harmless
and often toxic. Fluids that are environmentally friendly cannot include additives that are
toxic. Therefore, many environmentally friendly fluids have worse tribological qualities
than standard fluids. If these liquids were used, important tribological qualities of the
fluid must be found in the materials instead. This can be achieved by redesigned coatings.
Considerations of displacement units show the most stressed tribological systems. These
systems are: cylinder/valve plate, guide shoe/swash plate, plunger/cylinder bore and ball
joint/guide shoe. In order to gain basic information about the quality of the coatings,
experiments have to be performed using a tribometer. An experimental setup according to
Siebel/Kehl is used for this. As a result of the experiments, coatings such as TiAIN/A1203
or CrA1N, which can be used for milling and drilling applications, have worse results
than conventional materials such as bronze/steel. Improvements are achieved by adding
carbon; however, the resultsare highly dependent upon the application method. Coatings
that are graduated like HfCg ~how a low friction coefficient and wear rate. In addition to
the tribological qualities of th~ coatings, the durability as well as the scratch resistance
are important for the application. These considerations are especially important in the
case of thin PVD coating which are used in applications with insufficient hydrodynamic
lubrication.

Keywords: hydraulic, tribology, coating, wear, friction, lubrication, biodegradable fluids

1Dipl.-Ing.,IFAS, Steinbachstrage 53,52074Aachen, Germany, [email protected]

aachen.de
z Professor, IFAS, Steinbachstrage 53,52074Aachen, Germany, [email protected]
aachen.de
Copyright by ASTM Int'l (all rights reserved); Fri Aug 31 00:20:19 EDT 2018
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YanShan University (YanShan University) pursuant to License Agreement. No further reproductions authorized.
Copyright9 2001 by ASTM International www.astm.org
428 HYDRAULICFAILURE ANALYSIS

Introduction

Fluid power systems with their components, such as pumps, motors and valves are
vital elements of many modern engineering systems. Fields of applications cover
stationary systems such as injection molding machines and presses. Mobile applications
can be found in railroad- and motor vehicles, ships and aeroplanes [1,2]. For decades, the
fluids, applied in fluid power systems, are mainly based on mineral oil based hydraulic
fluids. Improvements have focused on the optimisation of the tribological behaviour of
mineral oil based fluids by an appropriate selection and mixture of additives.
In context with a growing environmental consciousness, significant efforts are spent in
order to substitute the toxic mineral oil based fluids by biologically fast degradable fluids.
Since many of the standard additives endanger the degradability or are toxic, fluids
without additives are desirable. The latter is a primary goal of a special research
association "Sonderforschungsbereich" SFB 442 "Enviromentally friendly tribologicat
systems by adequate materials and fluids exemplary shown on machine tools." In the
framework of this Sonderforschungsbereich highly oxidation stable ester fluids have been
developed with no or very limited quantities of additive.
Many of the tribological qualities of standard oils are provided by their additives.
Without these additives deterioration in terms of wear and friction in the concerned
tribological systems is inevitable. Since a deterioration of the tribological behavior is not
acceptable in most applications, it must be counteracted by adequate means. A way to
compensate the inadequacies of fluids with little or no additives is the transfer of
tribological qualities from the fluid to the materials applied in the tribological contact
(Figure 1). An example of this is the use of appropriate material compounds. PVD-
coatings (physical vapor deposition) [3] are thin films, which are applied to material
surfaces and which significantly influence the tribological properties of the concerned
part. Low coating temperatures (<450~ high repeatability as well as good surface
reproduction are favourable qualities of this process, which makes it well suited for the
above mentioned transfer of fluid properties to material properties.

Figure 1: SFB 442

Overview

For several years PVD coatings have been successfully applied to tools in the field of
cutting procedures with defined cutting edges. Since these coating systems have been
optimized for cutting procedures only, they are not well suited for an application in fluid
power components [4]. Compared with the standard material combination "steel versus
bronze" the PVD coatings show higher friction in a wide range of the mixed friction area
and an increase in wear. Major tribological contacts (Figure 2) suited for the use of
coatings in hydraulic displacement units are [5]:
9 ball joint / guide shoe (slipper)
9 swash plate / guide shoe (slipper)
9 cylinder / valve plate
9 plunger / cylinder bore
which are mainly stressed by two-body and three-body abrasion. However, at the swash
plate additional stress is placed on the tribological system by impulse forces and
cavitation. Here a clear distinction between the wear phenomena is, as in most
tribological systems, impossible.

Figure 2: Tribological contacts of an axial p&ton unit

For the previously mentioned tribological systems new types of PVD coatings are
necessary, which provide low wear of test piece and counterpart in combination with low
friction. For the evaluation of new coatings a simplified test is performed. By this test a
preselection of coatings with a minimum of time and cost efforts becomes possible. The
test is based on a model by Siebel/Kehl, which is shown schematically in Figure 3. In this
test, two ring-shaped test parts, which are aligned concentrically and overlap partially
(overlapping surface: A) are used. As the parts are pressed against each other by an
adjustable force F, the theoretical surface pressure can be calculated as p=F/A. In order to
rotate the two test parts relative to each other a torque must be applied, from which the
friction coefficient can be determined as:

12M
(1)

where
,u = coefficient of friction [/]
p = surface pressure [N/m 2]
d = diameter [m]
M = torsional moment [Nm]
An evaluation of the coating characteristics is based on the Stribeck curve derived from
the above mentioned tests in combination with the amount of wear and changes in the
coating surface which are determined by surface measurements. For a better
understanding, Figure 4 lists the processes involved.

Figure 4: Evaluation methods

Graduated carbon coatings

Fundamentals

Prior investigations have shown that TiA1N- or CrN-based coatings do not provide a
better performance than the standard material combination bronze/steel. Even
deterioration have been observed [6]. In contrast to this the behavior of tribological
systems could be significantly improved by the application of solid lubricant-based
coatings [4]. However, the process used for the insertion of solid lubricant (e.g. carbon)
has a considerable influence on the tribological characteristics of the coating.
In addiction to the utilisation of various solid lubricants, such as graphite, molybdenum
sulphide, lead oxide, stannic oxide, hexagonal boron nitride or PTFE the tribological
qualities of coatings can be influenced by variations of the coating structure. Besides a
simple variation of the coating thickness, graduated carbon as a solid lubricant can be
inserted into a coatings surface. The latter is obtained by a simultaneous application of
carbon and a metal-based coating component on the substrate (42CrMo4, harden and
temper, 475-500 HV) with a variation of the component composition during their
application. The coatings "HfCg" and "ZrCg" have no or a non-relevant amount of
carbon on the substrate level which continuously increases towards the coating surface
[9]. Coating characteristics such as coating hardness and elastic modulus vary widely,
depending on the carbon content. As a consequence of the graduation, the coatings offer
on the substrate level the same hardness as the metal component. In this case the metal
components are zirconium (Zr) and hafnium (HI). Consequently, the hardness increases
due to the occurrence of hard phases until the maximum of these phases is reached. After
this, the hardness decreases, since an increasing amount of carbon is inserted into the
coating. In Figure 5 the different coating structures over its thickness are seen. A
theoretical relationship between carbon content and hardness is also shown in Figure 5.

Figure 5: HfCg coating and theoretical relationship between carbon and hardness

By the coating structure and its resulting characteristics, three major goals are reached.
The outer, relatively soft layer of the coating allows a reduction in surface roughness. By
this means the tribological qualities of the coated parts are self-improving. This effect
increases the percentage contact area, which can be made visible by an analysis of the
part's surface. A closer examination of these effects will follow later on in this paper.
Due to the described changes in the test piece surfaces, the height of the hydrodynamic
surface film required for a complete separation of the tribologically stressed surfaces and,
therefore, also the operation range with high wear and friction are reduced. Additionally
there is a chance that carbon particles of the outer coating area are transferred to the
tribological counterpart, which leads to improved tribological behaviour of the
counterpart and thus also to a tribological improvement of the system in general.
Furthermore, the changes in coating properties (hardness, elastic modulus) over its
thickness allow an adaptation of the coating to a desired application. This adaptation
process is carried out by a minimal wear of the coating in the range of ~tm or nm. The
results achieved with the new coatings are described subsequently.

Investigations with constant loads

In a first step a general characterization of the selected coatings was attempted. Thus they
were investigated with a constant pressure load of p = 2,5 N/mm 2 and Vm= 0,2 m/s for a
time period of four hours. A comparison of the Stribeck-curve before and after the test
already shows significant changes of the tribological behaviour of the HfCg-material. The
diagram in figure 6 shows the friction coefficient versus the average sliding speed.
Compared to a combination of bronze and steel, also shown in Figure 6, these new
coating materials offer a 40% reduction in the static friction. An additional decrease in
the friction coefficients is possible by the use of CrA1N. Since these coating systems have
unsatisfactory characteristics in other respects, they are not part of the investigations [4].

Figure 6: Stribeck curve of HfCg, ZrCg and bronze~steel

Both coating systems, HfCg and ZrCg, show running in or changes in their properties,
which can be seen easily in a comparison of their characteristics before and after the 4
hour tests. General characteristic values as static friction and coefficient of perfect
lubrication stay unchanged. Major differences occur in the area of mixed friction. The
transitional speed of the area of mixed friction is shifted toward lower sliding speeds and
the friction level within the area of mixed friction is decreased. For the shown example of
HfCg, the transitional speed changes from n1=300 l/rain to 100 1/min. As the tribological
behaviour in a running in condition is of high relevance for practical application, most of
the subsequently described investigations focus on coatings that are already running-in.
Compared to other coating systems HfCg offers the advantage that it provides lower
friction coefficients over the total range of the mixed friction area than the reference of
steel and bronze. As a consequence, the power loss of tribological contacts, which are
operated in the area of mixed friction, can be reduced and the overall efficiency can be
increased. This is especially true for the tribological system plunger/cylinder bore, since a
loss of the supporting fluid film is unavoidable.
A major reason for the changes of the friction behaviour during the tests and for the
differences between the different coatings is the structure of the coating surfaces. For
clarification, Figure 7 and 8 show profile measurements of the HfCg surface and ZrCg,
before and after the tests. ZrCg shows only little change of the surface due to the load.
Only the percentage contact area increases from Tp0,5 = 45% to Tpo,5 = 60%, which can
be explained by a levelling of the highest roughness. Since shown values represent
averages of different measurements, deviations from shown values of several percent can
occur. The increase of percentage contact area is one reason for improvement of the
Stribeck curve of ZrCg. Influences of tribooxydation have not been investigated yet.

Figure 7: Surface structure of ZrCg

Figure 8: Surface structure of HfCg

A look on HfCg coating system gives a different impression. Besides an increase of the
percentage contact area also a significant decrease of the characteristic values of the
roughness occurs. These effects are especially strong in context with the coated test
piece. The percentage contact area Tpo,5 increases from 30% to 100% and the
characteristic value of the roughness Ra decreases from 0.16 to 0.06. Improvement in
surface quality can be regarded as a major reason for the reduction of friction coefficient.
Besides considered friction coefficients, which mainly influence efficiency of the
applied components, consideration of the wear is important to evaluate of tribological
systems. Generally, wear of test piece and counterpart are different. In a first step,
changes in the coated test piece, which have been caused by a four hour test, are
investigated. In this context HfCg coating has the highest amount of wear (Figure 9).
With a wear height of about 1,3 ~tm it is still low compared to the reference material
combination. In this case results can be interpreted more as a levelling of the roughness
than as a real abrasive wear. In contrast to this, ZrCg coating as well as the test piece
from the reference test (42Cr Mo4) show almost no wear phenomena. Only a levelling of
the maximum peeks of roughness can be observed. Since the aspects of changes in the
surface structure have been considered in the previous section already, they are only
referenced here.
Besides wear of the test piece, the counterpart is of similar importance. Especially in the
case of standard coatings, wear on the counterpart is very high [6] and often leads to a
failure of components in applications. The investigated carbon coatings achieve positive
results compared to the standard combination steel/bronze or also compared to the
mentioned CrN or TiAIN, especially concerning wear at the counterpart. Compared to the
reference material, which already shows strong adhesion wear with this load, only a
minimal wear of the counterpart of the graduated coating can be observed (Figure 10).
Since adhesion wear is usually intolerable in practice, the new coating systems are
already superior to the reference material (steel/bronze). The frequently decisive total

wear of test and counterpart is, due to extreme wear of bronze considerably higher than
the one of the investigated carbon coatings.

Figure 9: Abrasive wear of the coated test piece

Figure 10: Abrasive wear of the counterpart

In general, it is difficult to find all causes for changes in tribological behavior, since it is
determined by a high variety of different causes, which are not only difficult to measure
but which also influence each other. In this context the term tribological mutation [7] was
introduced. Although not all causes for the tribological behavior of investigated coatings
have been determined, it is already obvious that improvements in surface condition have
a crucial influence on friction and wear. Especially in the case of new HfCg coating the
influence on friction level is clearly visible. The respective surface plots and scanning
electron microscope photos are shown in Figure 11. On the ground sample, the tool

marks from machining are clearly visible. Due to the coating with HfCg some
irregularities are levelled out. Such an improvement can not been ensured for every PVD-
coating [6]. In many cases even deterioration can be observed. The tool marks caused by
the grinding process are still visible after coating. Only after load tests significant
changes in the surface structure can be seen. After load is applied, an extremely even and
regular surface structure occurs. Tool marks are completely levelled out in this phase.
Wear of different investigated coatings is shown in Figure 12. In this direct comparison,
advantages of the carbon coatings compared to the standard materials bronze and CrN are
visible. Exclusive insertion of carbon into coatings alone provides no guarantee for an
improved tribological behavior. Early investigations showed that the insertion process
has a crucial influence on coating characteristics [4, 6].

Figure 11: Variation of the surface structure of HfCg

Figure 12: Abrasive wear of different materials

Increase of test duration

Based on the finding that the investigated coating systems improve their tribological
properties during loading, the question arises whether this self-adjusting mechanism
comes to an end after a limited time. If this is not true, the functionality of the tribological
system would break down after the coating is completely worn out. In order to avoid this
effect, graduated coatings are designed in a way that ensures a steady increase of the
hardness and therefore also of the wear resistance over the coating thickness. In order to
prove that the applied coating systems fulfil the demands, the duration of the tests was
increased and characteristic wear and friction coefficients were determined in defined
time periods. These are the current amount of wear as well as the change of the
percentage contact area tp0,5 and tpo,2s. In Figure 13 results are shown for a test duration
of 120 hours. A striking aspect is the high rate of wear during the first hour which
continuously decreases and comes to an end after about 48 hours. Thus, a limitation in
terms of endurance is of no concern. Similar results are represented in the percentage
contact area. After a test duration of four hours no more significant changes can be
detected. Only the percentage contact area tpo,25 of the test piece shows changes until a
test duration of t = 48 hours. Thus it can be stated that the whole tribological system has
adapted itself to the test load after a time period of 48 hours. Identical investigations on
ZrCg coatings, which are not presented here, show similar results. For those coatings,
also no continuous increase in wear could be observed for longer test duration.
In an analogy to wear characteristics, significant changes in friction behavior of
graduated coatings can only be observed during the first test hours. Between 0, 89and 2
hours test times coefficient of friction as well as transitional rotational speed are
decreasing distinctively. Subsequently (2 to 24 h), the decrease is relatively small
(Figure 14).

Figure 13: Abrasive wear and percentage contact area for a test duration of 120 hours

Figure 14: Stribeck curve for a test duration of 120 hours

Variation of the surface load

Investigations presented so far have been carried out with a fixed surface pressure. In real
components such constant loads occur very rarely. Thus research on the influence of
variable surface pressure is required. In a first step the influence of varying loads is
investigated. For this reason, the surface pressure is increased during the test period. The
HfCg test piece is now loaded with an increased surface pressure of p = 5 N/mm 2.
Figure 15 shows a spontaneous increase of the wear from about W1 = 9,5 p,m mm to
about W2 = 14 ~tm mm. Due to a damage in the HfCg coating this test could not be
carried out for a longer time period. Nevertheless an adaption process of the coating
system to the outer pressure load is visible.

Figure 15:Abrasive wear through increase of load

Outlook

The investigations performed so far have clearly proved the feasibility of the chosen
approach to achieve the desired goals in the Sonderforschungsbereich 442. Especially the
investigated graduated coatings offer extraordinary characteristics. By their properties a
reduction of the friction and wear in displacement units becomes possible. For the user of
coatings it should be pointed out that investigations carried out so far are not suited to be
summed up in an easy statement such as: "HfCg coatings are especially suited for friction
reduction." The successes gained so far can rather be interpreted as a hint towards the
high potential of theses coatings for the application in displacement units and other
technical systems. In subsequent steps it is necessary to enlarge the knowledge about the
composite materials in order to amplify the positive qualities and to combine them with
others. This requires further research with simplified test samples as well as with
industrial used components. On the other hand, various parameters which influence
coating properties should not be overlooked. In this context, aspects such as coating
material or process temperature during the coating process should be considered. The
required number of investigations necessary for an optimal application of coatings is
numerous. However, it has already become obvious that the chosen way is appropriate.
Already it is possible to produce coatings which offer superior characteristics compared
to standard materials.

Acknowledgment

The authors want to express their gratitude for the financial support by the Deutsche
Forschungsgesellschaft (DFG) in the research field SFB 442 "Umweltvertr~igliche
Tribosysteme durch geeignete Werkstoffverbunde am Beispiel der Werkzeugmaschine".

References

[1] Murrenhoff, H., and Wallentowitz, H., "Fluidtechnik fiir mobile Anwendungen,"
Mainz Verlag, Aachen, 1998.
[2] Lift, H., and Hansel, M., " Hydrauliksysteme in der Bau- und Kommunaltechnik,"
Vogel Verlag, Wiirzburg, 1991.
[3] Kunst, H., "Verschleil3hemmende Schichten," Expert Verlag, Ehningen bei
B6blingen, 1993.
[4] Bebber van, D., and Murrenhoff, H., "Erprobung von Oberfl/ichenbeschichtungen fiir
umweltvertr/iglich betriebene Verdr/ingereinheiten," Tribologie Fachtagung,
G6ttingen, 1998.
[5] Murrenhoff, H., "Grundlagen der Fluidtechnik, Teill: Hydraulik," Mainz Verlag,
Aachen, 1997.
[6] Bebber van, D., "PVD Beschichtung in Verdr~ingereinheiten," O+P Hydraulik und
Pneumatik, 1999.
[7] Gerv6, A., "Tribomutation - Eine Herausfordemng fiir die Tribologieforschung,"
IAVF Institut Fiir Angewandte VerschleiSforschung GmbH.
[8] Bebber van, D., "Planung und Konstruktion eines Tribometers und dessen Peripherie
zur Priifung verschiedener Werkstoff-, Beschichtungs- und
Schmiermittelkombinationen," IFAS RWTH Aachen, 1997.
[9] Lugscheider, E. and M611er, M., "Entwicklung angepal3ter PVD
Verschleil3schutzschichten fiir verschiedene Tfibosysteme," Tribologie-
Fachtagung 1999, G6ttingen, 1999.

I M P R O V I N G T R I B O L O G I C A L P E R F O R M A N C E O F M E C H A N I C A L C O M P O N E N T S BY L A S E R
SURFACE TEXTURING

R E F E R E N C E : Etsion, I., Halperin, G., and Ryk, G. " I m p r o v i n g T r i b o l o g i c a l

P e r f o r m a n c e of M e c h a n i c a l C o m p o n e n t s b y L a s e r S u r f a c e Texturing,"
Hydraulic Failure Analysis: Fluids, Components, and System Effects, A S T M
STP 1339, G. E. Totten, D. K. Wills, and D. Feldmann, Eds., A m e r i c a n
Society for T e s t i n g and Materials, West Conshohocken, PA, 2001.

A B S T R A C T : S i g n i f i c a n t i m p r o v e m e n t in load capacity, wear resistance,

f r i c t i o n c o e f f i c i e n t etc. of m e c h a n i c a l c o m p o n e n t s can be o b t a i n e d by
f o r m i n g r e g u l a r m i c r o - s u r f a c e s t r u c t u r e in the form of m i c r o - p o r e s on
their surfaces. A f e a s i b i l i t y s t u d y was p e r f o r m e d e x p e r i m e n t a l l y u s i n g
L a s e r S u r f a c e T e x t u r i n g (LST) t e c h n i q u e to p r o d u c e the m i c r o - p o r e s that
can serve e i t h e r as m i c r o - b e a r i n g s in cases of full l u b r i c a t i o n or as
m i c r o - r e s e r v o i r s for l u b r i c a n t in cases of s t a r v e d l u b r i c a t i o n
conditions. In all cases f r i c t i o n is reduced, w e a r r e s i s t a n c e is
i n c r e a s e d and life is prolonged.

KEYWORDS: tribological performance, surface texturing

INTRODUCTION

A p r o p e r h y d r o d y n a m i c l u b r i c a t i o n is a n e c e s s a r y c o n d i t i o n for safe
o p e r a t i o n of t r i b o l o g i c a l components. An i m p o r t a n t feature of the
l u b r i c a t i n g film is to p r o v i d e e n o u g h s t i f f n e s s to p r e v e n t c o n t a c t
b e t w e e n m a t i n g surfaces in r e l a t i v e s l i d i n g and thus to r e d u c e f r i c t i o n
and w e a r and to e l i m i n a t e p o s s i b l e f a i l u r e due to seizure.
S i g n i f i c a n t i m p r o v e m e n t in l o a d capacity, w e a r resistance, f r i c t i o n
c o e f f i c i e n t etc. of m e c h a n i c a l c o m p o n e n t s can be o b t a i n e d b y f o r m i n g
r e g u l a r m i c r o - s u r f a c e s t r u c t u r e in the form of m i c r o - p o r e s (see Fig. I)
on their surfaces. These m i c r o - p o r e s can serve e i t h e r as m i c r o - b e a r i n g s
in cases of full l u b r i c a t i o n or as m i c r o - r e s e r v o i r s for l u b r i c a n t in
cases of s t a r v e d l u b r i c a t i o n conditions. In b o t h cases f r i c t i o n is
reduced, w e a r r e s i s t a n c e is i n c r e a s e d and life is prolonged.

IProfessor, M e c h a n i c a l E n g i n e e r i n g Department, Technion, Haifa

32000, Israel
2Surface T e c h n o l o g i e s Ltd., N e s h e r 36601, Israel

Copyright by ASTM Int'l (all rights reserved); Fri Aug 31 00:20:19 EDT 2018
Downloaded/printed by 441
YanShan University (YanShan University) pursuant to License Agreement. No further reproductions authorized.

Copyright9 by ASTM International www.astm.org

442 HYDRAULIC FAILURE ANALYSIS

FIG. 1--Regular micro-surface structure in the form of m i c r o - p o r e s

Recently, a model for m e c h a n i c a l seals w i t h regular m i c r o - s u r f a c e

structure was p r e s e n t e d [i], s h o w i n g a substantial improvement in seal
p e r f o r m a n c e w h e n e v e n l y d i s t r i b u t e d h e m i s p h e r i c a l m i c r o - p o r e s are
present on one of the m a t i n g seal faces. The work p r e s e n t e d in [i] was
followed b y an experimental s t u d y [2] in w h i c h l a s e r - t e x t u r e d seal rings
were t e s t e d in oil showing that the spherical pore shape can be
o p t i m i z e d a n d that an o p t i m u m p o r e d e p t h exists that m a x i m i z e s the film
stiffness and the m a x i m u m PV factor.
B a s e d on the findings in Ref. [2] a thorough i n v e s t i g a t i o n was
p e r f o r m e d in [3] to study the v a r i o u s p a r a m e t e r s that affect the
p e r f o r m a n c e of l a s e r - t e x t u r e d seal faces. The model of Ref. [i] was
s u b s t a n t i a l l y improved to include more realistic b o u n d a r y conditions,
and to a l l o w the analysis of v a r i o u s pore shapes, other then
hemispherical. The theoretical i n v e s t i g a t i o n was c o m p l e m e n t e d b y test
rig e x p e r i m e n t s showing g o o d q u a n t i t a t i v e correlation b e t w e e n the
theoretical model and the test rig e x p e r i m e n t a l results.
M i c r o - s u r f a c e structures of o t h e r types were also s u g g e s t e d in the
l i t e r a t u r e e.g. various c o n t r o l l e d p o r o s i t y for mechanical seals [4, 5]
and m i c r o - i n d e n t a t i o n for rolling element bearings [6]. However, of all
the p r a c t i c a l m i c r o - s u r f a c e p a t t e r n s it seems that the laser surface
t e x t u r i n g (LST) is the most p r o m i s i n g design. This is b e c a u s e the laser
is e x t r e m e l y fast, clean to the e n v i r o n m e n t and provides e x c e l l e n t
control of the s h a p e . a n d size of the pores that allow r e a l i z a t i o n of
o p t i m u m designs. Indeed, laser t e c h n o l o g y is starting to gain some
a t t e n t i o n in the m e c h a n i c a l seal c o m m u n i t y as is evident from the
p r o c e e d i n g s of the 1997 I n t e r n a t i o n a l Fluid Sealing C o n f e r e n c e where
three laser r e l a t e d p a p e r s were p r e s e n t e d [2, 7,8].
The p r e s e n t p a p e r d e s c r i b e s some more experiments that were
p e r f o r m e d to d e m o n s t r a t e the p o t e n t i a l of improving t r i b o l o g i c a l
p e r f o r m a n c e of v a r i o u s m e c h a n i c a l c o m p o n e n t s by using LST.

EXPERIMENTAL INVESTIGATION

The special test rig d e s c r i b e d in [2] was u s e d to d e m o n s t r a t e the

L S T effect on the m a x i m u m PV value at seizure inception of SiC rings
running a g a i n s t C a r b o n rings in water. A s c h e m a t i c d e s c r i p t i o n of the
rings s p e c i m e n a n d mode of o p e r a t i o n is shown in Fig. 2.

Rotating R i n g
i without Laser
: ii:
" i :' Treatment

Clearance

i Stationary Ring with

Laser Treatment

LOAD
i
FIG. 2--A schematic description of the rings specimen
and mode of o p e r a t i o n

The inner a n d outer radii of the lower SiC ring and the upper
Carbon ring were 14 mm and 19.75 mm, respectively. The upper ring can
be r o t a t e d at d i f f e r e n t speeds from 300 to 5000 r p m w h i l e the lower ring
is l o a d e d a x i a l l y against it with g r a d u a l l y increasing loads. A
lubricant is s u p p l i e d by g r a v i t y to the center of the lower ring a n d
lubricates the interface b e t w e e n the two rings. W a t e r was s e l e c t e d to
d e m o n s t r a t e the f e a s i b i l i t y of the concept even w i t h p o o r l u b r i c a n t s
with r e l a t i v e l y l o w viscosity. The friction force b e t w e e n the m a t i n g
rings can be m e a s u r e d to p r o v i d e the seizure inception as the load
reaches its critical value.
Fig. 3 shows the results of a test p e r f o r m e d at 4000 rpm. The
average (shown by the darker bars) of the m a x i m u m PV value for three
tests (shown b y the lighter d o t t e d bars) p e r f o r m e d w i t h the c o n v e n t i o n a l
u n t e x t u r e d rings is about 0.6 M P a m/sec. W i t h a l a s e r - t e x t u r e d SiC rings
h a v i n g pores w i t h a d i a m e t e r of 95 Nm, e v e n l y d i s t r i b u t e d w i t h an area
d e n s i t y of 20%, the average of the m a x i m u m PV values are about 2 M P a
m/sec and 3 MPa m / s e c for pore depths of 6 Nm and 3.5 ~m, respectively.

Hence, an increase of up to 5 times in seizure resistance is

d e m o n s t r a t e d w i t h the LST technique.

FIG. 3--Maximum PV v a l u e s in w a t e r

F o l l o w i n g the s u c c e s s f u l e x p e r i m e n t s on the test rig an actual

w a t e r p u m p was i n s t a l l e d in the l a b o r a t o r y to allow tests w i t h a c t u a l
seals. The p u m p was c i r c u l a t i n g w a t e r from and into a 200 liter
c o n t a i n e r and its d i s c h a r g e p r e s s u r e c o u l d be a d j u s t e d b y a v a l v e on the
p u m p outlet. The seal was a s i n g l e spring type w i t h WC m a t i n g rings
s e a l i n g a 16 mm shaft d i a m e t e r at 3000 rpm. The p r e s s u r e d i f f e r e n t i a l
across the seal was 0.17 MPa. Fig. 4 shows the effect of LST on the
w e a r of the m a t i n g faces as c o m p a r e d to the wear of u n t e x t u r e d rings.
The o r i g i n a l seal rings w i t h no p o r e s e x h i b i t e d a p p r e c i a b l e w e a r m a r k s
and m a t e r i a l t r a n s f e r on their faces a l r e a d y after 200 hr in o p e r a t i o n
while the faces of the t e x t u r e d p a i r a p p e a r e d as they w e r e n e w e v e n
after 500 hr in operation.
H a v i n g in m i n d the a p p l i c a t i o n for p i s t o n c y l i n d e r s y s t e m s as well
as v a r i o u s g u i d e s for p r e s s e s a n d o t h e r r e c i p r o c a t i n g m a c h i n e s a n e w
r e c i p r o c a t i n g test rig was b u i l t to test the effect of LST t e c h n i q u e
u n d e r r e c i p r o c a t i n g m o t i o n conditions. A schematic of the test is s h o w n
in Fig. 5. The s p e c i m e n is p r e s s e d by a normal load Q a g a i n s t a
r e c i p r o c a t i n g p l a t e that is b e i n g d r i v e n by a crank shaft m e c h a n i s m .
L u b r i c a n t is b e i n g s u p p l i e d into the c o n t a c t r e g i o n at a p r e s e l e c t e d
rate and the time d e p e n d e n t f r i c t i o n force b e t w e e n the s p e c i m e n and
p l a t e is measured.
The r e s u l t s of some p r e l i m i n a r y tests comparing the f r i c t i o n force
F of t e x t u r e d and u n t e x t u r e d specimens o v e r one r e v o l u t i o n of the c r a n k
shaft are showen in Fig. 6. The s o l i d and d a s h e d lines are for the
textured and untextured specimens, respectively. As can be seen the LST
reduces the m a x i m u m friction force f r o m about 9N to about 6N. The
average friction force o v e r one c o m p l e t e cycle is a b o u t 25% lower w i t h
the L S T specimen. The w e a r of the t e x t u r e d s p e c i m e n m e a s u r e d a f t e r a 28-
hr test p e r i o d was n e g l i g i b l e c o m p a r e d to the u n t e x t u r e d specimen under
the same conditions.

A + B - Mating rings o f untextured seal after 200 hr test

C + D - Mating rings o f textured seal after 500 hr test

FIG. 4--The e f f e c t of LST on the wear of the m a t i n g

faces of m e c h a n i c a l seal rings

] 2

Lnl

FIG. 5--A s c h e m a t i c of the r e c i p r o c a t i n g test

The p o t e n t i a l of L S T to i m p r o v e d u r a b i l i t y of m e c h a n i c a l
c o m p o n e n t s u n d e r s t a r v e d l u b r i c a t i o n c o n d i t i o n s was t e s t e d on a R o l l e r
on B l o c k test rig. A s c h e m a t i c of the test is shown in Fig. 7. A r o l l e r
is r o t a t e d at a c o n t r o l l e d s p e e d and p r e s s e d a g a i n s t a flat s u r f a c e b y a
k n o w n n o r m a l load. One d r o p of l u b r i c a n t c o n t a i n i n g 0.8 ml is i n j e c t e d
w i t h a v e r y a c c u r a t e s y r i n g e into the c o n t a c t and the f r i c t i o n b e t w e e n
the r o l l e r and the flat b l o c k is r e c o r d e d as a f u n c t i o n of time (or
n u m b e r of cycles of the roller). The test is t e r m i n a t e d as soon as the

friction force starts increasing sharply indicating the i n c e p t i o n of

seizure.

10
8 E

6
;E 4
~2
o
~k
-2
-4
\ /
-6
lr.~, 9
-8
-10
0 60 120 180 240 300 360

Rotation Angle of Crankshaft, degrees

FIG. 6--Friction force of textured and

untextured specimens over one cycle

1. Housing of spindle
2. Roller

-/
3. Block (specimen)

d 4.
5.
Load cell
Stop
6. Support
7. Pocket
8. Intermediate link
9. Lever
10. Proximity probe

FIG.7--Roller on Block test rig

Fig. 8 p r e s e n t s the results of the n u m b e r of cycles (shown b y the

g r a y bars) to seizure inception that were found for t e x t u r e d and
u n t e x t u r e d rollers under the starved l u b r i c a t i o n conditions. As can be
seen the average d u r a b i l i t y (shown by the black bars) for u n t e x t u r e d
rolers is about 5,000 cycles whereas the a v e r a g e d u r a b i l i t y of t e x t u r e d
rollers is d r a m a t i c a l l y increased to i0,000 cycles.

FIG. 8--Effect of LST on d u r a b i l i t y under starved lubrication conditions

CONCLUSION

The p o t e n t i a l of improving t r i b o l o g i c a l p e r f o r m a n c e of m e c h a n i c a l
components b y laser surface t e x t u r i n g has b e e n d e m o n s t r a t e d b y v a r i o u s
tests. A dramatic increase of up to 5 times in the m a x i m u m PV factor was
o b t a i n e d in a seal rings s i m u l a t i o n test. The wear resistance of actual
WC seal rings o p e r a t i n g in a w a t e r p u m p has b e e n i n c r e a s e d s i g n i f i c a n t l y
showing almost no wear after 500 hr in o p e r a t i o n as compared to
significant w e a r of the same u n t e x t u r e d rings after o n l y 200 hr.
A r e d u c t i o n of 25% of the average f r i c t i o n over one cycle in a
r e c i p r o c a t i n g test rig was obtained, as well as a significant r e d u c t i o n
in wear, showing the p o t e n t i a l of LST in s i m i l a r a p p l i c a t i o n s like
p i s t o n c y l i n d e r systems.
A 100% increase in life was o b t a i n e d w i t h LST in test s i m u l a t i n g
starved l u b r i c a t i o n conditions, hence d e m o n s t r a t i n g the p o t e n t i a l of
i m p r o v i n g d u r a b i l i t y of m e c h a n i c a l c o m p o n e n t s and systems u n d e r these
conditions

ACKNOWLEDGMENT

P e r m i s s i o n b y Surface T e c h n o l o g i e s Ltd. to p u b l i s h the results of

this w o r k and the h e l p of Mr. Y. Srur a n d Mr. A. R o n e n in t e x t u r i n g the
seal rings a n d t u n i n g the experiments is g r a t e f u l l y acknowledged. The
work was p a r t i a l l y s u p p o r t e d b y the Israel Commerce a n d Industry
M i n i s t r y a n d b y the Fund for the P r o m o t i o n of R e s e a r c h at the Technion.

REFERENCES

[i] Etsion, I. and Burstein, L., ~A Model for Mechanical Seals with
Regular Micro-surface Structure", Tribology Transactions, 1996, Vol.
39, pp. 677-683.

[2] Etsion, I., Halperin G. and Greenberg, Y., "Increasing Mechanical

Seal Life with Laser-Textured Seal Faces", 15th Int. Conf. On Fluid
Sealing BHR, 1997, pp. 3-11.

[3] Etsion, I., Kligerman, Y. and Halperin, G., 1998, "Analytical and
Experimental Investigation of Laser-Textured Mechanical Seal Faces",
Tribology Transactions, 1999, Vol. 42, pp. 511-516.

[4] Heinrich, J., Rosenfelder, O., Benker, W. and Schelter, H., "Aspects
of Material and Design of Optimized silicon Carbide Seal Rings",
Lubrication Engineering, 1991, Vol. 47, pp. 367-372

[5] Etsion, I. and Michael, 0., "Enhancing Sealing and Dynamic

Performance with Partially Porous Mechanical Face Seals", Tribology
Transactions, 1994, Vol. 37, pp. 701-710

[6] Akamatsu, Y., Tsushima, N., Goto, T. and Hibi, K., "Influence of
Surface Roughness Skewness on Rolling Contact Fatigue Life",
Tribology Transactions, 1992, Vol. 35, pp. 745-750.

[7] Muller, H. K., Schefzik, C., Wallace, N. and Evans, J., "Laserface
Sealing Technology: Analysis and Application", 15th Int. Conf. On
Fluid Sealing BHR, 1997, pp. 13-26.

[8] Antoszweski, B. and Rokicki, J., "Tribology Aspect of the Laser

Treatment for Mechanical Seals", 15th Int. Conf. On Fluid Sealing
BHR, 1997, pp. 27-34.

An Investigation of Fundamental Blistering Phenomena in Rotary Lip Sealing

Reference: Schulz, F., Wollesen, V. M., and V6tter, M., "An Investigation of
Blistering in Rotary Lip Sealing," Hydraulic Failure Analysis: Fluids, Components,
andSystem Effects, ASTMSTP 1339, G. E. Totten, D. K. Wills, and D. Feldmann, Eds.,
American Society for Testing and Materials, West Conshohocken, PA, 2001.

Abstraet: New investigations concerning the blistering phenomenon in rotary lip

sealing have been carried out with fluoro elastomer seals with and without epidermoid
layers, using different oil types and seals in different arrangements under static and
dynamic conditions, including a microscopic analysis.
The test results indicate that blistering in rotary lip sealing is not only a problem of
fluid compatibility but strongly refers to the thermal and mechanical load of the seal in
contact with the rotating shaft. Blister-filling may be achieved in a macroscopic way
without adsorption and diffusion of the sealed fluid.
This work examines the role of important factors of a blister formation in rotary lip
sealing and therefore helps to analyze and prevent blistering in practical applications.

Keywords: rotary lip sealing, radial lip seal, blistering, cracking, fluoro elastomer,
rubber epidermoid layers, amines

Introduction

Elastornerie seals for rotating shafts may show blisters filled with fluid under certain
conditions. If they appear, they are located at the contact zone of the seal and oriented
towards the air side. Blistering in rotary lip sealing is a seldom reported phenomenon.
However, this is not reflective of the magnitude of the problem especially for radial shaft
seals. Blistering is discussed as a typical material failure caused by interactions of the
sealed fluid with the seal in high-temperature applications [1]. Previously, this problem
could often be solved by a change of either the seal material or the sealing fluid. Current
problems focus on applications in which oils with very pretentious specifications are in
contact with fluoro elastomers, and neither the seal material nor the oil can easily be
substituted due to technical or even economical demands.
Todays oils have very specialized formulations to extend service intervals or provide
lifetime fillings and to optimize them for the pomary function of the machines for which

lScientific Employee, Senior Engineer, Dr., and Professor, respectively Engineering

Design Section 2, Technical University Hamburg-Harburg, 21071 Hamburg,
Germany.

Copyright by ASTM Int'l (all rights reserved); Fri Aug 31 00:20:19 EDT 2018
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YanShan University (YanShan University) pursuant to License Agreement. No further reproductions authorized.
Copyright* 2001 by ASTM lntcrnational www.astm.org
452 HYDRAULICFAILURE ANALYSIS

they are designed. These include: automotive gear oils, industrial gear oils, diesel
engine oils, gasoline engine oils and Automatic Transmission Fluids (ATFs). And the
high technical demands on these oils go far beyond lubricating with excellent viscosity/
temperature behavior. Modem oils contain oxidation inhibitors, corrosion inhibitors,
antiwear agents, detergents, dispersants, and anti-foam agents. Consequently these
formulations are complex and proprietary. Oil/seal compatibility plays only a secondary
role and the fundamental aspects of their coaction are not clear.
To assist solving the blistering problem it is necessary to investigate tribological
conditions which generate high temperature levels within the sealing zone. Beyond this,
the mechanism of blister formation has to be clarified.
These tests address fimdamental blistering phenomena. Another view of the
blistering phenomenon will be provided.

State of the Art

Blistering is well known in static sealing and it shall be mentioned here because it is
often used to explain the process in dynamic sealing, too.
Hertz [2] focuses on the elastomer in his investigation of blistering in general
sealing applications. He states that an elastomer is porous and fluid may diffuse into the
elastomer up to a certain depth under pressure. If any change of this equilibrium state
occurs, e.g. an environmental pressure drop whereby a critically pressure of the fluid
inside the elastomer is exceeded, either blistering or cracking will occur. Blistering would
be common for sealing of supersaturated gases with elastic materials having low shear
modulus, low cross link density and high elongation, whereas cracking is common for
materials with high shear modulus, high cross link density and low elongation.
Diffusion means molecular or atomic transport without chemical reactions and it is
controlled by the molecular structure, solubility, and glass transition temperature of the
seal material. Diffusion is driven by pressure gradients, temperature gradients, external
force fields, or concentration gradients. So diffusion is not a matter of chemical
compatibility at all, it depends on physical effects. Solubility is an important element of
the mechanism: If the molecular structure of the fluid and the seal material is similar,
solubility is good and diffusion is promoted.
To avoid blistering problems, Hertz suggests a change of the shear modulus of the
material by altering the crosslink density, adding reinforced fillers, increase percent
crystallinity, or to use elastomeric materials with high molecular weight.
Stevenson [3] discusses very fast (explosive) decompression of elastomers. He
accomplishes aspects of fracture mechanics with gas permeation. Permeation works in
two steps. First, gas adsorption occurs at the surface of the elastomer. Second, gas
diffuses into the inner portion. Both steps are governed by Henry's law respectively
Fick's diffusion law. Stevenson provides a formula to compute the pressure within the
blister considering the energy necessary for crack-growth of the relevant material which
allows the following conclusions: At elevated temperatures, even a small blister pressure
may cause a serious damage of the seal material, and a small temperature increase
together with a blister pressure increase arising from continued diffusion would have the
same consequence. Conversely at the same time, permeation and therefore gas discharge
is promoted. So it depends on material properties under the operating conditions what

happens. Stevenson generally considers seal problems with pressurized fluids only above
3.5 MPa.
Kanzaki et al. [4] were the first who published systematic investigations of
blistering with radial lip seals. These workers see environmental changes like higher
speeds, temperatures and pressures as well as the use of low-viscosity oils leading to
problematic operational conditions. Due to these changes, they expect a temperature rise
in the sealing portion of the seal. And even highly heat resistant seal materials like fluoro
elastomers show instabilities under this condition, e.g. blistering.
Their study includes work on the following topics: evaporation characteristics of the
oil, duration of operation, mechanism of blister generation and effect of the rubber
epidermoid layers of moulded rubber surfaces.
Pictures of cross-sections show the shape of the blister cavity, beginning near the
sealing zone and succeeding parallel to the air side of the seal. The blister filling is stated
to be similar to the sealed fluid. They reported a critical bulk oil temperature for their test
machine. Below this temperature, no blistering occurs within test duration and above this
temperature blistering is enforced until the temperature reaches a level on which
deterioration causes hardening of the seal material and cracking replaces blistering. The
gas permeability of the rubber epidermoid layers of a fluoro elastomer is measured
(according to ASTM Test Method for Determining Gas Permeability Characteristics of
Plastic Film and Sheeting (D1434 M-C3)) and found to be significantly lower than that of
the bulk material. Consequently they do not find blisters on seals if they remove the
epidermoid layers.
Their model for the blister formation adopts a mechanism which is considered in
static sealing and it emphasizes a strong temperature role. The sealed fluid or part of it
vaporizes under the action of high temperatures in the sealing portion and diffuses into
the seal material. Inside of the elastomer, it condenses in non-contacting zones where the
temperature is lower. Fluid accumulations then occur underneath the moulded skin of the
elastomer which is expected to act like an diffusion barrier due to its lower gas
permeability.
According to Kanzaki et al. the main factors of blistering should be the sealing zone
temperature and the evaporation characteristics of the sealed fluid and it is suggested
therefore to use low-volatility oils and seal configurations with low contact load and low
friction. They neglect explicitly an important role of fluid viscosity and friction force.
Kasner [5] reports another way of crack initiation for incompressible elastic
materials which is called cavitation. Cavitation means the formation of a cavity due to the
action oftriaxial stresses coming from a deformation. This cavity would result in a
negative pressure and therefore open the possibility that a crack fills itself and thus forms
a blister.
Sealing experts have reported experiences with applications or field testing which
differ from the above dicussion. ATFs are volatile but they may not cause problems with
regard to blistering. Seals with removed epidermoid layers sometimes show increased
blistering. And especially oils containing amines cause problems.

Experimental Procedure

The tests use fluoro elastomer (FPM) radial shaft seals without secondary lip,
dimension is 80-100-10 (80 mm diameter) which are customary in trade. The seals have

sealing lips cut from the oil side. Rubber epidermoid layers from moulding are oriented to
the air side. For some tests, these layers are removed by grinding on a lathe. Radial force
is measured according to DIN 3761. Each test is conducted with at least two seals. If
significant deviations of test results are observed, additional test runs are made.

Bulkoil~' Frictional
T temperature
l? torque

~I I ~ ~tj'~bearing I'(~

,,e0mml I 1 L ~ T~t
seal '_
I m.=o_
,
, ~j IL
L....--ElectricalI~ ~
[ Test heating ,I-.~

Figure 1 - Test rig

Rotating tests are conducted on the test rig shown in Figure 1. The test rig is
constructed of one vertical shaft which runs in an oil cylinder. The cylinder contains the
test oil and is mounted in an aerostatie bearing. Friction torque is measured by a
resistance swain gauge (DMS). Temperature within the oil is measured by a NiCr-Ni-
thermocouple. For self-heating tests, the seals run four times through a program of 0, 2, 3,
4..8, 10, 12, 14 m/s, each step lasting for 2 h. Alternatively, the oils were tested for
20 h at one speed and 4 h at rest. The shaft material is C45, manufactured according to
DIN 3760 and hardened. Dynamic shaft eecentficty is below 0.02 mm, static eccentricity
of seal and shaft is below 0.1 mm.
Test oils are shown in Table 1. All oils are comercial available and most contain
unknown proprietary additives. It is known that oil D containes 1% wt. of an amino
corrosion inhibitor. Oil B is formulated from a synthetic base stock. A rotational
rheometer is used to measure the viscosity/temperature behaviour (at a shear rate of
500 s'l). The results for the fresh test oils are shown in Figure 2.

Table 1 - Test oils

Test oil Description Specification

A Gasoline engine oil SAE 15W-40

B Synthetic gasoline engine oil SAE 5W-50
C Gear oil CLP DIN 51517 T3
D Gear oil with amines (1% wt.) SAE 85W-90, API GL-5

.m 250

E 200

"~ 100
c

~ 5o

50 100 150 200 250

Temperature[~C]

Figure 2 - Viscosity~temperature behaviour of the test oils

To simulate a "static" sealing situation without rotation only with thermal load, a
shaft section is horizontally fixed and heated by a gas flame. The seal is mounted on the
shaft section and filled with oil from the oil side. Cooling air with a temperature of 20 ~
is supplied to the air side of the seal.

Orienting Experiments and Results

1. How to generate bl&ters

The first part of the project was to determine how to generate a blister. Here, the
bulk oil temperature is used to characterize the operating conditions. The measurement of
the relatively high sealing zone temperature (> 180 ~ is very difficult. But the
temperature of the sealed oil has been found to be a reliable indicator for critical
operational conditions. Therefore, the temperatures discussed here are only valid for the
test rig used and they are not directly comparable with data from other test machines or
applications. However, they can provide a qualitative estimate of the relationship of
important phenomena.
Figure 3 shows the coherence of typical phenomena of seal operation at high
temperatures. Outlined is the bulk oil temperature and the likelihood of seal failure found
for oil C. Observations are similar for oil D. Below 160 ~ no significant phenomena are
found within 240 h of seal operation. Up to 190 ~ blistering is observed. At the bottom
of this zone, the blisters are few although they are large. At the top of the zone, many
small blisters are found, which exhibit a greater effect on the sealing zone and no
significant extension towards the air side is observed. Seal operation above 190 ~ mainly
causes cracks in the sealing portion and this is accompained with strong carbon deposits.
Seal failure is observed, especially at the higher temperatures and at least occurs around
200 ~ Those seals which do not show strong carbon deposits are able to work even with
blisters.

200-
~1 Cracks
in sealing
190- . . . . . . . . . . . . . . . . . . . . . . Deposits zone
on the seal
E
Blister
occurrence /

m
160-

sigoi~
observat ons

Likelihood of seal failure

Figure 3 - Coherence of typical phenomena in high-temperature seal operation

2. Effect of oil type

The most destinctive characteristic of the test oils is their self-heating behaviour on
the test rig which is due to friction. It is measured while no external heating is applied
(Figure 4). Oils A and B behave similarly and cause the lowest temperatures.

180
160
~ 140
e 120
100
~ 8o
o 60

' ' ' ' I ' ' ' ' I . . . . I ' ' ' ' I . . . . I . . . .

2 4 6 8 10 12 14
Shaft speed [m/s]

Figure 4 - Self heating behavior of the test oils

Oil C runs at a higher temperature level which could be expected with regard to its
higher viscosity (see Figure 2). But oil D runs at an even higher level and this is not
explained by viscosity performance. Not shown in the graphs is the fact that the self-
heating may increase, if oils A, C and D are operated above 160 ~ for a certain time.
Frictional torque is sometimes unstable, then. Oil B is insensitive to this.
For blistering it is necessary to operate oils C and D above 160 ~ Running at a
speed of 13.4 m/s oil D reaches this level by self-heating. Whereas oil C in fresh
condition requires external heating. But it could be switched off after some time o f
operation. If the external heating or the shaft speed is reduced to a level at which the self-
heating temperature is below 160 ~ no blistering is observed within 240 h for oils C and
D (Figure 5).

Oils A and B do not cause blisters within test duration, even if they are operated
above 170 ~
After the blistering tests oils A, C and D are dark in color and show viscosity
increases of approx. 20 %. The corresponding seals often show strong carbon deposits.
Only for oil B no significant change of properties (viscosity and colour) is observed and
no deposits on the seal were observed.

:~ 200 Special
,9,o treatments:

150-
~. Cooling
]v~ Electrical i
heating
100-
Shaft speed:
(~) 13_15 m/s
O 50-
aD <
50__
, i
150 160 1 0 180 190 ~"
Bulk oil temperature [*C]

Figure 5 - Blistering occurrence for test oils

3. Evaporation test of blister filling

Blisters generated with oil C are exposed to heat in an electrical oven. Heat is
applied in three steps of 2 h duration. After each step it is examined how this effects the
blisters and their filling. The applied temperatures are 150 ~ 175 ~ and 220 ~ Only
the last step leads to significant changes of the appearance of the seal. But none of the
blisters bursts and they are still filled with fluid. Finally, after application of 260 ~ for 8
h some blisters still contain trace amounts of fluid but most of the blister fillings are now
dry and the elastomer is disturbed.

4. Effect of seal configuration resp. air side temperature gradient

To examine the function of the air side of the seal in blistering, seals are operated in
dual configuration (Figure 6). The temperature gradient of the upper seal, which is
operated with both sides in oil contact, shall not be greater on any side. In fact, the
temperature difference of the oil between the seals and the upper oil level is still around 6
~ (at a bulk oil temperature of 160 ~ during operation despite connecting holes in the
seal housing. Temperature equivalence cannot be achieved and therefore the upper seal is
operated in both possible orientations: in the same direction as the bottom seal and
inverted.
The bottom seal is obviously more stressed in this arrangement with lubrication
only from one side. It was necessary to change the seal due to failure before the upper
seal showed any damage. However, blisters occur even at the upper seal, and they are

found to be oriented only towards the "air" side in any configuration. The necessary bulk
oil temperature level for blistering of a dual configuration is about 180 ~ for oil C.

9 v

Figure 6 - Applied seal configurations,

inverted (left) and in same direction (righ0

5. Removal of rubber epidermoid layers

Seals with and without rubber epidermoid layers on the test rig (in single
configuration) exhibited blistering in a very similar manner. Those seals with removed
layers exhibited a slighly lower temperature (difference 6 ~ and a slightly lower radial
force (minus 3 %) than the others. Top bulk oil temperature achieved by self-heating is
177 ~ for the untreated seal.

6. Blistering test without rotation

The temperature of the oil sump of a resting seal is increased in steps of 20 ~

beginning from 160 ~ Each step is held for at least 2 h. Using oil C or D, 160 ~ cause
no problems with the seal. At 180 ~ the seal darkens and at 200 ~ strong carbon
deposits are observed but no blistering is observed. Shaft temperature of the last step is
215 ~

7. Microscopic analysis

The cross sections of blisters sometimes show small capillaries in microscopic

observation (Figure 7). These capillaries seem to begin in the sealing zone connecting it
to the blister, and they could provide a solution for the filling of the blisters without
permeation.
Another observation is that cutting or penetrating does not lead to a collapse of the
blisters. Blister shape is maintained and does not collapse. Although the cuticle of the
blisters is still deformable it is obviously not in a stretched state. The inner pressure of the
blisters must be very low.

The blister filling consistency corresponds with that o f the oil after the test. If the
oil has a very thick consistence the filling has, too. If the oil is not affected very much by
the test conditions, the filling is rather thin.

Figure 7 - Blister cross section with capillary

(sealing zone on the lower left side, air sided cuticle o f blister on the lower right side,
picture width O.4 mm)

Discussion

The orienting tests are interpreted as follows:

Blistering is a high temperature problem. Even if bulk oil temperatures in
applications should not indicate problematic levels, it is expected that at least the
conditions in the sealing zone are near to a thermal overload for the sealing
elastomer. In this area, the mechanical properties are strongly affected [3].
The role of the oil type is not clear from these tests. Blistering is observed only for
oils C and D. These oils show higher viscosity and therefore cause higher self-
heating temperatures than oils A and B. Oils A and B may be operated at even
higher temperature levels without blistering problems. But as additional heat is
applied by external heating, the sealing zone temperature with them might not be as
high as with oils C and D which have their "heating" only in the sealing zone.
The synthetic motor oil B is clearly better. It runs with low friction due to its low
viscosity and it causes no deposits. All other test oils which are based on mineral
oils are temperature-sensitive: Once exposed to high temperatures, their viscosity
increases and friction therefore grows. As a consequence, they cause carbon
deposits on the seal which contribute to a slight lowering of friction but the seal
condition is unstable and failure may occur.
Self heating is highest with the amine-containing oil D. This could be caused by
poor lubricant qualities for a steel/elastomer rubbing contact or, more likely, by
chemical interactions. It is known that amines in contact with fluoro elastomers lead
to additional cross-linking [6, 7]. This may affect only the lubricating conditions but

as it affects the elasticity of the elastomer, it may even play a key-role in blistering.
That will be analyzed in further investigations.
9 The blister filling does not evaporate completely at 220 ~ resp. at 260 ~ This
indicates that the blisters formed with the test oils do not consist only of volatile oil
components, but rather comprise all oil components. The same is indicated from the
microscopic analysis in which similarities between blister filling and test oil
consistency are found.
9 Neither the air side temperature gradient nor the epidermoid layers of the rubber,
which are often said to be responsible for blister orientation, have,been shown to be
important for the blistering phenomenon. The only noteworthiness of the air side
which is remaining, is the fact that all reaction forces coming from the shaft
movement have to be transferred through the seal housing here. Normal forces and
rubbing forces cause compression and torsion with more or less oscillating
amplitude. The oil side of the seal does not participate in this function.
The static tests support the above conclusions: Blister formation cannot be achieved
with thermal load acting alone. Mechanical load is necessary which may be
supplied by rotation. It remains questionable which movement or stress is most
important for blistering, because the rotation of the shaft on the pre-stretched seal
offers other possibilities especially with regard to eccentricities. So the application
of specified mechanical loadings could be an important project for the future.
9 Cracks which are found to connect the sealing zones with the blisters offer a simple
explanation of how fluid could get into the blisters if adsorption and diffusion are
not considered.

Summarizing the results, it seems to be likely that blistering in rotary lip sealing
occurs if the mechanical properties (strength and elasticity) of the elastomer are affected.
Then cracking initiates on the air side, where the highest mechanical loads act. If a crack
grows into the sealing zone, the oscillating pressure coming from an eccentrically rotating
shaft may fill it with fluid. Then the crack expands to a blister in the non-contacting zone
of the air side. Crack propagation stops in an area "far" away from the sealing zone,
where the elastomer is not pre-damaged from operational conditions.

Conclusions

The mechanical load at the air side of a radial lip seal in contact with a rotating
shaft seems to be the key to blister formation in rotary lip sealing. There are no proofs
found for a blister formation due to adsorption and diffusion.
A limiting boundary condition for blistering is the existence of the right temperature
level to affect the mechanical properties of the elastomer significantly without destroying
them.
Chemical interactions of sealed fluid and elastomer may be beneficial or necessary
for the effect.
Further work must be done to investigate which mechanical loads are most
important for blister formation. And the role of the fluid composition has to be clarified,
too.

References

[1] Horve, L. A., "The Operation of Elastomeric Radial Lip Seals at High
Temperatures," Society of Automotive Engineers, Technical Papers No.
750810, 1979.

[2] Hertz, Daniel L. Jr., "The Hidden Cause of Seal Failure," Machine Design,
9 (1981), April, pp. 209 - 212.

[3] Stevenson, A., "Gasinduzierte explosive Dekompression in Elastomeren,"

G A K - Gummi und Kautschuk, Kunststoffe, 3 (1996), pp. 194-205.

[4] Kanzaki, Y., Kanno, T., Kawahara, Y., "A Study of Blistering Phenomenon on
Rubber Seals," 12th International Conference on Fluid Sealing, Brighton,
UK, 10-12 May 1989, B. S. Nau, Ed., BHRA - The Fluid Engineering Centre,
1989, pp. 27-36.

[5] Kasner, A. I., Meineke, E. A., "Porosit~it in Gummi - ein Oberblick," G A K -

Gummi und Kautschuk, Kunststoffe, 7 (1997), pp. 549-555.

[6] Streit, G., "Schmierstoffe und elastische Dichtungen II - Wechselwirkungen

zwischen Schmierstoffen und Elastomeren," Industrial and Automotive
Lubrication, 11th International Colloquium, 13.-15. Januar 1998, W. J.
Bartz, Ed., Ostfildem, TAD, 1998, pp. 497-515.

[7] Kuschel, R., "Mineral61e im Kontakt mit Elastomeren," Industrial and

Automotive Lubrication, 11th International Colloquium, 13.-15. January
1998, W. J. Bartz, Ed., Ostfildem, TAD, 1998, pp. 517-533.

Influence o f L u b r i c a t i o n on Wear and Friction on O-Rings in C o n t a c t

w i t h Yellow M e t a l

Reference: VStter, M., and Schultz, O., " I n f l u e n c e of Lubrication o n W e a r

a n d Friction o n O - R i n g s in C o n t a c t w i t h Yellow M e t a l " , Hydraulic Failure
Analysis: Fluids, Components, and System Effects, ASTM STP 1339, G. E. Totten,
D. K. Wills, and D. Feldmann, Eds., American Society for Testing Materials, West
Conshohockcn, PA, 2001.

Abstract: O-ring seals are usually used in static sealing applications. Under some
circumstances they are applied in dynamic sealing. The project introduced here is
about O-ring seals in oscillating rotation combined with an axial load. The insuf-
ficent durability of some seals at the blade bearing in controllable propellers is the
reason this project was initiated.
The seal is placed between two plates. The seals are exposed to a constant
axial force, so they are able to creep. During the experiment the torque, the angle of
rotation, the distance between the plates, the temperature near the sealing zone, and
the temperature in the laboratory are measured. Variations concerning load, sealing
material and lubrication (oil, grease, water, no lubricant, and their combinations),
and relative velocity are verified. The test range is up to 400 000 oscillations.
The paper presents the results and some hypotheses for modeling system of
friction and wear, especially the influence of lubrication, time and material of the
seal.
K e y w o r d s : rubber, yellow metal, wear, friction, stick-slip, water, diffusion, copper
Nomenclature
# Coefficient of sliding m Mass a distance of plates
M Torque t Time v velocity
F Force qo angle of rotation n number of oscillations

Introduction

O-ring seals have a simple geometry and may easily be manufactured in inex-
pensive molds - one reason for their wide range of applications. Another reason is
their simple and modest mounting.
1professor, Dep. of mechanical design II, Technical University of Hamburg-Harburg, Den-
ickestrage 15, 21071 Hamburg, Germany.
2Scientific employee, Dep. of mechanical design II, Technical of University Hamburg-Harburg

Copyright by ASTM Int'l (all rights reserved); Fri Aug 31 00:20:19 EDT 2018
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Copyright* 2001 by ASTM lntcrnational www.astm.org
VOTTER AND SCHULTZ ON O-RINGS 463

Seals of the blade-bearing from some propellers cause problemsi3]. The seal
is an O-ring, fabricated from nitrile-rubber and sulfur vulcanized. The blade and
the hub are made out of a copper-nickel-aluminium bronze (CuNiA1). It appears
that during normal application nickel and aluminium are washed out due to friction-
corrosion. As a consequence copper is left alone. Copper, known as a rubber poison
for unvulcanized rubber, can also be found in the rubber in the contacted areas, but
not in bulk material or uncontacted zones, which may cause material incompatibility.

Test rig

For researching the effects in a wide range of parameters, an O-Ring test rig
(ORTR) was developed. The principle of the test rig and the main measurements
are shown in Fig. 1. The realized Rig is shown in Fig. 2. The ORTR has been on
duty since May 1998 and has passed more than 34 tests. The first 23 tests were be
performed with one pair of plates of CuNiA1, the next 12 tests plates of stainless
steel (18CrNil0 1.4305) were used. The seal material, plates, and lubricant are one
set of parameters. When the friction system becomes stable, changes may made on
the relative velocity and the load. This is another set of parameters.

FIG. 1: Measured variables

The ORTR is shown in the Fig. 2. An axial load, characterized with dumbbell-
weights, is applied by a central rod pulling down the upper plate. The seal is placed
in a groove in the bottom plate. The bottom plate is fixed to the rig by a hollow shaft.
The upper plate is guided by a needle bearing. The inner ring of the mechanical
filter (stiff in circumferential direction, soft in axial and radial direction) is connected
to the upper plate. A motor with a speed-reducer drive and an four-bar linkage is

~:~::~:~ angular ~ a r sensor

sensor

9~ /
;
i Ill ~L-'fll~-W~kl~uppr " ~ [ e

~ 1 ~ a/ / ' ~
i" f~ 7n ~ ~t ~ -~ -~ ~~ ~ "~

FIG. 2: Left side whole test rig, right side look inside

connected to the outer ring of the filter. The angular-sensor is placed on the top,
soft in all other directions than rotation.
The primary mechanical data are:

9 oscillating rotating motion of the counterparts of 0 < ~ < ~ -t-20~

9 changeable counterparts and seals
9 constant axial load, variable distance
9 measurable distance between the counterparts
9 testing of different lubricants on both sides of the sealing

The following measured variables are recorded: Torque M (two full bridges of
strain gages are placed in the hollow shaft), angle of rotation ~, distance between
the plates a (three inductive sensors, mounted each 120 degrees directly at the upper
plate), room-temperatures, and temperatures near the seal.
Most tests are conducted with an ~ ~ -t-9.9 ~ The periodic time is normally
5.9-6.2 s with a possible range of 0.47 up to 10.6 s. An average velocity of approx-
imately 3.3 mm/s, and a maximum speed of 4.7 mm/s results in an average radius
of nearly 30 mm for the O-Ring.
There are two PC-based data-recording systems in use: A slow one, capable of
recording over the total test duration and a fast one to record data only in points
of interest. The slow system measures the temperatures, distance and torque. The
torque is measured over a sample&hold-circuit at the time of the highest relative
velocity. The fast one measures torque, distance, and angle of rotation with 10 to

0.8
0.7
......../i; .......................................................... i
0.6

0.5
0,4
f
, ",,i i .............. . 14

0.3
0.2 ~/ ',,, l 2
i/
0.1 . _. ,,,, i ........... ,:;- - E
i::[ e
0
-0.1 .............. ;;;;;..;;.;;;7; .............. ;;;,;{ ........... ................................ ,, .................... :

-0.2 i;::,i-.:;;:":::Z77
0 i :
-0.3
// !
-0.4 '.'>,~ ............................. ,,~...... ! : ....
-0.5 " ~'<, ..... 7. . . . . . . . . . /! ..... i . . . . . . . . ;
-0.6
t ~ w~ld~it~.rN B R - T 9 4 3 8 , 0.2 h .......
-0.7 - . ~--~': ......... \ ; < ~ - ~ - ~ - ~ NBR-T9438, 72.4 h ........
N B R t u r n e d - d r y , 2 5 7 h ..............
-0.8
0 1 2 3 4 5 6
T i m e [s]

FIG. 3: Dependence of friction and speed of one oscillation

10 000 Hz over nearly 10 000 samples. Due to the wear between the distance sensors
and the plate these sensors are only used in a few tests.

Friction
It is possible that the friction system becomes stable after 2,000 oscillations.
The computed coefficients of sliding friction exhibit in a wide range of 0.05 up to
0.95. Their dependence on velocity varied with the test duration. The use of water
as a lubricant may cause an increase of the friction in comparison to dry sealings
[4]. Some material (Polyurethan (PU) from Merkel/Freudenberg at CuNiA1) exhibit
coefficients up to 1.56 and strong wear under dry conditions.
In some tests a so-called Stick-Slip effect occurs after running in. In other tests
this exists from the beginning, disappears after some time and returns sporadically.
Figure 3 shows the results of some tests. The first tests were performed with
greases manufactured by Tribol (Germany). The numbers represent the number
of the grease from Tribol. Unless otherwise defined the O-rings are 54.2x5.7 mm,
made out of NBR, and the counterplates are CuNiA1. The load is normally 463 N.
These short-time measurements demonstrate approximately, that the coeffi-
cient of sliding is not very dependent of the velocity. But other tests provide a

Axiat load IN]

450 500 550 600 650 700 750 800 850 900 950 1000
03 ~ 'i . . . . NBR aS/PAO4+Ester (varlable speed@463 N) s01h' ,
] ~i NNBR~03002+0+aWtaetleeSPdSd'
lv(~rie~l@bel7463m/
la~hN:\:::--
l
F ....... i ............ .................. i.............. ;............. ......... ...........

o
"6 0.15 . . . . . . . . . . . . . . . . . . . . . . . ........ ~. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ; ..............

0 0.1 .................................. ......................... _..... .......... .......... .........

.,'~" ..... X ........................ - ........... X

0.05 . . . . . . . . . . . . ........ ~. . . . . . . : ..... .........

0 / i =
10 20 30 40 50 60 70 80 90 100
max. speed [turn/s]

FIG. 4: Dependence of the speed and load of NBR 5d.2x5.7

different conclusion: The friction depends on the on the velocity more than on the
normal load.

The influence of velocity is significantly stronger than the influence of load

(Fig. 4). If the normal load increases, the coefficient of sliding increases for a short
time and then returns close to the "normal" value. One possible reason: The rubber
deforms under load, while area increases and the pressure doesn't increase very
much. As a consequence, rectangular Rings (54.2•215 mm) were also tested to
exclude the influence of increasing area.

Unlubricated systems do not show any effect on the coefficient of sliding caused
by the pressure. The systems continues in it's behavior and doesn't react to pressure
(Fig. 5).

YanShan University (YanShan University) pursuant to License Agreement. No further reproductions authorized.
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468 HYDRAULIC FAILURE ANALYSIS

0.6 i Coefficient of sliding - - 0,6

I Pressure
max, speed "100 ........

0.5 ;;_;:_, , ..... 0.5

~i~ 0.4 ...... 0.4

~, _

0.3 0.3

02 ....... ................ 02 g
: >=
r163
w

0.1
0.1 i :

............. i ............ :

0 L I i I 0
50 100 150 200 25O

........ ! i-- ~ ~. . . . . . . .
~ O4 " O4
~ 04

03 o~ 03 J ........ 03 -=

i
8 oe
i ~e - 02 ~
'
o.i o.1 o.1
....
o,
~ f .... ;
024 25 26 27 2B 29 30 31 ~ 0 0
1206 120.6 1Z1 1212 121,4 12~.6 121.8 t ~0
To ~} Tim ~}

FIG. 6: NBR, turned, rectangular, lubricated with Tribol 9,~38 § water, stainless steel

Lubricated systems exhibit an influence of pressure (Fig. 6). If the pressure

rises, the coefficient of sliding decreases and vice versa. It's not possible to declare
a fixed number for the coefficient of sliding.
Frank and Achenbach [1] describes one reason for the dependency of the ve-
locity: The reaction between the viscoelasticity and surface roughness of the plates.
However, due to the plates - manufactured by turning - therefore this hypothesis
will not work because the structure of the surface is parallel to the direction of
movement, so there should be less influence of the relative velocity.
Figure 7 shows the development of the coefficient over time during running
in. Nearly all tests demonstrate a high friction at the start with a maximum after
100-1000 oscillations (0.16-2 hours). Afterwards there is a characteristic minimum
followed by a long, slightly increasing, slope.
Figure 8 shows the development of the coefficient over the total test-time. For
some tests (blue PU-lubricated) there were problems with power failures, and data
was lost due to subsequent hard drive failure, so there is only partial data of the

O)
O,

rD
0o

-5
1-

,o
m

m
N
<

Z
o

o
z

z
Coefficient of sliding [-]

5
s
Coefficient of sliding [-]

@
~3

t~
Oo

<3
cb
s

~ b o t t o m contact Area

FIG. 9: Place of probes

short-time tests available. The steep slope after 50 h in the test with the blue PU can
be explained with a change of the sliding faces. A newer test with NBR/oil shows
a similar behavior: Starting with sliding between the O-Ring and the top plate
and ending with sliding between the O-Ring and the bottom plate. One possible
explanation: Wear particles fall between the parts and work like bearing particles.
One result is the very high coefficient of approximately 1.5 to 1.6 for one of the PU-
Compounds in dry sliding. The width of the measured data shows a stick-slip-effect
over a long time.

Diffusion

Copper and manganese are known as effective rubber poisons. They cause
a catalytic reaction in the unvulcanized rubber, as a consequence only concentra-
tions below 0.001% are acceptable [2]. In some literature the effect is not only on
unvulcanized rubber, but also described on the vulcanized products [5].
Another problem: copper is the conventional interface between steal cords and
rubber. The bridges are bindings in the form CuzS between the copper at the steel
and the sulfur in the rubber. Is there enough energy to create these bindings in a
dry low temperature friction system after the normal vulcanization?
These hypotheses need to be verified. In CuNiA1 contacted rubber, copper
does not always exists in negligible concentrations. Several samples of tested O-
Rings are measured using a scanning electron microscope. Samples were taken from
the uncontacted side-wall (Sample 3), from the contacted area (Sample 1) and from
approximately 0.3-1.0 mm deep under the contacted area (Sample 2). The results
are weighted above the counts per second (cps). The probes are made after the
tests.
In most cases the concentration of oxygen and sulfur rises in the contact zone,
it also occurs in unlubricated systems and stainless steel. In the sidewall and in
deeper material layers copper is not detected, while in the contact-zone the amount
of copper is sometimes larger than the proportion of zinc. Zinc is a common catalyst
during vulcanization and always detected.

0.4
! i ~ i
9 i i ......
0.35

J--
0.3

0,25

~.~
"5 0.2

o 0.15
O

0.1

i
0.05
: i
k:05h, wet (after dry run) - -
0
0 20 40 60 80 100 120
Time [h]

FIG. 10: Development of the coej~icient of sliding with PTFE-coated N B R O-Ring

Wear

Water has no lubricating or wear-protective influence on the system. In some

tests water increases the friction in comparison to dry systems.
The test in Figure 10 is done with a PTFE-coated N B R O-Ring. After a
creeping test over 600 hours (no motion) the drive was switched on for about 120
hours (78015 oscillations). When the rig was opened, the coating was in good
conditions, no blisters, no delamination, and no wear. Then water is added and the
restart is performed. After another 120 hours (78604 oscillations) the rig is opened
again: Blisters, delamination, and wear were detected. The blisters disappear after
24 hours at room climate. In tests with grease/water there were also small blisters
but no delamination (after n ~ 115 500).
O-Rings hardened with iodine exhibit characteristic cracks at dry friction. Fig-
ure 11 shows the scheme of the cracks, which have a higher density than shown. The
space between the cross-cracks is about 0.05-0.1 mm. The transition zone between
the contacted and the uncontacted area is characterized by parallel cracks. Their
spacing is approximately 0.03 mm. Using a optical microscope, no cracks were
visible in the middle of the contact zone.

parallelcracks /upper contactArea

~ crosscracks

FIG. 11: Cracks (real: higher density)

A scanning electron microscope shows cracks (Fig. 12) in the middle of the
contact zone, which are invisible with an optical microscope.

FIG. 12: Scanning electron microscope of a tested hardened O-Ring

It is possible that these cracks and holes cause leakage at high pressure.

Conclusion

There is no fixed number for the coefficient of sliding. The coefficient of un-
lubricated systems is independent of the pressure, while for lubricated systems the

coefficient varies. The speed causes variations of the coefficient in both systems.
Because of a long running-in period for the friction system, it is necessary to
watch for the trend of the system and not to take a value of an unstable system
after x hours.
Copper is detectable at the contact-zone of the tested rings, which may act as
a rubber poison. Therfore it is important to verify if copper exhibits any effects on
vulcanized rubber.

References

[1] Achenbach, M, Frank, E., "Dichtung und Reibung in pneumatischen Anwendun-

gen", Dresdener Dichtungtechnisches Kolloqium, Dresden, May 1999.
[2] Heinisch, K. F., G"uttel, A., "Kautschuk-Lexikon", A. Gentner-Verlag, Stuttgart,
1977.
[3] Schultz, O., VStter, M., "Forschungsbericht LIPS BV", TU Hamburg-Harburg,
17.06.1997.
I4] Schultz, O. , VStter, M.,"Research on Friction and wear of O-Ring seals", Balt-
trib99, 21.09.1999, Kaunas, Lithuanian.
[5] Schnetger, J., "Lexikon der Kautschuktechnik", Hiithig-Verlag, 2. Auflage, 1991.

HYDRAULIC VALVE PROBLEMS CAUSED BY OIL OXIDATION PRODUCTS

REFERENCE: Sasaki, A., "Hydraulic V a l v e Problems Caused b y Oil O x i d a t i o n

Products," Hydraulic Failure Analysis: Fluids, Components,-and System Effects,
ASTM STP 1339, G. E. Totten, D. K. Wills, and D. Feldmann, Eds., American
Society for Testing and Materials, West Conshohocken, PA, 2001.

ABSTRACT: M o d e r n h y d r a u l i c systems are s o p h i s t i c a t e d w i t h p r o p o r t i o n a l

valves and servo valves. As t h e y are s e n s i t i v e to oil contamination,
c o n t a m i n a t i o n c o n t r o l is imperative. The c o n v e n t i o n a l p r a c t i c e s of
c o n t a m i n a t i o n control have f o c u s e d on p a r t i c u l a t e c o n t a m i n a n t s but h a v e
p a i d less a t t e n t i o n to oil o x i d a t i o n products. In order to p r o t e c t
s o p h i s t i c a t e d h y d r a u l i c components, fine p o r e filters have b e e n used.
As b o t h oil and f i l t e r m a t e r i a l s are dielectric, f r i c t i o n b e t w e e n t h e m
g e n e r a t e s static electricity. A c c u m u l a t e d static e l e c t r i c i t y causes
spark d i s c h a r g e s and d a m a g e s oils. T h e r e f o r e h y d r a u l i c valve p r o b l e m s
have not b e e n s o l v e d yet, even t h o u g h the c o n v e n t i o n a l c o n t a m i n a t i o n
control is implemented.
This p a p e r d i s c u s s e s the m e c h a n i s m of h y d r a u l i c valve lock due to
oil o x i d a t i o n p r o d u c t s a n d the s y n e r g y e f f e c t s of oil o x i d a t i o n
p r o d u c t s and p a r t i c u l a t e c o n t a m i n a n t s for v a l v e failures and v e r i f i e s
that the findings of the e x p e r i m e n t can e x p l a i n the h y d r a u l i c valve
p r o b l e m s in the fields.

KEYWORDS: h y d r a u l i c systems, oil o x i d a t i o n products, spark discharges,

free radicals, s o l v e n t extraction, f r i c t i o n coefficient, filters,
electrostatic

INTRODUCTION

M o d e r n m a c h i n e s are sophisticated. H y d r a u l i c s y s t e m s p l a y an
i m p o r t a n t role in the control of such machines. The p r e s s u r e of these
h y d r a u l i c systems is high, the m o t i o n fast, and the control a c c u r a t e
w i t h p r o p o r t i o n a l v a l v e s and servo valves w h i c h are s e n s i t i v e to oil
contamination.

!
M a n a g i n g Director, K L E E N T E K Industrial Co., Ltd., 2-7-7, Higashi-
Ohi, shinagawa-ku, Tokyo, Japan.

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SASAKI ON OIL OXIDATION PRODUCTS 475

In order to protect hydraulic components, oil contamination control

has been implemented. In accordance with the theories of contamination
control which have focused o n particulate contaminants, modern
hydraulic systems use filters either on the main oil stream or on by-
pass line. The old oil cleanliness standards covered particles larger
than 5 micrometer [i, 2], but they were insufficient for the
sophisticated hydraulic systems. SAE introduced a new standard covering
particles larger than 2 micrometer [3].
Accordingly pore sizes of filters, especially of by-pass filters,
have become finer and finer. However hydraulic valve problems have not
been solved yet. It is because the conventional standards and practices
have paid attention to solid and particulate contaminants but little to
oil oxidation products which will be inevitably produced in the course
of operation of hydraulic systems.
The author has investigated hydraulic problems which may be caused
by oil oxidation problems and found that static electricity is
generated during filtration and that spark discharges of static
electricity will crack oil oxidize oil [4,5]. These findings suggest
that oil will deteriorate during filtration and that oil oxidation
products should not be overlooked when hydraulic valve problems are
discussed.
This paper discusses the mechanisms of hydraulic valve sticking
caused by oil oxidation products and verifies that the results of
experiments explain the phenomena seen in the field. These
investigations can also explain the phenomena that hydraulic valve
problems happen when hydraulic systems start up in the morning after
holidays and that short downtime of hydraulic systems happens during
operation.

CONTAMINANTS IN HYDRAULIC OILS

Extraction of Contaminants

The most popular methods to check contamination of hydraulic oils

are particle count and gravimetric method. Particle count methods can
tell us the number of particles in a certain size ranges and
Gravimetric method the gross weight of contamination in i00 mL oil.
Gravimetric method is sometimes used together with particle count.
Since SAE AS4059 included particulate contamination of 2 micrometer,
the users who use ISO 4406 cleanliness standard include particles
greater than 2 micrometer in addition to the particles greater than 5
micrometer group and 15 micrometer group. Currently particle count is
very popular. Although both particle count and gravimetric methods are
useful, they cannot tell us what the contaminants are.
In order to know what contaminants are, the author sometimes uses
solvent extraction methods, although they are time consuming. An
example of solvent extraction methods is shown in Figure i and several
examples of extracted solvent soluble and insoluble fraction are listed
in Table i.

Contaminatedoil I
I Extractionwith peUoieumether
I
1 olublo I

.~Extraction with pyridine

Oil Oxidation I I decomposed & wvarmetal

~addifvcs
FIG. i-- An e x a m p l e of s o l v e n t extraction of c o n t a m i n a t e d oil.

The sample oil Nos. 1 and 2 s h o w n in Table 1 were t a k e n from oil

r e s e r v o i r s of i n j e c t i o n m o l d i n g machines. The sample Nos. 3, 4, and 5
were c o n t a m i n a n t s c o l l e c t e d f r o m the surfaces of e l e c t r o d e s of
e l e c t r o s t a t i c oil c l e a n e r s w h i c h c l e a n e d h y d r a u l i c oils of i n j e c t i o n
m o l d i n g machines 9 The r e s u l t s of solvent e x t r a c t i o n indicate that the
m a j o r i t y of c o n t a m i n a n t s in the u s e d h y d r a u l i c oils are toluene soluble
f r a c t i o n w h i c h r e p r e s e n t s r e s i n o u s m a t t e r or oil o x i d a t i o n p r o d u c t s and
that i n o r g a n i c m a t e r i a l s or w e a r m e t a l s are the m i n o r i t y of
c o n t a m i n a n t s in h y d r a u l i c oils. In order to p r e v e n t h y d r a u l i c problems,
it is i m p e r a t i v e to k n o w the p r o p e r t y of oil o x i d a t i o n p r o d u c t s w h i c h
are the m a j o r i t y of c o n t a m i n a n t s in h y d r a u l i c oils.

TABLE 1-- Examples of the r e s u l t s of solvent extraction.

S a m p l e No. 1 2 3 4 5
Unit mg/mL mg/mL Mg Mg mg
(%) {%) (%) (%) (%)
n-Hexane 15.3/200 13.6/100 84.8 37 30.1
Insoluble (100) (i00) (I00) (i00) (i00)
.Toluene 7.2 9.2 52.8 25 22.4
Soluble (47) (67.6) (62.3) (67.6) (74.4)
Pyridine 6.3 3.6 25.9 9.7 6.2
Soluble (41.2) (26.5) (30.5) (26.2) (20.6)
Pyridine 1.8 0.8 6.1 2.3 1.5
Insoluble (ii. 8) (5.9) (7.2) (6.2) (5.0)
Oil age 2 3 3 3 4
(year)

M o l e c u l a r W e i g h t of Oil O x i d a t i o n Products

H y d r a u l i c oil u s e d in an i n j e c t i o n m o l d i n g m a c h i n e for one y e a r was

f i l t e r e d w i t h a 0.8 m i c r o m e t e r m e m b r a n e filter. M o l e c u l a r w e i g h t of oil
o x i d a t i o n p r o d u c t s c o l l e c t e d on the m e m b r a n e filter were a n a l y z e d by
GPC. The r e s u l t is shown in F i g u r e 2.
The first part of m o l e c u l a r w e i g h t of oil i n s o l u b l e f r a c t i o n f o r m e d
a n o r m a l d i s t r i b u t i o n in the range of 500 ~ i0,000 w i t h the p e a k s b e i n g
at a p p r o x i m a t e l y 2,000 and the s e c o n d part of it was a flat
c h r o m a t o g r a m r a n g i n g from i0,000 ~ i 0 0 , 0 0 0 [6].

>
w ~

I 1 I I'~
500 2000 10K 100K
Molecular W e i g h t
FIG. 2 -- M o l e c u l a r w e i g h t of oil o x i d a t i o n p r o d u c t s in
the oil u s e d for one y e a r (oil insoluble).

The P r o p e r t y Of Oil o x i d a t i o n Products

P a r a f f i n i c h y d r o c a r b o n s w h i c h are the m a i n c o m p o n e n t s of m i n e r a l
h y d r a u l i c oils are non-polar. On the o t h e r h a n d o x i d a t i o n p r o d u c t s of
oil h a v e p o l a r groups. As m e t a l s have a large p e r m a n e n t d i p o l e moment,
oil o x i d a t i o n p r o d u c t s will be a d s o r b e d on the metal surfaces. W h e n
h y d r a u l i c oils o x i d i z e in use, oil o x i d a t i o n p r o d u c t s w i l l be a d s o r b e d
on the metal surfaces as shown in Figure 3. Oil i n s o l u b l e o x i d a t i o n
p r o d u c t s in s u s p e n s i o n will a l s o be a g g l o m e r a t e d . C o l l o i d a l p a r t i c l e s
of p o l y m e r i z e d oil o x i d a t i o n p r o d u c t s will be c o n d e n s e d in the small
gap b e t w e e n a v a l v e spool and a sleeve [7].

FIG. 3 -- A n e x a m p l e of v a l v e p i s t o n a n d s l e e v e
c o a t e d w i t h b r o w n i s h oil o x i d a t i o n p r o d u c t s .

EXPERIMENTAL

F r i c t i o n c o e f f i c i e n t s of n e w oil a n d o x i d i z e d oil w e r e m e a s u r e d at
two line c o n t a c t s .

Friction Measurinq Apparatus

The t e s t a p p a r a t u s is s h o w n in F i g u r e 4. A spool was p l a c e d o n a

s l i d i n g g u i d e w h i c h w a s m a d e of two g a u g e b l o c k s a s s e m b l e d at r i g h t
angles. T h e s p o o l c a n s l i d e on the s l i d i n g g u i d e in the d i r e c t i o n of
the spool a x i s w i t h o u t z i g z a g motion. T h e s p o o l was p u s h e d b y a p u s h i n g
rod m o u n t e d o n a l o a d cell d r i v e n b y a l i n e a r head. The f r i c t i o n
c o e f f i c i e n t w a s m e a s u r e d as the p r e s s u r e o n the l o a d cell a n d r e c o r d e d
by a pen recorder.
F r i c t i o n c o e f f i c i e n t s of t h r e e oil s a m p l e s w e r e m e a s u r e d at a
r e p e a t e d s l i d i n g a n d at the first s l i d i n g a f t e r r e s t i n g the s p o o l f o r
5, i0, 15 a n d 24 hours. F r i c t i o n c o e f f i c i e n t s of a n e w oil w h i c h w a s
c o n t a m i n a t e d w i t h A C F T D w e r e m e a s u r e d at the r e p e a t e d sliding.

Control switch

t~'o~C ,, Joo I
II~jl II . ,o I
+.,v+ , ' It !
~_l~[oa0~,,~ ~ h
iI 1 \'~" V . ~/ !
"T\~i /~.'/", J+ J" '~ ~ ' ,. --
Gauge block Pushing rod Linear head

FIG. 4 -- G e n e r a l a r r a n g e m e n t of f r i c t i o n m e a s u r i n g a p p a r a t u s .

M o l e c u l a r W e i q h t of the Oil S a m p l e s

The m o l e c u l a r w e i g h t of the test oils was a n a l y z e d b y GPC. The

r e s u l t s of a n a l y s e s are s h o w n in F i g u r e 5. T h e m o l e c u l a r w e i g h t of the
n e w oil h a d a n o r m a l d i s t r i b u t i o n in the r a n g e f r o m 200 to 800 w i t h a
p e a k at a b o u t 400 in m o l e c u l a r weight. T h e m o l e c u l a r w e i g h t of the oil
o x i d i z e d b y a R B O T (Rotating B o m b O x i d a t i o n Test) a p p a r a t u s for 3 h o u r s
h a d t h r e e g r o u p s of m o l e c u l e s . The first m o l e c u l e s g r o u p h a d the s a m e
d i s t r i b u t i o n as that of t h e n e w oil a n d the s e c o n d g r o u p r e p r e s e n t i n g
oil s o l u b l e f r a c t i o n h a d the d i s t r i b u t i o n in the r a n g e f r o m 200 to 1200
w i t h two p e a k s at 450 a n d 900 in m o l e c u l a r w e i g h t a n d the t h i r d
r e p r e s e n t i n g oil i n s o l u b l e f r a c t i o n in the r a n g e f r o m 300 to i0000 w i t h
a p e a k at a b o u t i000 in m o l e c u l a r weight.

3 Ho.urs(~xldfzedand Filr
Base 01I delecled by I%deteclor

Column: JAIGEL- 1 HF, 2HF

Carrier." Chlereform
Sample: 3 ml
Flow rale: 3.5 ml/mln.
New 'aralfln Base Oil Pressure: 35 kglcm2
dele, :ed by RI detector Temperalure: 303 K
Deteclor: RI 32 my
UV 0.5 ABS
Chart speed: 15 cm/hr

~ , ~ # 'ern0wd by ELC cleaning

/ ,
LIV dele~ted og soluble.
oxidatio~ products i~ the

I
I f
~ base oll oxidized for 3
hours and cleaned wilh ELG
,, l ,
i

~I ,,
200 450 900 2000 10000
Molecular Weight
FIG. 5 - M o l e c u l a r w e i g h t d i s t r i b u t i o n of the oil
o x i d i z e d b y R B O T a p p a r a t u s for 3 hours.

Friction Coefficient of New Oil

F r i c t i o n c o e f f i c i e n t s o f n e w o i l a r e s h o w n i n F i g u r e 6. There was
no difference between the friction coefficients at the repeated sliding
a n d a t t h e f i r s t s l i d i n g a f t e r r e s t i n g , r e g a r d l e s s o f r e s t i n g time. It
is b e c a u s e t h e m o l e c u l e s o f n e w o i l a r e a t r a n d o m a n d d o n o t o r i e n t i n
the space between the valve spool and gauge blocks and because the
s h e a r i n g f o r c e s of s u c h a n o i l f i l m is m e a s u r e d .

t O.Z
0.3

O.Z 0.2 O.Z /.~"-"~

0, l O.L 0.1 0. I
o=~ l
[~ 0 II , , , , | Q 0 0 0
,, sliding I,,i sliding I~1 sliding i~1 sliding. ~ sliding
distance l - distance la distance ~" distance *" distance L,.
repeated 5 hours' rest 10 hours' rest 15 hours' rest 24 hours' rest
sliding

FIG. 6 -- F r i c t i o n coefficient of n e w p a r a f f i n base oil.

Friction Coefficient of the Oil Oxidized for 3 Hours

F r i c t i o n c o e f f i c i e n t s o f t h e o x i d i z e d o i l a r e s h o w n i n F i g u r e 7.
The friction coefficients of the oxidized oil that had three
fraction groups showed a substantial difference from those of the new
oil. The friction coefficient of the repeated sliding was almost the
s a m e a s t h a t o f t h e n e w oil. H o w e v e r t h e f r i c t i o n c o e f f i c i e n t s a t t h e
f i r s t s l i d i n g a f t e r r e s t i n g t h e s p o o l f o r 5, i0, 15 a n d 24 h o u r s w e r e
s u b s t a n t i a l l y high.

0.6" 0.5
~0.4 0.4 0.4 0,4 0.4
t..%

0.3 0;3 0.3 0.3

O
O
0.2 O.Z O.Z O.Z
0.1 O.l 0 l 0.1 0.1
U- 0 F d
0 0 ' 0 0
sliding t , d sliding I~t sliding f.,t sliding slidino t,-.t
distance l=, distance 1,. distance ~" distance l,,. distaJ[ce *'=
repeated
sliding 5 hours' rest 10 hours' rest 15 hours' rest 24 hours' re.st

FIG. 7 -- F r i c t i o n coefficient of 3 hour oxidized oil.

F r i c t i o n C o e f f i c i e n t of the O x i d i z e d Oil w i t h o u t Oil I n s o l u b l e F r a c t i o n

F r i c t i o n c o e f f i c i e n t s of t h e o x i d i z e d oil w i t h o u t oil i n s o l u b l e
f r a c t i o n a r e s h o w n in F i g u r e 8. A l l of the f r i c t i o n c o e f f i c i e n t s at
the r e p e a t e d s l i d i n g (zero h o u r resting) a n d at the first s l i d i n g a f t e r
r e s t i n g the s p o o l for 5, i0, 15 a n d 24 h o u r s w e r e a l m o s t the s a m e
r e g a r d l e s s of the r e s t i n g t i m e a n d l o w e r t h a n t h o s e of the n e w oil.
T h e r e w a s a d i s t i n c t d i f f e r e n c e in the f r i c t i o n c o e f f i c i e n t s b e t w e e n
the o x i d i z e d o i l s w i t h oil i n s o l u b l e f r a c t i o n s a n d t h o s e w i t h o u t oil
i n s o l u b l e fractions.
T h e facts s u g g e s t that the oil i n s o l u b l e f r a c t i o n s w h i c h h a v e h i g h
m o l e c u l a r w e i g h t c a u s e h i g h f r i c t i o n a n d oil s o l u b l e f r a c t i o n s r e d u c e
friction.

"-- .0.3 0-3 0.3 0.3

00~ O-Z 0.~' O.Z O.Z

0.1 O.l .

"~ o !
9~
o 0 0
LL sliding t ~ sliding t**! sliding 'Pt sliding- t,-ff sliding
distance ',, distance ~,. distance 1., distance ~" distance
l|=

repeated
slidinq
5 hours' rest 10 hours' rest 15 hours' rest 2 4 hours' rest

FIG. 8 -- F r i c t i o n C o e f f i c i e n t of the o x i d i z e d
oil w i t h o u t oil i n s o l u b l e fraction.

F r i c t i o n C o e f f i c i e n t of N e w Oil C o n t a m i n a t e d w i t h A C F T D

F r i c t i o n c o e f f i c i e n t s of the n e w oil c o n t a m i n a t e d w i t h A C F T D w e r e
m e a s u r e d at the r e p e a t e d sliding. T h e r e s u l t s are s h o w n in F i g u r e 9.
The f r i c t i o n c o e f f i c i e n t s w e r e 0.8 o r h i g h e r a n d the p a t t e r n s w e r e
irregular 9 T h i s s u g g e s t s that s o l i d p a r t i c l e s s u b s t a n t i a l l y i n c r e a s e
the s l i d i n g f r i c t i o n a n d m a k e s l i d i n g irregular.

0.9.1 .... - ...... i-

0.8" " ..........

_ 0.6

o 0.4 ....

~" 0.2- ,-~

Sliding Siding
distance distance distance Distance

FIG. 9 -- F r i c t i o n C o e f f i c i e n t of n e w oil c o n t a m i n a t e d w i t h A C F T D

F r i c t i o n w h e n A L o a d Was G i v e n To A S p o o l

In o r d e r to d e m o n s t r a t e the g l u i n g f o r c e of oil o x i d a t i o n p r o d u c t s
w h e n a l o a d w a s g i v e n to a spool for a s h o r t time, the f r i c t i o n
c o e f f i c i e n t of a s p o o l w h i c h was l u b r i c a t e d w i t h o x i d i z e d oil h a v i n g
p o l y m e r i z e d oil o x i d a t i o n products, was m e a s u r e d d u r i n g r e p e a t e d
s l i d i n g a n d i m m e d i a t e l y a f t e r the l o a d was removed, b y u s i n g the
f r i c t i o n m e a s u r i n g a p p a r a t u s s h o w n in F i g u r e 4.
A n o r m a l l o a d of 9.8 N was g i v e n to the spool for 0, i, 3 a n d 5
seconds. T h e r e s u l t s of m e a s u r e m e n t are s h o w n in F i g u r e i0. The
f r i c t i o n c o e f f i c i e n t was a b o u t 0.85 a n d a b o u t 0.65 r e s p e c t i v e l y , w h e n
the n o r m a l f o r c e of 9.8 N was g i v e n to the s p o o l for 5 a n d 3 s e c o n d s .
But it w a s as l o w as 0.3 w h e n the l o a d was a p p l i e d for 1 second. T h i s
s u g g e s t s t h a t 3 - 5 s e c o n d s a r e g o o d e n o u g h to p u s h out the v i s c o u s oil
c a u s i n g the oil o x i d a t i o n p r o d u c t s on the s p o o l to c o n n e c t w i t h t h o s e
o n the g a u g e b l o c k s at the real c o n t a c t i n g areas, but that 1 s e c o n d is
n o t e n o u g h to m a k e the oil o x i d a t i o n p r o d u c t s c o n n e c t f r o m b o t h the
sides.

Repea' .=cond
Z
withoul :

FIG. i0 -- S t a t i c F r i c t i o n C o e f f i c i e n t w i t h o u t
l o a d a n d w i t h 9 . 8 N (i kgf) load.

FIELD INVESTIGATION

S c r a t c h of the B o t t o m of Spools

Failed v a l v e s were examined. As it is d i f f i c u l t to e x a m i n e valve

sleeves, the o v e r a l l s u r f a c e s of spools were e x a m i n e d u n d e r microscope.
Figure Ii is a p h o t o g r a p h w h i c h shows t y p i c a l s c r a t c h e s on the
b o t t o m of a valve spool. The scratches are p a r a l l e l and cover a large
area. T h e y are s h a l l o w in c o m p a r i s o n w i t h the m a c h i n e d scratches.
T h e y m a y have b e e n c a u s e d b y v e r y fine p a r t i c l e s that cannot be
d e t e c t e d by p a r t i c l e count or b y surface r o u g h n e s s of the sleeve. They
are also p e r p e n d i c u l a r to the g r o o v e s on the spool. This suggests that
the valve spool slides w i t h a light load a l o n g the d i r e c t i o n of the
axis of the spool.

The w i d t h of s c r a t c h e s Parallel scratches

The c e n t e r line of a g r o o v e

FIG. ii -- A p h o t o g r a p h of the s c r a t c h e s on the b o t t o m of a spool.

A S c r a t c h on a Side of a Spool

The p h o t o g r a p h of F i g u r e 12 shows a s c r a t c h line. There are no

o t h e r s c r a t c h e s on the surface. This s c r a t c h is not p e r p e n d i c u l a r to
the g r o o v e s of the spool and crosses w i t h the d i r e c t i o n of the axis of
the spool s u g g e s t i n g that a p a r t i c l e came into the space b e t w e e n the
spool and the sleeve a n d that the spool t i l t e d d u r i n g s l i d i n g b e c a u s e
of the h i g h f r i c t i o n l o c a l l y c a u s e d b y the particle. It is well k n o w n
that b e a r i n g s will not come out if a b e a r i n g is p u l l e d while it is
tilting. W h e n a spool slides t i l t i n g in a v e r y small gap, a spool will
lock. This can be e a s i l y d e m o n s t r a t e d in a laboratory. If this
p h e n o m e n o n was c a u s e d b y a free particle, it will drop in the g r o o v e
but the s c r a t c h line c r o s s e s o v e r the groove. This means that the
p a r t i c l e is g l u e d on the sleeve and that p o l y m e r i z e d oil o x i d a t i o n
p r o d u c t s p l a y e d an i m p o r t a n t role.

FIG. 12 -- A p h o t o g r a p h of a scratched l i n e o n a spool.

Dirt in Grooves on a Spool

T h e p h o t o g r a p h o f F i g u r e 13 s h o w s a n e x a m p l e of c o m p a c t e d d i r t
removed from a groove on a spool. Oil oxidation products having polar
g r o u p c a n b e a d s o r b e d o n a n y p a r t o f a m e t a l s u r f a c e . A s t h e r e is n o
oil flow in the grooves, dirt will settle there and be glued by sticky
o i l o x i d a t i o n p r o d u c t s . I n t h e l o n g term, d i r t w i l l f i l l u p t h e
g r o o v e s . If t h e g r o o v e s w e r e f i l l e d up, t h e r e w i l l b e s i m i l a r e f f e c t s ,
i.e., n o o i l g r o o v e s o n t h e s p o o l . T h e o i l g r o o v e s p l a y a n i m p o r t a n t
role of preventing valve locks.

FIG. 13 -- D i r t removed from a grove on a valve spool.

The o u t e r s o l i d lines of Figure 14 shows an internal s u r f a c e of a

valve sleeve a n d the inner solid line of it a c i r c u m f e r e n c e of a v a l v e
spool. The d o t t e d line of a v a l v e spool (right of the figure 14) shows
the b o t t o m of g r o o v e s of a v a l v e spool.
W h e n a h y d r a u l i c s y s t e m comes to rest, spools will settle on
s l e e v e s b y gravity. The o u t e r c i r c u m f e r e n c e of a spool c o n t a c t s w i t h
the inner c i r c u m f e r e n c e of a valve s l e e v e s i t u a t e d at the bottom. The
c o n t a c t i n g area has a w i d t h l a r g e r than a line, as shown in F i g u r e s ii
and 14, and the c l e a r a n c e b e t w e e n the v a l v e and the sleeve is v e r y
small. If there are no g r o o v e s on the spool, there will be i n s u f f i c i e n t
oil film on the b o t t o m of the spool to t r a n s p o r t the h y d r a u l i c p o w e r
and no c o m p e n s a t i n g force will w o r k f r o m the b o t t o m of the spool, w h e n
p r e s s u r e is a p p l i e d to the h y d r a u l i c system. T h e r e f o r e the spool will
be p r e s s e d d o w n on the sleeve w i t h a d d e d p r e s s u r e o w i n g to gravity. If
oil o x i d a t i o n p r o d u c t s exist on the s u r f a c e of the spool a n d the
sleeve, the spool will be g l u e d to the s l e e v e w h e n it is p r e s s e d down.
F i g u r e 14 i n d i c a t e s that the net force to w o r k on a spool is the
mass of the spool plus the h y d r a u l i c n o r m a l force on the spool. The
h y d r a u l i c force on the spool is large w h e n a spool has no g r o o v e s but
it is less w h e n a spool has grooves.

A spool w i t h g r o o v e s A spool w i t h o u t g r o o v e s

FIG. 14 ~- S c h e m a t i c p i c t u r e of a valve spool

w i t h g r o o v e s (right)and w i t h o u t g r o o v e s (left).

The a u t h o r has p r e v i o u s l y e x a m i n e d the c o m p o s i t i o n of m e t a l l i c

e l e m e n t s in c o n t a m i n a n t s w h i c h w e r e c o l l e c t e d from the c i r c u l a t i n g oil
a n d a s o l e n o i d valve of an i n j e c t i o n m o l d i n g m a c h i n e and p u b l i s h e d a
p a p e r e l s e w h e r e [8]. An e x a m p l e of the c o m p a r i s o n is shown in T a b l e 2.

T A B L E 2 -- A n e x a m p l e of e l e m e n t a l a n a l y s i s of c o n t a m i n a n t s in
a r u b b e r i n j e c t i o n m o l d i n g machine.
The L o c a t i o n of C i r c u l a t i n g Oil Solenoid Valve
Contaminants in R e s e r v o i r Block
Specimen Petroleum ether P e t r o l e u m ether
insoluble insoluble
Ash 27.9 mg 25.4 mg
Zn 62.3% 18.6%
Fe 1.9 21.4
Cu 2.1 i.i
Pb 3.5
Cr 6.1 3.5
A1 1.1
P
Ca 1.6 3.7
Ba 0.6
Mg 0.2 0.6
Na 0.7 i. 7

The p e r c e n t a g e of ferrous w e a r m e t a l s in the c o n t a m i n a n t s in v a l v e

blocks was h i g h e r t h a n that in the c i r c u l a t i n g oil, i n d i c a t i n g these
m e t a l s w e r e d r a w n a n d c o l l e c t e d b y the m a g n e t i c force of the s o l e n o i d
valve and b e c a u s e s t i c k y oil o x i d a t i o n p r o d u c t s g l u e d these f e r r o u s
m a t e r i a l s in the v a l v e block.

DISCUSSION

The r e s u l t s of solvent e x t r a c t i o n a n a l y s i s indicate, as s h o w n in

Table i, that the m a j o r i t y of c o n t a m i n a n t s in h y d r a u l i c oils u s e d o v e r
long time p e r i o d s are oil o x i d a t i o n products. T h e y have p o l a r i t y a n d
will be a d s o r b e d on metal surfaces as shown in Figure 3. There are two
kinds of oil o x i d a t i o n products. One is an oil soluble fraction a n d the
other oil insoluble, as shown in F i g u r e 2. The oil s o l u b l e f r a c t i o n
reduces friction, as shown in Figure 8.
The m a j o r i t y of oil o x i d a t i o n p r o d u c t s are p o l y m e r and i n s o l u b l e in
oil as s h o w n in F i g u r e s 2 and 5 and T a b l e i. T h e y cause h i g h f r i c t i o n
as shown in F i g u r e 7 but the same o x i d i z e d oil s h o w e d s u b s t a n t i a l l y l o w
f r i c t i o n as shown in Figure 8 a f t e r p o l y m e r i z e d oil insoluble f r a c t i o n s
w e r e r e m o v e d w i t h e l e c t r o s t a t i c oil cleaner. This suggests that the oil
i n s o l u b l e f r a c t i o n of oil o x i d a t i o n p r o d u c t s is harmful to h y d r a u l i c
valves.
W h e n a n o r m a l force was g i v e n to a v a l v e spool l u b r i c a t e d w i t h
o x i d i z e d oil for a few second, the spool was g l u e d as shown in F i g u r e
I0. The g r o o v e s o n a v a l v e spool p l a y an i m p o r t a n t role for r e d u c i n g
p r e s s u r e on a spool as shown in F i g u r e 14. W h e n g r o o v e s on a spool w e r e
free of dirt, a n o r m a l force works to p r e s s the spool d o w n on a sleeve.
Oil o x i d a t i o n p r o d u c t s also p l a y an i m p o r t a n t role of in filling up the
g r o o v e s on a spool. Solid p a r t i c l e s also cause h i g h and i r r e g u l a r
f r i c t i o n as s h o w n in Figure 9. A h i g h c o n t e n t of ferrous w e a r m e t a l s
was found in v a l v e b l o c k s where oil o x i d a t i o n p r o d u c t s were c o a t e d as
shown in F i g u r e 3 and T a b l e 2, t h e r e f o r e there is no doubt that
c o e x i s t e n c e of s o l i d p a r t i c l e s and oil o x i d a t i o n p r o d u c t s are h a r m f u l
to h y d r a u l i c valves.
I n v e s t i g a t i o n of f a i l e d h y d r a u l i c v a l v e s shows that valve l o c k w i l l
h a p p e n w h e n a spool tilts d u r i n g sliding. W h e n a solid p a r t i c l e c o m e
into the space b e t w e e n a spool and a sleeve a n d contacts them, the
local f r i c t i o n will b e c o m e high, as shown in Figure 12, and the spool

will tilt. This will occur w h e t h e r a p a r t i c l e is free or glued.

This will also h a p p e n even w h e n a c o l l o i d of oil o x i d a t i o n products
comes into a space b e t w e e n a spool a n d sleeve. In this case, we
o v e r l o o k such phenomena, as we cannot see a n y scratch. This suggests
that solid p a r t i c l e s and p o l y m e r i z e d oil o x i d a t i o n p r o d u c t s have
synergistic effects on h y d r a u l i c valve problems.
In order to p r e v e n t h y d r a u l i c valve problems, it is imperative to
remove p o l y m e r i z e d oil o x i d a t i o n products. C u r r e n t l y m e c h a n i c a l filters
are the main tools of c o n t a m i n a t i o n control of h y d r a u l i c oils.
O x i d a t i o n of h y d r a u l i c oils will be a c c e l e r a t e d b y u s i n g mechanical
filters, if the oils are d i e l e c t r i c [4], [5]. Oil o x i d a t i o n products
can be found a n y w h e r e in h y d r a u l i c systems. The k e y p r e v e n t i n g
h y d r a u l i c valve p r o b l e m s is to remove b o t h solid p a r t i c l e s and
p o l y m e r i z e d oil o x i d a t i o n products. It is i m p o r t a n t to r e v i e w the
current methods of c o n t a m i n a t i o n control w h i c h are b a s e d on m e c h a n i c a l
filters which m a y p r o m o t e oil oxidation. The t e c h n o l o g y of
electrostatic oil cleaners m a y give p r o m i s e to a s o l u t i o n as shown in
Figures 5 and 8.

CONCLUSION

Hydraulic valve failures are caused not o n l y b y solid p a r t i c l e s but

also by p o l y m e r i z e d oil o x i d a t i o n products. These two contaminants have
synergetic effects t o w a r d h y d r a u l i c valve problems. To p r e v e n t
h y d r a u l i c valve problems, it is imperative not o n l y to remove both
solid p a r t i c l e s a n d p o l y m e r i z e d oil o x i d a t i o n products, but to consider
alternative f i l t r a t i o n and particle removal t e c h n o l o g y if conventional
filtration p r o d u c e s s i g n i f i c a n t dielectric effects. An e l e c t r o s t a t i c
oil cleaner m a y be a candidate.

REFERENCES

[i] NAS 1638

[2] ISO 4406

[3] SAE AS4059, 1990

[4] Sasaki, A, Uchiyama, S., and Yamamoto, T., "Generation of Static

E l e c t r i c i t y D u r i n g Oil filtration" Lubrication Engineering, Vol.
55, 9, 1999, pp.14 - 21.

[5] Sasaki, A, Uchiyama, S., and Yamamoto, T., ~Free Radicals and Oil
A u t o - O x i d a t i o n Due to Spark D i s c h a r g e s of Static Electricity",
Lubrication Engineering, Vol. 55, 9, 1999, pp.24 - 27.

[6] Sasaki, A., Tobisu, T., Uchiyama, S. and Kawasaki, M., "GPC
Analysis of Oil Insoluble O x i d a t i o n Products of Mineral Oil",
Lubrication Engineering, Vol. 47, 1991, pp. 525 - 527.

[7] Georges, J.-M., Loubet, J.-L. Tonck, A. Mazuyer, D. and Hoornaert,

P., "On the M e c h a n i c a l Properties of O v e r b a s e d C a l c i u m D e t e r g e n t
films" Proceedings of Japan International Tribology Conference,
Nagoya, 1990, p p . 5 1 7 - 522.

[8] Sasaki, A, Kawasaki, M., Sakai, T. Kojima, H and Takayama, S., ~A

Study of Hydraulic Valve Problems", Lubrication Engineering, Vol.
45, 3, 1989, pp.140-146.

Rust Inhibitor Contamination-Related Problems in Military Aircraft Hydraulic

Systems

Reference: Sharrna, S. K., Snyder, C. E., Jr., Gschwender, L. J., Liang, J. C., and
Schreiber, B. F., "Rust Inhibitor Contamination-Related Problems in Military
Aircraft Hydraulic Systems," Hydraulic Failure Analysis: Fluids, Components, and System
Effects, ASTM STP 1339, G. E. Totten, D. K. Wills, and D. Feldmann, Eds., American
Society for Testing and Materials, West Conshohocken, PA, 2001.

Abstract: Stuck servovalves were observed during pre-flight checks in some aircraft
using MIL-PRF-83282 hydraulic fluid. Analysis of hydraulic fluid samples and stuck
valves as described in the paper provided a link between valve failures and barium
dinonylnaphthalene sulfonate (BSN) content of the hydraulic fluid. The BSN
contamination was traced to residual MIL-PRF-6083 preservative fluid that had not been
drained from components before installation on the aircraft. The hypothesis was
validated by laboratory tribological experiments using a reciprocating tribometer and
grazing angle microscope Fourier transform infrared spectroscopy. Corrective actions
included reemphasizing procedures to drain MIL-PRF-6083 from components and
establishing a 10 ppm maximum limit for barium in new MIL-PRF-83282.
Since the corrective actions were taken, no valves have locked up, further validation
that the preservative fluid, MIL-PRF-6083, as a contaminant in the operational aircraft, is
the root cause of the valve lockups. The recommended corrective actions were: l)
removing and cleaning the hydraulic valves; 2) assuring that the barium content of the
aircraft hydraulic fluid does not exceed 15 ppm.
Other factors besides the presence of BSN which contributed to the valve-sticking
problem included: the elevated hydraulic fluid temperature, the valve design and
materials, and the duty cycle. The simplest and most cost-effective solution to the
problem was limiting the amount of BSN in the aircraft hydraulic system. Other aircraft
hydraulic systems problems perceived to be caused by BSN contamination are discussed.

Keywords: Hydraulic Components, Hydraulic Fluids, Barium Dinonylnaphthalene

Sulfonate, Stuck Servovalve, Infrared Spectroscopy

1 Air Force Research Laboratory, Materials and Manufacturing Directorate, Wright-

Patterson Air Force Base, Ohio.
2 The University of Dayton Research Institute, Dayton, Ohio

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490 HYDRAULICFAILURE ANALYSIS

Introduction

The rust-inhibited fluids, MIL-PRF-6083 (Military Specification MIL-PRF-6083,

"Hydraulic Fluid, Petroleum Base, for Preservation and Operation," NATO Code Number
C-635) and MIL-PRF-46170 (Military Specification MIL-PRF-46170, "Hydraulic Fluid,
Rust-inhibited, Fire Resistant Synthetic Hydrocarbon Base," NATO Code Number H-
544), are used by the U.S. Armed Forces, as preservative/storage hydraulic fluids. Their
use traces back to a long-standing tradition, as described in military technical orders, of
using rust-inhibited hydraulic fluid for the overhaul, shipment and storage of hydraulic
components. For most aircraft, when a component is needed, it is removed from the
shelf, the rust-inhibited hydraulic fluid is drained and discarded, and then the component
is installed. However, for some aircraft/components, it is impossible to remove all but a
small amount of the storage fluid, which then gets mixed with the operational hydraulic
fluid, MIL-PRF-83282 (Military Specification MIL-PRF-83282, "Hydraulic Fluid,
Petroleum Base: Aircraft Missile, and Ordnance," NATO Code Number H-537),
throughout the entire hydraulic system. It is also possible the draining step is omitted to
save time and fluid disposal.
The rust-inhibited fluids are formulated with a barium-containing additive [1] that
the operational fluids do not contain. The justification for using rust-inhibited hydraulic
fluid for component storage goes back beyond the memory of the current experts working
in military hydraulic fluids. Its use probably goes back to severe corrosion problems
experienced with a water-containing nonflammable experimental hydraulic fluid that was
evaluated in the 1945-1950 time frame. Also rust-inhibited fluid has existed since the
1940s and was originally used in Army howitzers as a recoil mechanism fluid. At that
time, there was widespread use of corrosion-prone steels in aircraft hydraulic systems
which would corrode in air, with humidity, and the thinking was probably that the
preservative fluid was certainly preferable for stored hydraulic components.
Today, many hydraulic components are made from corrosion resistant steels except
the bearings and other wear parts in the pumps and motors where long life is required.
While some users have started to store the components in the operational fluids, the
majority of them continue using the preservative fluids. The preservative fluids pose two
problems. First, due to the presence of barium, these fluids should be disposed of as
hazardous waste. Second, the presence of even small quantities of the preservative fluid
in the aircraft hydraulic system have caused operational malfunctions. Some of these
problems and their possible remedies are discussed in the following.

Stuck Servovalves

Isolated lock-ups of servovalves were observed in some aircraft hydraulic actuators in the
field during the pre-flight checks when hydraulic system pressure was not applied [2]. It
was believed that during flight, the locked condition would be overpowered by the system

hydraulic pressure. However, some maneuvers require a "boost ofF' condition (hydraulic
system not operating), and a catastrophic incident was possible if the flight control
servovalve locked. The lock-up condition occurred in a poppet type check valve,
schematically shown in Figure 1. The knife edges on the seat seal against the poppet face
when the valve is closed. During operation, the valve closes and opens frequently. In
case of stuck valves, the seat would not separate from the poppet face to allow the
hydraulic fluid to flow.

guide

pop.pet~.xl ~ seat hydraulicfluid

spring~ ~ r

knife edges
Valve Closed/ Stuck

guide

P~ k ~ seat hydraulicfluid
spnn
k)\\\\
knife edges
Valve Open/ Not Stuck
Figure 1. Schematic of Poppet Type Valve in Aircraft Servovalves
(Sharma et al, 1999)

A variety of possible causes of the lockups were considered. These included

particulate contamination, chemical contamination, valve design, operation and
maintenance. A two-prong approach was adopted to find the root cause of the valve lock-
ups. First, the fluid samples from the aircraft that experienced lock-ups were analyzed
and compared to the samples from the aircraft that did not have lock-ups. Second, the
valve parts from different aircraft were analyzed for surface deposits. The presence of the
preservative fluid was detected by analyzing the amount of barium in the hydraulic fluid
samples by inductively coupled plasma emission spectroscopy (ICP). ~High
concentrations of barium were found in the fluid samples from the aircraft with multiple
lock-ups and vice versa, as shown in Figure 2. This indicated the presence of BSN, the
rust inhibitor in the preservative fluids. Lockups were observed in systems with barium
content of as low as 20 ppm. Aircraft with higher concentrations of BSN experienced
frequent lock-ups. When new components were installed on these aircraft, the
preservative fluid had not been drained, which led to the build-up of BSN.

I I I I I I I I I I I |
100

80-

60-

.=. 40-

20-

i ---'l
Multiple
I I
HN I f~ll
One
I I I ~l -I
None
~l

Servovalve Lock-ups

Figure 2. Servovalves Lock-ups versus Barium Content

(Sharma et al, 1999)

Various components of the check valve were analyzed by grazing angle microscope
Fourier transform infrared (GAM-FTIR) spectroscopy (see Figure 1). The outsides of the
poppets did not show any scratches from possible particulate contamination. Further
checking with GAM-FTIR did not show any surface deposits that could have caused the
jamming. Similar observations were made for the guide. The faces of the poppets from
stuck valves had two concentric rings where the poppet mated with the seat, as shown in
Figure 3. The poppets were rinsed with hexane to remove residual fluid from the surface.

The GAM-FTIR analyses of the tops of the poppets from stuck valves revealed the
presence of a material with an infrared spectrum closely resembling the infrared spectrum
of barium dinonylnaphthalene sulfonate (BSN). Such deposits were not observed on the
poppet faces from the valves that never locked-up [2].

Figure 3. Poppet from a Stuck Servovalve

(Sharma et al, 1999)

Procedures were reinforced to require draining of the preservative fluid from all
hydraulic components prior to installation on the aircraft. The aircraft was flushed with
the operational hydraulic fluid, MIL-PRF-83282, until the barium content no longer
exceeded a 15 ppm limit. The MIL-PRF-83282 specification was also revised (Revision
D) limiting the barium content in the fluid to a maximum of 10 parts per million. In
addition to flushing the aircraft hydraulic system with the operational fluid, the
servovalves were replaced. This action created a significant number of check valves that
were not suitable for service. A simple cleaning procedure using toluene in an ultrasonic
cleaner was developed to remove the deposit from the poppet surface. When
recommended procedures were implemented, the stuck servovalve problem disappeared
and has not recurred.
The surface deposit similar to those observed on the poppets of the stuck valves was
successfully generated in the laboratory testing. The interaction between the poppet and
the seat was simulated by using a reciprocating tribometer. The poppet and seat were
cleaned using toluene in an ultrasonic cleaner. The poppet was held in the modified
sample holder and the seat was placed on top of the poppet. The test fluid was then

placed on the poppet. Motion was provided to the seat by the reciprocating pin, as shown
in Figure 4.
A frequency of 10 Hz and amplitude of 0.1 mm were used to create rubbing
between the seat and the poppet. The poppet surfaces were analyzed by GAM-FTIR to
see if deposits were formed like those found on the stuck valves from the aircraft. A
mixture of the operational fluid (MIL-PRF-83282) and the preservative fluid (MIL-PRF-
6083) was used as the test fluid. The mixture was formulated such that the barium level
in the test fluid was approximately 200 ppm. A higher level of barium, and therefore
BSN, was chosen to accelerate the test. The normal load and temperature were optimized
to produce the surface films formed on the poppet face resembling those observed on the
faces of the stuck valves. Friction force and electrical contact resistance between the seat
and the poppet were recorded throughout each test. While an increase in contact
resistance indicated the formation of a surface deposit/film, the friction force did not
provide any meaningful data. After each test, the seat and the poppet were ultrasonically
cleaned in hexane right before GAM-FTIR analysis. It was observed that 70~ and 30 N
load were the optimum test conditions to generate the type of films observed on the stuck
poppets from aircraft. The contact resistance quickly increased to very high values as
shown in Figure 5, indicating the formation of the surface film. The surface analysis
showed that the films generated on the poppet face during these tests were similar to
those found on the faces of the poppets from the stuck valves, as shown in Figure 6.
Similar to the films observed on the stuck valves from aircraft, the films generated during
the tests also were removed easily with toluene.

Figure 4. Test Fixturefor Laboratory Simulations of Surface Deposits

10 7
' ' ' I ' L , I ' ' ' I ' ' ' I ' ' ' ' ' '

106

l0 s

= 10 4

lo 3 ....................... i ........... ! .......... i ........... i ..........

10 2 . . . . . . . . . . . . . . . . . . . . . .
i
~ . . . . . . . . . . ; . . . . . . . . . . . ; . . . . . . . . . . . r . . . . . . . . . .

o I0 ) ...................... i ........... i ........... ! ......................

10 ~
0 20 40 60 80 100 120

Time (minutes)

F i g u r e 5. Contact Resistance between Poppet and Seat during Laboratory Simulations

with the MIL-PRF-83282 and MIL-PRF-6083 Mixture at 70~ and 30N Load
(Sharma et al, 1999)

~ 26
~1375
~ 10 1463 121 1045
1157
-6 2922

-22 . . . . ' ' ' '

4000 3650 3300 2950 2600 2250 1900 1550 1200 850
Wavenumber
6a. Transmission FTIR Spectrum of Barium Dinonylnaphthalene Sulfonate (BSN)

MAX=85.41 T '1~047
~

1180
[--,

MIN=67.55T
4000 35oo 3600 25"00 2obo 1500 cm-1 1600
Wavenumber
6b. GAM-FTIR Spectrum of Poppet Face of a Stuck Valve, after Rinsing with Hexane

98~

96
8
1173
94-

92
2923

4000 3500 3000 2500 2000 1500 1000

Wavenumber
6c. GAM-FTIR Spectrum of Poppet Face from Laboratory Simulation

Figure 6. FTIR Analyses of BSN and Surface Deposits on Poppet Faces

(Sharma et al, 1999)

Extending Rolling Element Bearing Life in Hydraulic Systems with Water-based

Fluids - The Grease Lubrication Option

Reference: Poll, G. W., "Extending Rolling Element Bearing Life in Hydraulic Sys-
tems with Water-based Fluids - The Grease Lubrication Option," Hydraulic Fail-
ure Analysis: Fluids, Components, and System Effects, ASTM STP 1339, G. E. Totten,
D. K. Wills, and D. Feldmann, Eds., American Society for Testing and Materials, West
Conshohocken, PA, 2001.

Abstract: This paper deals with the influence of rolling bearing lubrication on bearing
operation and service life. Hydraulic fluids, especially when they contain water, do not
always provide optimum conditions. Coatings or bearing steels specifically developed
for such applications cannot completely compensate for the negative effects. It is there-
fore interesting to consider a separate lubrication system for the bearings, e.g. one based
on grease. Then, however, grease service life can be more critical than bearing fatigue or
wear. Accordingly, recent experimental and theoretical investigations into the tribologi-
cal performance characteristics of bearing lubricating greases, especially the effect of
their composition on service life, are presented.

Keywords: Rolling element bearing life, water-based hydraulic fluids, bearing lubrica-
tion, seals, grease lubrication, elastohydrodynamic fluid films, grease life

1 Professor, Department of Machine Elements, Engineering Design and Tribology, Uni-

versity of Hannover, Welfengarten 1A, 30167 Hannover, Germany

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POLL ON ROLLING ELEMENT BEARING LIFE 501

Nomenclature

AHertz Hertzian contact surface, mm 2

CK, Hertz electrical capacitance of the total contact resp. the Hertzian contact, F
C dynamic capacity of a rolling element beating, N
dm mean bearing diameter, mm
d bearing bore diameter, mm
D bearing outer diameter, mm
F~ axial load, N
Fsoh grease service life, h
h film thickness, lam
Io charging current, A
capacitance factor
kf factor for the bearing type
kh ratio of film thickness
Lloh fatigue life that 90% of a group of bearings will endure, h
MR friction torque, Nmm
n bearing rotational speed, min -1
p fluid pressure, bar
P equivalent load of a rolling element bearing, N
t time, s
T comparator signal
U hydrodnamic velocity, mm/s
U voltage, V
Z number of balls
eo electrical field constant, F/(Vm)
er relative dielectric constant
bearing temperature, ~
kinematic reference viscosity, just sufficient for complete separation of the
surfaces in rolling contact, mmVs
kinematic viscosity, mmVs

Introduction

Bearing Lubrication and Service Life

Traditionally, rolling bearings in hydraulic systems are lubricated by the fluids pre-
sent in a system, e. g. by hydraulic fluid leakage in a pump or hydraulic motor. This
does not mean, however, that these fluids represent optimum conditions for the bear-
ings. There are several reasons why both conventional fatigue-life calculations based on
Hertzian stresses, and lubrication, play an important role when considering the service
life of a bearing.

One point is that, to obtain maximum bearing fatigue life, additional stresses due
to surface imperfections must be minimized. Such imperfections consist in the natural
roughness of finished surfaces and indentations from particle contamination. These im-
perfections raise the stresses locally above the level induced by the Hertzian contact
pressures and increase the material volume susceptible to fatigue. Thus, the likelihood
of fatigue failure is increased. Indentations with a shape that generate stresses larger
than the ones caused by the intrinsic roughness can be formed by tough particles larger
than 10 to 20 micrometers. Soft particles, which may plastically deform, result in shal-
low indentations with little stress increase; very hard, but brittle particles tend to break
up into small pieces that cause less harmful, tiny indentations. With increased lubricant
film thickness, the detrimental effects of both roughness and indentations are reduced,
since the local stress peaks are more efficiently levelled out.
Another reason is that incomplete separation of the surfaces boosts the risk of fa-
tigue, not only due to normal stress increase, but also because of superimposed tangen-
tial stresses. Additionally, there will be wear which primarily causes the bearing clear-
ance to gradually increase. Thus, critical distances in the system will change, and, as a
consequence, there may be wear elsewhere, too; leakages will increase, and performance
will fall. Tangential stresses and wear require not only direct surface interaction, but
also tangential motions. Inevitably, these are present in all rolling element bearings due
to spin, Heathcote slip, roller skewing, gross rolling element slip when entering the
loaded zone after idling, and the sliding motions between the cage and other compo-
nents and between rollers and flanges.
To exploit a beating's full capability thus requires sufficient cleanness, that is, no
tough particles larger than 10 to 20 micrometers, and sufficient viscosity of the fluid in
rolling contact conditions to form adequate lubricant films. Otherwise, one has to rely
on protecting reaction layers, e.g. those formed with the help of additives.
In hydraulic systems, valves, pistons, and seals, also require particular efforts to
maintain cleanness, e. g. by filtering, so that in high pressure hydraulics the bearing re-
quirements are met. In low and medium pressure systems, on the other hand, the particle
size may exceed 25 lam and therefore be larger than desired.
What is most critical, however, is the film formation ability of the hydraulic fluids,
especially of the water-containing ones, which are increasingly used mainly because
they are less toxic, environmentally less harmful, and fire resistant. Two examples of
common water containing fluids are HFC, a mixture of Polyglycol and 45 % H20, and
HFA, a micro-emulsion with a water content of 98%. In general, for the mere purpose of
efficient power transmission, high viscosity is not a desirable feature, whereas rolling
bearings require a minimum viscosity Vl of the lubricant at operating temperature. The
high pressures (up to 4000 Mpa in the rolling contacts in some applications) mean that
the pressure-viscosity index is critical.
Water lubricated rolling beatings with standard steels like 100 Cr 6 are known to
have a short life due to premature fatigue as result of insufficient surface separation,
corrosion and hydrogen embrittlement, corrugations or continuous polishing wear; that
is because EHD-film formation is unlikely to occur with water as its viscosity is not
only low under ambient conditions but also does not increase with pressure. As Figure, 1

[1 ] shows, this also applies to HFA. HFC has a viscosity under ambient conditions
which equals that of mineral oils or the synthetic water-free hydraulic fluid HFD; how-
ever, HFC's viscosity increase with pressure is much less compared with HFD and min-
eral oil.
Accordingly, life is reduced from 2 to 24 % with HFC [2 - 4] and 0.7 to 5% with
HFA. [ 4 - 5] fluids compared to water-free lubrication. Corrosion resistant steels such
as AISI 440 C (X 102 CrMo 17) and Cronidur 30 (X 30 Cr Mo N 15 with 0.33 % nitro-
gen content) and thin chromium coatings were introduced to improve the situation.
Figure 2 shows that substantial improvements can be achieved in HFC fluid, especially
with Cronidur 30, where the computed nominal life may even be exceeded. However, in
HFA fluid, only 20% of the nominal life can be achieved even with Cronidur 30, Figure
3.
This is despite the fact that all those three materials provide good corrosion protec-
tion in static tests. However, as HFA is not able to separate the surfaces, both the chro-
mium coating and the passivating layers on the surfaces of AISI 440 C and Cronidur 30
wear off in roiling/sliding contacts and cannot protect the surfaces.
10000
mm 2

2.
1000
y " \i
Imineral ~
>" 100

"~, 10
.s

E 1
C

water I
0,1'
0 1000 2000 bar 4000
pressure p .-

Figure 1 - Pressure-viscosity relationship for different fluids at 40 ~ C [1]

l 100
%
Fluid: HFC Fluid: HFC
bearing steel: bearing
i 75 AISI440 C
- -

steel:
Cronidur 30
g s
j 2 a~
.~ 25

NU 205E 6009 6009

NA 6905
Figure 2 - Life of rolling element bearings in the medium-water-content hydraulic fluid
HFC (mixture of Polyglycol and 45 % H20), tested at 3000 rpm [11
NU 205 E: cylindrical roller bearing, C/P = 11.6
NA 6905: needle roller bearing, C/P = 7.8
6009: deep groove ball bearing, C/P = 8
I 100
%
Fluid: HFA Fluid: HFA Fluid: HFA
~E. ~ "c 75 bearing steel: -- bearing steel: - - bearing steel:
~ 100 Cr 6, AISI 440 Cronidur
?~ thin chromium
50 coating _

>e 25 -- -- 20%
.- 13%

~~ O .,.~.~__=im_ ~
NU 205E 6009 NU 205E 6009 6009
NA 6905 NA 6905
Figure 3 - Life of rolling element bearings in the -high-water-content hydraulic fluid
HFA (microemulsion with 98% water) [1], tested under the same conditions
as in Figure 2

Thus, if conventional hydraulic machinery with rolling bearings is converted to

water based fluids, a considerable reduction in life is frequently an inevitable conse-
quence. New designs, which are specifically intended to operate with such fluids, there-
fore often employ water-lubricated journal bearings. If, however, the specific advantages
of rolling bearings are to be exploited, as there are operations at low speeds with little
wear, small clearances or even preloaded installation, the solution is the same as for
process or coolant liquid pumps: that is, to provide a special lubrication system for the
bearings and separate them from the working fluids by means of suitable seals. This has
the additional benefit of keeping contaminants in the system away from the bearings
(especially fall-out from corrosion inhibitors in water-based fluids). If oils are used as
hydraulic fluids and the pressures are not too high, radial lip seals alone suffice to pro-

vide complete tightness in one direction due to their active pumping ability. When
molded from suitable elastomeric compounds such as FKM or HNBR, they can perform
well over a sufficient period of time. However, when operating with water-based fluids,
they are prone to wear. Then, a mechanical seal plus an elastomeric lip seal will be more
suitable, Figure 4. Critical system components are:
9 the mechanical face seal which may may fail among other things due to wear, ageing
of the elastomeric components or residue deposition on the faces,
9 the bearing protection seal and the bearing lubrication itself.
As to the mechanical face seals, substantial improvements have been applied
which eliminate previous causes of failure:
9 Ceramic face materials such as controlled porosity silicon carbide are extremely wear
and residue resistant and at the same time do not stick together during stops.
9Sealing-ring adapters like the composite spring shown in Figure 4 (a finger spring en-
capsulated in a specially shaped elastomeric part) provide a constant axial preload and
an exact radial centering, especially when directly incorporated into a clearance free
preadjusted bearing unit based on angular contact ball bearings.
9 EPDM (only to be used with pure water because of volume swell in oil), HNBR or
FKM elastomeric compounds offer superior ageing resistance, especially when kept
under compression at the fluid side.
As there will be always some minute liquid or vapour leakage through the me-
chanical face seal, there must be a drainage and a lip seal protecting the bearing, pref-
erably with a flinger as additional protection. At the same time, it must retain the bear-
ing lubricant. When the bearing is grease lubricated, the seal can be installed facing
outward from the bearing towards the mechanical face seal, so that its natural pumping
action keeps away the leaked fluid from the bearing. The tiny amount of base oil bleed-
ing from the grease will lubricate the lip and act as a water repellant. Substantial pro-
gress has been made in the design of those seals such as the following:
9 integration into the bearing practically eliminates run-out,
9 stainless steel counterfaces avoid corrosion damage which can destroy the lip,
9 additional axial lips protect the main lip against water which would cause it to wear
and
9 ageing resistant elastomeric compounds and low radial preloads extend the service life.

1 pump parts
2 shaft
3 sealing ring of the mechanical face seal
4 sealing contact of the mechanical face seal
5 mating ring of the mechanical face seal
9; 6 composite spring
'" 14 7 finger spring
elastomeric part of the composite spring
radially locating and statically sealing inner
collar of the composite spring, energized
grease with helical spring
10 radiallylocafingoutercollarofthe
6 composite spring
,I ~ I::==:= 11 static sealing bead of the composite spring
12 retainerforthe composite spring
13 intermediate space for catching leaking fluid
and condensed vapour
2 14 bearing (ACBB)
15 bearing seal ( moisture exclusion and lubricant
~7 retention )
16 stainless steel flinger
17 housing

Figure 4 - Part of a bearing unit with integrated mechanical face seal and
bearing protection seal [6]

The separate lubrication for the bearings may be provided either by oil or by
grease. Oils offer the greatest freedom of choice and can commonly be most easily ex-
changed when aged. However, they require additional sealing efforts, as the above-
mentioned unidirectional bearing protection seals will not suffice to retain them and at
the time protect against contaminants from outside the bearing. Further, in small encap-
sulated systems such as a bearing, it is difficult to control the amounts of oil present in
the moving contacts, thereby avoiding excessive churning, heat generation and ageing
and at the sime time providing sufficient supply. Also, the oil of numerous single bear-
ing units will have to be changed more frequently due to the smaller volumes. This will
require more effort than for one large system, so lubrication for life is preferable.
Greases simplify the sealing design greatly and inherendy provide minimum lubri-
cation. Commonly, however, the durability of greases is regarded as inferior, thus ignor-
ing substantial improvements. Efforts are continuing not only to further extend the per-
missible temperature range and to increase the limiting speed for grease lubrication, but
also to extend service life [7[. About 90% of all rolling element bearings are already lu-
bricated with grease, but grease lubrication is continuing to penetrate into areas of appli-
cation which had previously been reserved for oil lubrication, such as wheel bearings for
trucks and machine tool spindles.
The following part of this paper will thus focus on the fluid film formation proper-
ties of greases and the factors governing grease life.

Characteristics of Greases

Greases consist of a thickener, typically a metal soap, and a base oil, which may be
a mineral oil or a synthetic oil such as a polyalphaolefine (PAO) or an ester. The struc-
ture acts like a sponge which stores the base oil and releases very small quantities of oil
to the contacts which are ideally not much more than the required minimum. Due to this

so-called starved lubrication, greases form very thin, but yet sufficient films. Thus, fric-
tional losses in "surplus" fluid outside the contacts are minimized and a simple sealing
system suffices. Non-contacting gap seals and even lip seals that are installed facing
outward can retain the grease in the beating. Provided the consistency is adequate, the
thickener can be kept in the bearing by means of simple disc-like structures, such as the
back of a lip seal. The quantity of base oil pumped out by the seal will be controlled by
the intensity of oil release from the thickener; with the grease properly formulated, it
will be small enough to be tolerated and just adequate to lubricate the seal. When the
hydraulic fluid is an oil, one single elastomeric lip seal can thus contain the hydraulic
fluid in the system due to its active pumping ability and at the same time retain the
grease in the bearing, provided the grease base oil and the hydraulic fluid are compati-
ble.
The main concern is grease life, which depends mainly on the ability to supply
base oil to the contacts over a long period of time. In order to determine the service life
of lubricating greases, the diagram from the G f l "ii worksheet 3, "Rolling bearing lubrica-
tion" ("Arbeitsblatt 3, W/ilzlagerschmierung") can be used [8], Figure 5. It indicates re-
lubrication time as a function of bearing type, speed and mean diameter, albeit within
fairly large confidence limits.

L1 oo.ooo
50.000 I J
30.000 ~
20.000
.s
10.000
5.000
.~ 3.ooo
g 2.000

~
1.000
.:-
.~ 500 t
:~ 300 I
200
20 30 5070 100 200 500 1.000 2.000
kf.n.d m in 103min-l.mm
Figure 5 - Relubrication intervalsfor grease lubricated ball bearings [8]

The diagram was derived from practical experience, as the mechanisms of grease
lubrication are still not fully understood. It is only valid for lithium greases below 70 ~ C
operating temperature and does not include the influence of base oil type, thickener type
and content and additives, which are all known to have a decisive influence on the func-
tional properties [9 - 10] and life of greases. The effects of parameters such as load and
vibrations are roughly estimated using factors.
Thus, in a project sponsored by the I)GMK, iii an industrial research organization,
the impact of grease composition on the tribological operating characteristics and the
grease service life in rolling bearings was experimentally and theoretically investigated.

Experimental

Test Rig
A testing system for lubricating grease investigations in continuous operation at
speeds of up to 24,000 min z corresponding to a characteristic speed of n- dm= 1.3.106
min 1. m m was developed as part of the project, Figure 6. In addition to measuring
speed, temperature and friction torque, the lubrication conditions in the test bearings are
determined with the aid of a capacitance measuring system [12 - 15].
As test bearings, angular contact ball bearings are used. They are loaded purely
axially with the aid of an adjustable compression spring, creating equal stresses in all
rolling contacts.
~tance meas urement

thermocoupl~ A carbon brush~

E
friction torque measurement
Figure 6 - Test spindle

Measurement and computation of film thickness

The procedure for the determination of the operational grease film thickness hmeas
from the measured total electrical capacitance is based on the EHD theory after Dow-
son/Higginson and Wilson [17 - 21]. This theory allows us to compute the minimum
EHD lubricant film thicknesses hmin,thermalat the inner and outer race for non-isothermal
conditions. This way, the differing pressure angles and loads as a result of the high
speeds are taken into account, but the high spin on the inner race is ignored. The compu-
tations are based on the viscosity-temperature and viscosity-pressure relationships of the
base oils as well as on the measured bearing temperatures.
The surfaces in rolling contact are treated as the plates of a capacitor, the lubricant
between them as a dielectric and the lubricant film thickness as the distance between the
capacitor plates. The total electrical capacitance of an EHD rolling contact (inner
race/ball or ball/outer race) is determined by the electrical capacitance of its sections [12
- 13]: inlet region, Hertzian contact region and outlet region, Figure 7 (left).

I EHD-contact I
Hartzian contact
u-l!
irdat rA(~inn ntttl~,f r~rlinn
t

1" L~
0 t
t
Uram~ = film breakdown :
u _ . . . . ,,. . . . . . . ~ ...... -:,~--

u. . . . . . . . ~ ~ - - - - --]~-L
i i t t t t

R
1- t t t t t

I electrical model I t
0 t ~--
t t t
i t i i i i i
i t i i I
! I ! T~n 11. '
i
i
,
i I i t

-p ..... -p .... T ......

r-1
h~A'em
o , ' 7-
t i , ~ i i
i i i i i
ff i t i i i i t
t i i l t i

CK =kc "~o "~r A ttertz

~ ' 1_.
I . . . . .
i i i i t i
i i
h i
i
i
i
i
i
i
i
i

t~ t

Figure 7 - Capacitance model of an EHD contact and diagram of

capacitance measurement with lubricant film breakdown detection

To determine the total capacitance CK of a single contact, the lubrication gap ca-
pacitance is treated as three plate capacitors connected in parallel, the formation of in-
homogeneous fields being ignored. Since the size of the Hertzian contact is decisive for
the geometry of the whole contact zone, the total contact capacitance CK is written as a
function of the capacitance C H ~ of the Hertzian contact region:
CK=f(Cm,,z )=kc.Cm,z, with kc -~ 3...4. (1)
As a good approximation, the narrowing towards the outlet of the Hertzian contact
region can be neglected and a constant lubricant film thickness assigned to it. Its capaci-
tance CHertzthen becomes that of a simple plate capacitor:
AHertz
CHertz:EO'er" h (2)
In the present experimental set-up, the capacitance is measured via the two test
bearings connected in parallel. The test bearings in turn consist of a parallel arrangement
of Z series connections of contact capacitances CK,i and CK,oat the inner and outer race.
The following relation thus applies:

Ctotal
=2 9 :2.+ CK'i "OK'~
CK,i + CK,o (3)

The equal axial loading of the angular contact ball beatings leads us to assume that
the contact capacitances CK,i at the inner race and CK,o at the outer race are the same for
both bearings. Using the factor kh, which describes the ratio of the grease film thick-
nesses at the inner and outer race based on the computed minimum thermal EHD lubri-
cant film thicknesses hmin, thermal,
k - h ~ - hmeas o hmin thermal o
- - " = " ' (4)
h -- hi - hmeas, i hmin, tl~rmal,i

we can derive the lubricant film thicknesses hmeas,i and hmm,o from the measured total
capacitance Ctotal, since all the rolling contacts at the inner as well as at the outer race
are uniform in shape as a result of the purely axial load. If there were combined axial
and radial loads, the non-uniform distribution of the rolling body load would have to be
taken into account.
The inner rings are connected to the measuring circuit via two carbon brushes
which slide along a copper ring on the test shaft, and the outer rings are connected to it
via the housing. The measurement system uses the principle of constant-current charge.
A previously discharged capacitor, in this case the test spindle with the rolling contacts,
is charged with a constant current I0. If the grease film in the rolling contacts at the inner
and outer race forms a dielectric layer and the capacitance stays constant during the
charging phase, the voltage increases linearly with time. The required capacitance is di-
rectly proportional to the charging time tlo,d, which the capacitor needs to reach a prede-
termined voltage U,n~xwith constant-current charge:

C , ~ = .-:-~---.t ~d (5)
Umax

In order to avoid any errors when determining the charging time, a breakdown de-
tector is built into the measuring system. Due to partial or mixed lubrication there may
be metallic contacts of surface roughnesses in the rolling contacts, and the electric
charges may drain through those local short circuits. These momentary discharges result
in a voltage drop, so that the reference value Umaxis not reached without renewed charg-
ing. Without the detection system there will be errors, because it appears to the measur-
ing system that a longer period of time elapses until the reference voltage Umaxis
reached. Figure 7 (right) shows in simplified form the principle of obtaining measure-
ment data and how lubricant film breakdowns are detected.
The dielectric properties of the greases were determined experimentally in a sepa-
rate set-up consisting of a plate capacitor with a precisely known geometry. Prior to this,
the grease samples used for these measurements were subjected to shear stresses in a
roller bearing until the dielectric properties reached a stable level.

Test P a r a m e t e r s

The lubricating grease long-time tests were carried out using the following pa-
rarneters:
9 spindle bearings: B 7008 C.TPA.P4.UL,
9 a minimum of four pairs of bearings tested with each grease type,

9 grease quantity: 30% of the free bearing space,

9 rotating speed: n = 24 000 minl , characteristic speed: n- dr, ~ 1.3.106 min-l. mm,
9 axial load: Fax = 160 N (C/P = 70; this low load was chosen to ensure that grease life
and not fatigue was the limiting factor) and
9 constant cooling by means of a fan except for three test series without cooling; apart
from that, the bearing temperature was not controlled but allowed to rise freely, based
on the heat balance resulting from the actual friction losses in the bearings.
The test speeds are well above the reference speeds suggested in the bearing cata-
logues and reflect the extreme conditions in machine tools. They were chosen in order
to achieve comparative life values with sufficient statistical evidence within a reason-
able time.
Before the start of each long-time test, there was a grease distribution run which
resulted in steady-state temperature with constant friction torque. Each test was contin-
ued until the end of the grease service life, which was defined by either of these two
conditions: a rise in the bearing friction torque for both bearings above 400 Nmm or a
bearing outer ring temperature in excess of 100~

Greases Investigated
The investigations focused on seven model greases which contained no additives
(five with lithium and two with calcium based thickeners) and the commercially avail-
able standard grease NBU 15 [13], which is fully supplied with additives. The grease
parameters varied in the investigation were base oil type, base oil viscosity, thickener
type and thickener content. In additional tests, an anti-oxidant was added to two model
greases, so that a total of ten test greases were available.

Table 1 - Composition of the greases investigated

base oil thickener

type viscosity v4o type content additive property varied

in mm21s in %

Lithium I MPA 22.0 Li-12-OH 10

base oil viscosity
Lithium II MPA 220.0 Li-12-OH 10
Lithium 111 PAO 22.0 Li-12-OH 10 _ _

base oil type

Lithium IV ESTER 19.6 Li-12-OH 10
Lithium V MPA 22.0 Li-12-OH 16 -- thickener content

Lithium VI MPA 22.0 Li-12-OH 10 antiox, additive

Lithium VII MPA 22.0 Li-12-OH 16 antiox, thickener content/additive

Calcium I MPA 22.0 Ca-12-OH 10 -- thickener type

Calcium 1I MPA 22.0 Ca-Complex 17 -- thickener type/content

NBU 15 ESTER,MPA 23.0 Ba-Complex 35 EP commercial grease

MPA: paraffinic mineral oil

PAO: polyalphaolefme

Results

Grease Life
The experimental investigations s h o w e d that base oil viscosity, base oil type,
thickener type and content and addition o f an anti-oxidant exert a strong influence on
grease service life, lubricant film structure, bearing temperature and friction behavior.

Figure 8 - Grease service life Fs0h vs. mean bearing temperature [I 2 - 15]

Comparison of the non-additive-treated lithium greases shows that the service life
decreases with increasing operating friction torque and increasing bearing temperature.
Thus for example lithium grease III, which has the longest service life of these greases
and has a PAO base oil, has the lowest operating temperature and the lowest friction
torque. By contrast lithium grease II with a mineral base oil of high viscosity (220
mm:/s) has the shortest service life, the highest friction torque and the highest tempera-
ture. Lithium grease V with a thickener content of 16% has a lower operating tempera-
ture than the other MPA-based variants and accordingly the longest service life of these.
Thus, with non-additive-treated greases of the same thickener type, the mean oper-
ating temperature that ensues correlates with the service life of a grease. For greases
with a lithium soap base, there was a relationship between the service life and the bear-
ing temperature in line with the well known Arrhenius' law. This means that in a tem-
perature range from approx. 45~ to 85 ~ there was a drop in service life by 50% for
each temperature increase by 15~ see Figure 8. Thickener content in addition to base
oil exerts an important influence on frictional heating and hence on service life.
Using anti-oxidants alone, the service life in the entire temperature range under
consideration can be considerably increased. At the same time the friction torque and
the operating temperature fall, so that the results can be fitted into the general relation-
ship between bearing temperature and service life. The functioning mechanisms of the
anti-oxidants are accordingly more complex than expected, as obviously they do not
simply increase the aging resistance at a given temperature level.
The test results for the fully additive-treated commercially available grease NBU
15 (barium-complex thickener) only allowed an estimate of the lower limit for the ser-
vice life of 3,500 h, since there was only one failure before test suspension.

These results were achieved at extremely high speeds. They are continually higher
by a factor of at least 2.5 than the official reference speeds for the bearings tested. As a
result, grease life is expected to be several times longer at regular speeds, especially
when there is intermittent operation or a variation of speeds between zero and a maxi-
mum.
Thus, greases offer a higher potential than is commonly known.

Tribological Operating Characteristics

A comparison between the measured minimum thermal EHD film thickness and
that computed according to Dowson and Higginson while taking into account the meas-
ured bearing temperature and the lubricant temperature rise in the rolling contact
according to Wilson is shown in Figure 9 and Figure l0 for lithium grease I and II [15,
19]. At low speeds, Lithium grease I tends to form thicker films than predicted for the
base oil, which can be attributed to the thickener. Already at speeds higher than 2,000
min -1, however, the measured film thicknesses in each case are smaller than the mini-
mum grease film thicknesses computed with the aid of the thermal EHD theory for the
base oil. This applies to all other greases, too, most notably, however, to lithium grease
II. This may be attributed to starved lubrication: less base oil is supplied to the contacts
than would be necessary to form the full film'height. With lithium grease II there is the
largest deviation between the computed and the measured film thickness, since the high
base oil viscosity on the one hand results in a high theoretical film thickness and on the
other hand presumably hampers the replenishment of lubricant to the rolling contact.
Starved lubrication should not be mistaken for insufficient lubrication. In all tests
reported here there are good reasons to assume the existence of separating hydrody-
namic lubricant films, except at the end of the tests when friction and temperature rose
sharply. First of all, no significant wear occurred before failure. Further, before failure,
the film thickness measuring system did not detect lubricant film breakdowns during
running, but regularly did so when the bearing speed approached zero. Judging from this
latter observation, it appears unlikely that the surfaces were protected against wear by a
stable, insulating tribochemical layer rather than by a hydrodynamic fluid film. In that
case, starved lubrication only means that there is less lubricant available than the maxi-
mum that can be entrained into the rolling contact. Therefore, it should rather be called
reduced lubrication. This means that the meniscus at the entrance of the contact zone is
truncated and the ensuing lubricant film thickness diminished. This may reduce the
theoretical fatigue life below the optimum possible value, but still to a much lesser ex-
tent than fluids which are supplied in sufficient quantities but whose viscosity is not suf-
ficient in the first instance.With those fluids, wear can become another serious problem,
which is also avoided by appropriate grease lubrication. Reduced lubrication with still
sufficient separation of the surfaces minimizes frictional losses that otherwise occur due
to churning or reverse flow in the entrance zone of the rolling contact. Grease lubrica-
tion therefore resembles other types of minimum lubrication such as oil-air lubrication.
Figure 9 and Figure 10 not only show the computed minimum thermal film thick-
nesses for full lubrication but also for starvation according to Harris[ 19]. The measured
values are still considerably smaller than predicted. This may have to do with the ne-

glect of the high proportion of spin at the inner race contact, a subsequent underestima-
tion of the contact temperature and overestimation of the effective viscosity as well as
with the fact that Harris's starvation factor was developed for line contacts.
l 0.8
O. _ ~ - ~ f 9 . . . . . . . . _~I.,--~_ ~/min'thermal
pm
(/)
~, 0.4 .+o~h ' 'hmin,ihermal ,sta~valion - -
[L/.7
~ 0.2
E W i
0.0
hmeasured
0 5,000 10,000 15,000 min-~ 25,000
60 speed n -

I
~ X : .
9 20 1 ~ : ~nner ring
I o: o u t e r ring
E
N 0
Figure 9 - Measured and computed film thickness vs. bearing speed for
lithium grease I [12 - 151
I 2,4
pm o I
1,8
r
69
~ 1,2

0,6
_E / hmeasure~

= 0,0 I
0 5.000 10.000 15.000 min-~ 25.000
speed n - - . - -
60
~C
~ 40
' ~ ' / index:
~ 20 ~: i-rlner ring
Q.
E o: o u t e r ring
N 0
Figure 10 - Measured and computed film thickness vs. bearing speed
for lithium grease H

The critical factor with grease lubrication is not wear or classical fatigue life, but
rather the time the grease is able to supply sufficient lubricant. The long-time tests re-
vealed that the grease film thickness exhibits relatively constant behaviour and does not
decrease with time, see Figure 11. No relationship between the behaviour of the film
thickness over time during a long-time test and the running time reached could be
shown, as with the behaviour over time of temperature and friction torque. It is only to-

wards the end of the experiment that the measured lubricant film thickness decreases
abruptly, and at the same time there is a sudden jump in temperature and friction torque.
This means that the bearings operate reliably with a minimum lubrication that is gov-
erned by the supply mechanisms to the contacts rather than the ageing state of the
grease.

0.6
l /Jm L hm,o,+ "
0.4
4~ rain, ~nefrnal,
0.3
C
0.2
~ 0.1 '-- .~.. - ~_~
0.0
0 100 200 300 400 500 600 h 700
60 running time t ---..-

oC r-- L _ .~

20 experimental g r e a s e
o_ service life: 673 h
E
0 T. T

Figure 11 - Measured and computed film thickness vs. running time for
lithium grease I [12 - 15]

Conclusions

For hydraulic fluids with high water content, even materials with outstanding per-
formance, e. g. Cronidur 30, may only yield a fraction of the calculated nominal life. In
that case, a separate lubrication system promises the best results. This may also be true
for other fluids, if they contain tough particles larger than 10 to 20 micrometers or ex-
hibit lubrication characteristics not suitable for rolling element bearings.
A separate lubrication system for rolling element bearings can be implemented
most simply and reliably with grease. The investigations reported in this paper show that
today's greases can reach very long lives, provided they have the right thickener type
and are designed to mimimize frictional heat generation in the bearings. In that respect,
contrary to expectations, a high thickener content turns out to be advantageous. The ef-
fects caused by the anti-oxidants are more complex than expected, as they lower friction
torque and operating temperature as well and thus increase life.
For non-additive-treated greases on the basis of lithium soap, there is a relationship
in a temperature range from about 45~ to 85~ between service life and bearing life
according to Arrhenius' law. The service life decreases by 50% for each temperature in-
crease by 150C.

It is not possible to predict the failure time from the behaviour over time of the
quantities measured for bearing temperature, friction torque and grease film thickness
during a long-time test.
Lubricant films with greases tend to be thicker than computed at lower speeds us-
ing the EHD-theory for oils; with increasing speed, however, they decrease again and
soon remain far below the calculated values. However, they are still sufficient to sepa-
rate the surfaces in the rolling contacts effectively, thus providing minimum lubrication
with small frictional losses. A high base oil viscosity at ambient conditions, again con-
trary to common thinking and contrary to theoretical predictions for oil lubrication, will
scarcely increase the lubricant film thickness at elevated speeds, since it impedes the re-
plenishment of base oil to the contacts.
Acknowledgements
The authors wish to thank the German Scientific Association for Mineral Oil,
Natural Gas and Coal (DGMK), the Research Association for Mechanical Engineering
(FKM), the Research Association for Drive Systems (FVA), the Research Fund for
Fluid Technologies, the German Organisation of Industrial Research Associations
(AiF) and the Department of Trade of the German Government (BMWi) for initiating
and supporting the investigations on which this paper is based.

References

[ 1] Werries, H., "Korrosionsbest~indige W~ilzlager in wasserhaltigen

Hydraulikfl~issigkeiten," Doctoral Thesis, Universit~t Hannover, 1995.

[2] Onions, R. A., "An Investigation into the Possibility of Using Fire-Resistant Hy-
draulic Fluids," Proceedings of the International Symposium on Rolling Contact
Fatigue: Performance Testing of Fluids, Inst. of Petroleum, London, 12, pp. 439-
458, 1978.

[31 Culp, D. V. and Widner, L., "The Effect of Fire Resistant Hydraulic Fluids on Ta-
pered Roller Bearing Fatigue Life," Society of Automotive Engineers 770748, Off-
Highway Vehicle Meeting & Exhibition, MECCA, Milwaukee, 1977.

[4] Knight, G. C., "The Assesment of the Suitability of Hydrostatic Pumps and Motors
for Use with Fire-Resistant Fluids," Proceedings of the International Symposium
on Rolling Contact Fatigue: Performance Testing of Fluids: Performance Testing
of Fluids, Inst. of Petroleum, London, 12, pp. t93-215, 1977.

[51 Thoenes, H. W., Hermann, P., and Bauer, K., "Wechselwirkung wasserhaltiger
Schmierstoffe mit W~ilzlagern," Tribologie und Schmierungstechnik, Vol. 25, 2, pp.
37-39.

[6] Poll, G. W. G., U. S. Patent 5,772,217, 30 June 1998.

[7] Cann P. M., Williamson B. P., Coy R. C., and Spikes H. A., "The Behaviour of
Greases in Elastohydrodynamic Contacts", Journal of Physics D: Applied Physics,
Vol. 25, 1A, pp. 124-132, 1992.

[8] N.N., "W~ilzlagerschmiemng," Gfl'-Arbeitsblatt 3, Gesellschaft fiir Tribologie

(GfT), 1993.

[9] ,~str6m, H., "Grease in Elastohydrodynamic Lubrication," ISSN 0348-8373, Doc-

toral Thesis, Lule~ University of Technology, 1993.

[10] Cann, P. M., "Starvation and Reflow in a Grease-Lubricated Elastohydrodynamic

Contact," Tribology Transactions, Vol. 39, 3, pp. 698-704, 1996.

[11 ] Barz, M., "Die Schmierfilmbildung in fettgeschmierten schnellaufenden

Spindellagern," Doctoral Thesis, Universit~t Hannover, 1996.

[ 12] Franke, E., "Ermittlung yon Schmierfett-Kennwerten zum Reibungsverhalten und

zur Schmierwirkungsdauer in schnellaufenden W~ilzlagern,"Reibung, Schmierung
und Verschleiss, Tribologie-Fachtagung G/Sttingen, 1997.

[ 13] Franke, E., Paland, E.-G. and Poll, G., "Ermittlung von Schmierfett-Kennwerten
zum Reibungsverhalten und zur Schmierwirkungsdauer in schnellaufenden
W/ilzlagern," DGMK Bericht 379-1, Hamburg, 1997.

[14] Franke, E. and Poll, G., "Service Life and Lubrication Conditions of Different
Grease Types in High-Speed Rolling Bearings," Proceedings of the 25'hLeeds-
Lyon Symposium on Tribology, Elsevier Science B.V., Amsterdam, 1999.

[15] Dowson, D. and Higginson, G. R., "Elasto-Hydrodynamic Lubrication," Pergamon

Press LTD, Oxford, 2"d ed., 1977.

[ 16] Dowson, D., Taylor, C., and Xhu, H., "ElastohydrodynamicLubrication of Ellipti-
cal Contacts with Spin and Rolling," Proceedings of the Institution of Mechanical
Engineers: Part C, Vol. 205, pp. 165-174, 1991.

[17] Gohar, R., "Elastohydrodynamics," Ellis Horwood LTD, John Wiley & Sons Inc.,
New York, 1988.

[18] Hamrock, B. and Dowson, D., "Ball Bearing Lubrication," John Wiley & Sons
Inc., New York, 1981.

[ 19] Harris, T. A., "Rolling Bearing Analysis," John Wiley & Sons Inc., New York, 3rd
ed. 1991.

i Professor, Department of Machine Elements, Engineering Design and Tribology, Uni-

versity of Hannover, Welfengarten 1A, 30167 Hannover, Germany
iiii GfF" Gesellschaft fiir Tribologie e. V. (German Tribological Society).
iii DGMK: Deutsche Wissenschaftliche Gesellschaft fiir Erd61, Erdgas und Kohle e. V.
(German Scientific Society for Mineral Oil, Natural Gas and Coal).

The Importance of Shear Stability in Multigraded Hydraulic Fluids

Reference: Hyndman, C. W., Kinker, B. G., and Placek, D. G., "The Importance of
Shear Stability in Multigraded Hydraulic Fluids, "Hydraulic Failure Analysis:
Fluids, Components, and System Effects, ASTM STP 1339, G. E. Totten, D. K. Wills,
and D. Feldmann, Eds., American Society for Testing and Materials,
West Conshohocken, PA, 2001.

Abstract: Multigrade hydraulic fluids are known to undergo loss of viscosity during
service. The mechanism is a function of severe shear forces generated in high pressure
operations, which affect polymeric Viscosity Index Improvers (VII) present as
additives. The level of shear degradation experienced is related to several factors: the
molecular weight and chemical structure of the polymer, the pressure drop and physical
design of the hydraulic system, and fluid temperature. Viscosity Index Improver
polymer molecular weight will determine thickening power, but also impact the critical
parameters of shear stability and low temperature viscometrics.
New data generated in a Sundstrand axial piston pump test stand provide further
insight into the relationship between polymer molecular weight and shear stability.
Previous field test work has documented operating conditions encountered by
multigrade hydraulic fluids in forestry equipment. The shear stability data gathered in
this study can be used to predict fluid performance in high-temperature field
applications.

Keywords: VI improver, hydraulic fluids, shear stability, multigrade, pump test,

field test.

1Research Group Leader, RohMax USA, 723 Electronic Drive, Horsham, PA, 19044.
2 Product Research Manager, RohMax USA, 723 Electronic Drive, Horsham, PA, 19044.
3 Research Scientist, RohMax USA, 723 Electronic Drive, Horsham, PA, 19044.

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524 HYDRAULIC FAILURE ANALYSIS

Background

Optimum Fluid Viscosity

Mechanical systems employ fluids that are used to reduce friction and wear, transmit
power, and transfer heat. In an ideal system, the fluid temperature and viscosity remain
constant, allowing for continuous optimum equipment performance. In actual service,
equipment must often function over a wide temperature range that includes cold start-
up, and peak heat load conditions. This operating spectrum causes fluid temperature
and viscosity to fluctuate. Equipment can offer more reliable response if the fluid
viscosity stays within designed limits. Additive technology can be used to increase the
viscosity index of a fluid and thus minimize viscosity fluctuation over a temperature
range.
Fluid viscosity is indicative of the fluid film strength that can be expected under
hydrodynamic lubrication conditions in hydraulic applications. If the viscosity is too
low, intemal leakage and poor lubrication can be expected. If the viscosity is too high,
the resuk will be sluggish operation and high power consumption. If the viscosity is
excessively high, then oil starvation can lead to high wear or component failure.

Introduction To ViscosityIndex Improvers

Viscosity Index Improvers (VII) are used to achieve the advantages of multigrade
lubricating oils in numerous applications including hydraulic fluids. Multigrade fluids
conform to OEM viscosity requirements over a wider terffperature range, and maximize
the opportunity for equipment to operate under optimum rheological conditions.
Ideally, VIIs provide enhanced viscosity at higher temperatures and minimal viscosity
contribution at colder temperatures. In addition to lubricating functionality, VIIs can
also be designed to contribute pour point depressant activity, dispersancy or
antioxidant properties.
VI improvers are high molecular weight polymers designed to have proper solubility
characteristics in a selected base fluid. Polymer building blocks can be tailored to
produce ViIs that provide functionality in any mineral oil or synthetic base stock.
Current commercial products are based on either of two chemical families; one being
hydrocarbons, such as ethylene-propylene copolymers, polyisoprene, isoprene-styrene
copolymers and polyisobutylene, while the other polymer family contains ester
functionality, such as methacrylate-styrene copolymers, esterified styrene-maleic
anhydride, and polymethacrylates (PMA). The latter chemistry dominates hydraulic
applications because of their superior low temperature properties. Dispersancy may be
added to the base chemistry through incorporation of a polar monomer which often
contains nitrogen. The polar monomer is not necessarily from the same chemical family
as the oil soluble base chemistry.
The amount of thickening provided by a VII is directly related to the hydrodynamic
volume occupied by the randomly coiled polymer chain [1]. Coil size is related to
molecular weight, as a first approximation, but more exactly to the cube of the root
mean square end-to-end distance of the polymer backbone. Additionally, coil size can

be influenced by a polymer's relative solubility in its solvent, and the solubility effect is
temperature dependent. At cold temperatures, ester-containing polymers have limited
solubility in non-polar mineral oil fluids. The result is a reduced thickening effect, or in
some cases, an improvement in low temperature viscometrics such as pour point and
gelation index. Thus, the ester-containing polymers are widely used in hydraulic fluids
which may have stringent cold temperature requirements.

Permanent ViscosityLoss

Molecular weight of the polymer backbone is an important parameter in

understanding both thickening effects and response to shearing forces. Unfortunately,
high molecular weight polymers are negatively effected by the mechanical sheafing
energy imparted by hydraulic equipment. This results in a loss of molecular weight
(reduction of polymer end-to-end distance) and consequently in loss of viscosity
contribution. Very high shear stresses, turbulent flow or cavitation present in lubricated
equipment can lead to extreme polymer coil distortion and a concentration of enough
vibrational energy to cause polymer chain rupture. Statistically, the rupture occurs near
the middle of the polymer chain leading to two smaller molecules whose sum of
hydrodynamic volumes is lower than that of the single parent molecule (Figure 1).

Shear ~ ~
Stress
,( HigherSheer
Stress

~ Removalof Bond
Breakage
Shear
~ ~r Stress

Stress

Figure 1: Polymer Permanent Shear Loss

Higher molecular weight polymers are more susceptible to shearing, while

sufficiently low molecular weight polymers may not shear at all depending upon the
severity of the conditions. Since the shearing process generates lower molecular weight
species which are eventually not susceptible to further degradation, the shearing
process is self-limiting and the viscosity of the fluid will eventually become stable [2].

~ jultig rade Fluid

u
,(n
i
>

Base Stock
I i i
0 100
Hours ~ 2 0 0 0 PSI ( 1 3 , 8 0 0 k P a )

Figure 2: Permanent Viscosity Loss of Hydraulic Fluids

Distribution of molecular weight is also a factor in shear stability. If the distribution

is skewed because of an excessive amount of higher molecular weight polymer then the
loss of viscosity will exceed that predicted by the average molecular weight.
Loss of viscosity after sheafing is normally quantified by the following equation:
% Overall viscosity loss = vii" 11' x 100 (1)
~li
where: vii is the initial viscosity, and "q, is the sheared oil viscosity. A more meaningful
calculation which removes variations in fresh oil and base oil/additive package
viscosities and allows direct data comparison is:
PSSI = *qi - TI, x 100 (2)
T~i - 11o
where: PSSI is Permanent Shear Stability Index and 11ois the base oil viscosity
including all additives except VI improver. All viscosity degradation calculated by this
method can be attributed to the VII. Base oil and normal lubricant additive
components are in a low molecular weight range that is not affected by mechanical
shear.

VII Shearing In Hydraulic Pumps

Shear stress of sufficient magnitude to permanently shear polymers may exist in

pumps, servos, directional valves and actuators. Sprys, et al. estimated shear rates
exceeding 1 X 106 sec "1 for a four inch transmission pump operating at 4000 rpm [3].
Previous studies of mechanical shearing have documented that different types of
equipment impart different levels of sheafing severity. Kopko and Stambaugh [4]
demonstrated the relative severity of engines, automatic transmissions, pumps and gear
sets with PMA VIIs of differing molecular weight as shown in both Table 1 and
Figure 3.

Table 1 - Shear stabili~ - Molecular weight (Mw) Relationship in various applications

PSSI- Permanent Shear Stability Index

Mw Vane Hypoid
x 103 ATF Engine Pump Gear Set
880 50 20 76 90
490 35 5 68 80
270 0 43
130 0 0 18 40
68 0 0 3 10

100
Gear .
90 Oil/"

7(1

60 ~ /Hydraulic
50 / / Fluid
0.

lo * / ./ ./-r_.nglne

10 5(2 100 500 1000

Mw x 10 3
Figure 3 - PSSI - Molecular weight (A/lw) Relationship for various applications

These data demonstrate a higher degree of shearing severity in a high pressure vane
pump compared to automotive internal combustion engines and automatic
transmissions, but less severity than an automotive rear axle hypoid gear set.

Test Methodology

Laboratory ShearTestRig

A wide variety of laboratory tests are available to monitor and compare the
performance of industrial hydraulic fluids, engine oils and gear oils [5]. An abbreviated
list of the more well known includes: hydraulic pumps, high speed stirrers, gear rigs,
small engines, fuel injectors, sonic oscillators and roller bearing devices. In order to
directly assess the shear stability of hydraulic fluids in severe hydraulic pump service,
the Sundstrand axial piston pump was selected for this study. Each polymer thickened
fluid was tested at 13,800 kPa, 27,600 kPa, and 41,400 kPa (2000, 4000, and 6000
psi). The specific conditions are listed in Table 2.

Table 2: Pump Test Conditions

Pump Type: Sundstrand AxialPiston

Test Duration: 300 Hours
Fluid Temperature: 65.6 ~
Fluid Volume: 19 Liters (5 gal)

Test Pressure (psi): 2000 4000 6000

(bar): 136 272 414
(kPa): 13,800 27,600 41,400

Fluid Flow Rate: 8.5 Fm 8.5 Fin 5.7 Fin

Commercial Viscosity Index Improvers

Six commercial VII polymers were selected for comparison testing. Table 3 lists
product chemical structures and corresponding molecular weight.

Table 3: Viscosity Index Improvers

Product M w x 10 3 I V I I T~,pe
A 52 PolymethacrylateA

B 113 PolymethacrylateB

538 Polymethacrylate C

D 183 Olefin copolymer

E 625 Radial isoprene A

I000 Radial isoprene B

These products represent the spectrum of shear stability performance that would
typically be found in commercial use with hydraulic fluids. Polymers with molecular
weight much lower than Product A (Mw < 40,000) would not be economical to use, as
treat rates would be high in order to achieve a typical thickening and VI effect.
Polymers with molecular weight higher than or equal to Product F (Mw _> 1,000,000)
should not be used in hydraulic fluid applications, as the high shear stresses typically
encountered would essentially destroy the viscosity contribution.

Formulated Multigrade Hydraulic Fluids

Each fluid was formulated with a unique level of polymer and similar base oils to
achieve a starting viscosity of 9.25 cSt at 100~ API Group I paraffinic base stock
blends were balanced to achieve similar low temperature properties. Hydraulic fluid
shear stability is typically monitored by measuring viscosity at 100~ before and after
use.

Table 4: Test Fluid Con, ~osition and Characteristics

Fluid A FluidB" FluidC FluidD Fluid E Fluid F
(VII-A) (VII-B) (VII-C) (VII-D) (VII-E) (VII-F)
Treat Rate, 5.3 3.1 3.2 7.0 4.0 4.6
Wt.% VII
Base Oil Viscosity
100~ mm2/sec 6.83 7.04 6.20 5.50 6.57 6.04
Test Fluid Viscosity
100~ mm2/sec 9.17 9.28 9.29 9.28 9.23 9.25
40~ mm2/sec 59.29 59.56 55.97 58.00 61.27 59.45
VI 134 136 148 141 130 136

PSSI-ASTM D5621 22 54 75 41 56 72
(40 min. Sonic Shear)

Results

It has been shown that shear stability decreases as molecular weight increases within
a polymer chemical family. This study documents that similar rates of shear stability
can be expected when comparing products from different polymer families in an axial
piston pump. Table 5 presents the original and final fluid viscosities measured in the
Sundstrand axial piston pump tests at 13,800 kPa, 27,600 kPa, and 41,400 kPa (2000,
4000, and 6000 psi). Table 6 lists the PSSI calculations, and Figure 4 shows the data
graphically.

Table 5: Fluid ViscosRy Before and After 300 Hour Test Run

Kinematic Viscosity, mm2/sec(cSt) @ 100~

13,800 kPa 27,600kPa 41,400 kPa

Fluid Fresh 2000 psi 4000 psi 6000 psi
A 9.17 8.53 8.37 8.25
B 9.28 7.98 7.85 7.70
C 9.29 6.81 6.81 6.76
D 9.28 7.37 7.07 6.90
E 9.23 7.47 7.30 7.17
F 9.25 6.80 6.66 6.61

Table 6: PSSI After 300 Hour Pump Test Run

13,800 kPa 27,600kPa 41,400 kPa

Fluid Mw x103 2000 psi 4000 psi 6000 psi
A 52 27 34 39
B 113 58 64 71
C 538 77 80 82
D 183 51 59 63
E 625 77 80 82
F 1000 76 81 82

100
80

60
ra~
40 J
20

0
10 lO0 1,000 10,000
Mw x 103

Figure 4: PSSI vs. Mw After 300 Hour Pump Test Run at 2000psi

The Sundstrand axial piston pump test is similar to other high shear applications, in
that most of the polymer shear occurs in the early stages of operation. As the fluid
cycles through the system, the polymer experiences the peak temperatures and pressure
points. The fluid must absorb the associated energy, which can result in polymer chain
rupture. Figure 5 shows the change in viscosity over the course of the 300 hour test
run for a high and low shear stability fluid. It can be observed that most of the
viscosity loss is encountered in the first 150 hours, and that the viscosity is stabilized
and approaching a constant after 300 hours.

9.S
Ul
Fluid A
i 9.0
2000 psi
6.5

9~ 6.0 6000psi

7.5

2000psi
i 7.0

0 6.5
6000 psi
0

6.0 I I ..... I t I

5O 100 150 200 250 300

Test Hours

Figure 5: Viscosity Loss vs. Pump Test Time

(Sundstrand Axial Piston Pump, 65.6~

Discussion

A field test study conducted by the Forest Engineering Research Institute of Canada
[6] documented the hydraulic oil operating conditions experienced in road graders and
tree delimbers in northern Ontario service. Ambient temperatures range from 35~ in
summer to -45~ in winter. 1"heconditions documented in this work serve as an
excellent example of a demanding environment for muttigrade fluids containing VII
(Figure 6). If the fluids tested in this study were exposed to the oil sump temperatures
measured by FEKIC, it is possible to see the positive impact of high VI and shear
stability.

150
1 Summer
130 Winter

110

~- 90
E
Ave
~- 70

"~ 10
~' 0
E
< -10

-30
RoadGrader A RoadGraderB

Figure 6: Forestry Hydraulic Equipment Oil Sump Temperatures

The kinematic viscosity of each test fluid after 300 hours of shearing in the piston
pump test at 13,800 kPa (2000 psi) is recorded in Table 5. The FERIC report states
that the OEMs require that hydraulic oil temperatures should stay below 100~ due to
limitations in seal material performance. Individual OEMs set slightly different
viscosity range requirements for hydraulic oils to be used in their specific equipment.
Viscosity minimums range from 5 cSt to 13 cSt for high temperature operation. The
FERIC study documented that oil temperatures often raise above 100~ in actual field
conditions, even during cold winter operation. The data in Table 7 suggest that high
shear stability (tow PSSI) is beneficial, as the fluid will meet OEM recommended
viscosity requirements at peak operating temperatures.

Table 7: Fluid Viscosities in cSt After 300 Hour Piston Pump Run

New After 300 hours

Fluid 100~ 90~ 100~ 110~ 140~
A 9.17 10.73 8.53 6.93 4.83
B 9.28 10.05 7.98 6.48 4.52
C 9.29 8.64 6.81 5.63 3.97
D 9.28 9.21 7.37 6.03 4.25
E 9.23 9.39 7.47 6.08 4.25
F 9.25 8.50 6.80 5.56 3.92

Conclusions

This study supports the conclusions of previous research indicating that shear
stability is a function of polymer molecular weight. The data generated here quantify
the level of polymer shear observed in a Sundstrand axial piston pump run at 13,800,
27,600 and 41,400 kPa (2000, 4000, and 6000 psi). While higher pump pressure was
found to slightly increase shear rates, polymer molecular weight was determined to be
the most significant predictor of PSSI.
It was observed that fluid viscosity, viscosity loss, and PSSI approach a constant
value after 300 hours in the Sundstrand pump test, regardless of pressure.
The following observations were made regarding the relationship of PSSI and Mw
for fluids in Sundstrand axial piston pump service:

9 PSSI approaches a constant value for polymers in the molecular weight range of
5x105 - lxl06. The PSSI value is a function of pressure.
9 PSSI is low for polymers with molecular weight less than 5x104.
9 Polymers with molecular weight greater than or equal to l xl 06 may not be suitable
for hydraulic oil service, as the PSSI is high at >75.

Operational data gathered from a multigrade hydraulic fluid field test in forestry
equipment demonstrate the value of high VI and good polymer shear stability in
meeting OEM viscosity requirements. It is not uncommon for fluid sump temperatures
to exceed OEM maximum limits; and in such circumstances, a shear stable VII is
essential in maintaining viscosity and protecting equipment at elevated temperatures.

Acknowledgements
The authors would like to express thanks to Mr. Bob Simko (Research Scientist,
RohMax USA) for generating the extensive battery of hydraulic pump tests, and
consolidating all of the data for use.

REFERENCES

1. Kinker, B.G., "Automatic Transmission Fluid Shear Stability Testing and Viscosity
Index Improver Trends," Proceedings of the 1998 International Symposium of
"Tribology of Vehicle Transmissions", 2/98, Jap. Soc. Tribologists / Jap. Auto.
Mfg. Assoc.

2. Mortimer, R.M. and Orszulik, S.T. (ed), "Chemistry and Technology of Lubricants,"
Blackie Academic & Professional, 1997 (158-165 ).

3. Sprys, J.W., Vaught, D.R. and Stephens, E.L., "Shear Viscosities of Automatic
Transmission Fluids," SAE paper 941885.

4. Kopko, R.J. and Stambaugh, R.L., "Effect of VI Improver on the In-Service

Viscosity of Hydraulic Fluids," SAE paper 750693, 6/75.
5. Herbeaux, J-L., Flamberg, A., Koller, R.D., and VanArsdale, W.E., "Assessment of
Shear Degradation Simulators", SAE Paper 982637, 10/98
6. Makkonen, I., "Performance of Seasonal and Year-Round Hydraulic Oils in Forestry
Machines," FERIC (Forestry Engineering Research Institute of Canada),
Pointe-Claire, Quebec, Technical Note TN-251, 12/96

Corrosive Wear Behavior of 304 Stainless Steel and Its Variation with Alloyed
Oxygen-Active Element Yttrium

Reference: Zhang T. and Li D.Y., "Corrosive Wear Behavior of 304 Stainless Steel
and Its Variation with Alloyed Oxygen-Active Element Yttrium," Hydraulic Failure
Analysis: Fluids, Components, and System Effects, ASTM STP 1339, G. E. Totten, D. K.
Wills, and D. Feldmann, Eds., American Society for Testing and Materials, "West
Conshohocken, PA, 2001.

Abstract: Research was conducted to investigate the sliding wear of Y-flee and Y-
containing 304 stainless steel in 0.1 mold H2SO4solution. By the sliding wear test and
worn surface analysis (SEM), the authors demonstrated that yttrium considerably
improved the resistance of the stainless steel. In order to clarify the mechanism
responsible for the improved corrosive wear resistance, yttrium effects on microhardness
and polarization behavior of 304 steel were investigated. In particular, the damage and
self-healing of passive film was determined using a scratchtester in combination with an
electrochemical measurement system. Micro-scratch and micro-indentation tests were
also performed with monitoring changes in the electrical contact resistance to evaluate
the failure resistance of passive films respectively on Y-flee and Y-containing 304 steel
specimens. It was demonstrated that yttrium did not significantly influence the
mechanical properties of the steel. However, a remarkable improvement in the
polarization behavior of 304 steel with the formation of a stronger passive film was
observed when a small amount of yttrium was alloyed into the steel. The mechanism
responsible for the beneficial effect of yttrium on corrosive wear resistance of the
stainless steel is discussed.

Keywords: corrosive wear, yttrium, stainless steel, H2804, electrochemical scratch,

contact resistance

Introduction

Stainless steel offers a good combination of corrosion resistance and mechanical

properties. However, when the stainless steel is under synergistic attack by corrosion and
wear, the stainless steel performs as ineffective as ordinary carbon steel. This happens

IPostdoetoral Fellow and 2 Assistant Professor, Department of Chemical and Materials

Engineering, University of Alberta, Edmonton, Alberta, Canada T6G 2G6.
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536 HYDRAULICFAILURE ANALYSIS

because the stainless steel can not retain its protective passive film when wear is involved
and the fresh metal surface is vulnerable to continuous corrosion and mechanical attack.
In order to reduce the material deterioration caused by corrosive wear, great efforts have
been made by alloying elements and surface modification. Many elements, such as Ca,
Cr, Mo, Si, Nb, V, and Ti were added to stainless steel with specific proportions to
achieve desired properties. For instance, by adding Mo, Cr, V, Ti, W to stainless steel,
one may improve the stability of the stainless steel in aggressive media with improved
wear resistance due to the formation of carbides [1]. Elements with large atomic
diameters such as W are chosen for solid solution strengthening [2]. However, the
synergy of corrosion and wear is complicated and such a kind of material loss is hard to
predict and control. Regarding stainless steel, its degradation under corrosive wear is
related to the failure of the protective oxide film formed on surface. In general, the
influence of passive film on wear is complex and changes from case to case. It has been
recognized that the formation of oxide scales may help to reduce the friction and wear
during sliding [3-5]. However, if the passive film has poor mechanical properties or if the
bonding between the film and the substrate is not strong, the shear force would break it
down and remove it from the surface. Therefore, a passive film will play a protective role
against corrosive wear only if it has good mechanical properties with good interfacial
bonding strength. In the case of dry sliding or wear at elevated temperatures when
oxidation is involved, if the fo:'med oxide scale is adherent to the metal substrate and can
withstand rigorous sliding action, friction and wear could be reduced consequently [6-8].
A strong and adherent oxide scale is also beneficial to the reduction of metal-metal
contact area and, thus, adhesive wear [9]. Moreover, Stott et al [8] showed that some soft
oxide debris may agglomerate and be compacted to form a protective layer consisting o f
wear debris and oxide particles, which may decrease wear damage. Sullivan et eL1[10]
suggested that a protective oxide layer, formed by transfer and growth of material as well
as sintering o f wear debris due to the friction heating, may have the load-carrying
capacity at the counterface. However, the protective role of oxides is conditional. If the
oxide film ruptmes under severe conditions, it may lead to a significant wear transition to
metallic welding [11]. It is therefore expected that any improvement in the oxide
adherence would be beneficial for diminishing wear. In the case of corrosive wear, there
might be some similarity between corrosive wear and oxidative wear. The latter involves
the formation of oxide scale at elevated temperatures, while the former involves the
formation of oxide film through passivation. However, the knowledge about the role of
the passive film in corrosive wear is tittle because of the difficulty in direct studies of
such a thin film at nano-meter scale.
The oxide adherence has been attracting broad interest from materials engineers and
tribologists. Previous research demonstrates that the oxide ~dherence can be significantly
enhanced by alloying with oxygen-active elements, such as yttrium and cerium. It is well
documented that yttrium is beneficial to the oxidation behavior of Cr- and/d-containing
alloys [ 12-18]. The beneficial effect of yttrium could be attributable to its high oxygen
affinity for oxygen that helps to form a protective oxide film [12,13]. Other mechanisms
responsible for the yUrium effect are also possible. For instance, yttrium may reduce the
oxidation rate and suppress the lateral growth of the oxide scale [14-16], thus reducing
spallation of the oxide scale. Yttrium may also increase the adhesion strength, improve

plastic properties, and reduce porosity of the oxide scale [13], or form second phases of
yttrium-aluminum garnets and reduce outward cation diffusion [17-18],
It is expected that yttrium may play a similar role during corrosive wear by, for
instance, improving the passivation behavior and adherence and properties of the passive
film. If the bonding between the passive film and the substrate can be enhanced by
yttrium, rupture of such a protective oxide film would be decreased, thus diminishing
further corrosion and stress-corrosion cracking as well as reducing the metal-metal
contact area and oxide fragments which may act as abrasive particles. If this is true,
alloying with oxygen-active elements could be a promising approach to improve Cr-
containing alloys for corrosive wear application.
The objective of the present research is to explore such a possible approach to resist
corrosive/oxidative wear. The emphasis was put on the characterization of corrosive
sliding wear of 304 stainless steel in dilute H2SO4 solution and its variation with alloyed
yttrium by evaluating wear, analyzing worn surfaces and determining electrochemical
behavior as well as in-situ monitoring the destruction and self-healing of passive film
using a scratcher in combination with an electrochemical measurement system. The
resistance of passive films to scratch and indentation, with and without yttrium involved,
were evaluated. The failure of the passive films during scratch and indentation was
determined by monitoring changes in the electrical contact resistance.

Experimental procedure
The material for the study was 304 stainless steel, prepared from commercial 304
stainless steel powder which contained approximately 19% Cr, 9% Ni, 2% Mn, 1% Si,
0.08% C, 0.04% P, 0.03% S. Pure yttrium powder of I wt% was alloyed into the 304
steel using an induction-melting furnace. Pin specimens of40x5x5 mm were machined
for corrosive wear test and specimens of 5x5x5 mm were machined for corrosive scratch
test, respectively. The latter were mounted using epoxy resin. Before test, all samples
were mechanically ground with emery paper up to 600 grit.
The corrosive wear test was performed using a pin-on-disc tester as schematically
illustrated in Fig. la. The counter disc, 150 mm in diameter and 2 mm in thickness, was
made of commercial 300 stainless steel and was put in a container so that the wear test
could be performed in a corrosive medium. The wear tests were conducted at a sliding
speed of 0.59 rn/s over a sliding distance of 1.0 km. Weight loss of a pin sample was
measured after being worn in 0.1 moYl H2SO4 aqueous solution at room temperature. The
normal load exerted on the pin sample was in the range from 30 N to 60 N. The worn
surface and wear debris were examined using SEM. Mierohardness of the worn
subsurface was determined using a Shimadzu Micro Hardness Tester type M. A
commercial corrosion measurement system was used for electrochemical polarization
testing; the scan rate was 0.33 mV/s. A saturated calomel electrode (SCE) was employed
as reference electrode, and a piece of platinum was used as an auxiliary electrode. The in-
situ destruction and self-healing of passive film during corrosive scratching were
determined using a diamond-tip scratcher with a Viekers diamond tip, in combination
with an electrochemical measurement system as schematically illustrated in Fig. lb. The
scratch test was performed in a 98% reagent grade H2SO4 mixed with deionized water at

the room temperature and the current variation during and right after scratch was
measured under a constant applied electrochemical potential.

(a) Pin-on-disc tester

tl -il. D
1[ Potentiostat [[ f w~

Co) Scratching tester

Figure. 1- Schematic illustration of(a) the pin-on-disc wear tester, (b) the
electrochemical scratching tester and (c) the universal micro-tribometer

The resistance of a passive film to micro-indentation and micro-scratch was

evaluated using a universal micro-tribometer (CETR, see Fig.1 (c)). The tip is a
pyramidal tungsten carbide. During either the micro-scratch test or the micro-indentation
test, the tip moved horizontally or vertically under a force which was increased linearly

with respect to time. The failure of the passive film during micro-indentation and micro-
scratch was determined by monitoring variations in the contact electric resistance
between the indenter tip and the target sample surface.

Results and discussion

Corrosive wear behavior

Corrosive wear losses of Y-free and Y-containing 304 stainless steel (304SS) in 0.1
mol/1 H2SO4 solution were evaluated, with respect to the applied load. The corrosive
wear test showed that wear losses of both the Y-free and the Y-containing 304 steel were
linearly proportional to the applied load (see Fig. 2). In Fig. 2, one may see that yttrium
considerably reduced the wear loss of the stainless steel in the dilute H2SO4 solution. It
was also noticed that the Y-containing steel had a lower slope of the wear loss ~ load
curve, which indicates that the Y-containing 304 steel was superior to the Y-free 304
steel not only under low loads but also under higher loads. This test has demonstrated that
the resistance o f the stainless steel to corrosive wear in the dilute H2SO4 solution was
effectively enhanced by alloying with a small quantity of yttrium.

0.40
: 304SS
0.35
o
,~ 0.30
t..

0.25 // I
' 304SS+lwt%Y
.~.
0.20 S
0 ~
t
0.15 J
I
r
I
0.10
25 35 45 55 65
Load, N
Figure. 2-The variation of wear loss in 0.i mol/l H2SO~ solution with respect to the
applied load (the sliding speed is 0.59 re~s, the sliding distance is 1.0 Kin)

Worn surfaces of Y-free and Y-containing 304 steel specimens were examined using
SEM. Figs. 3(a), (b), (c) and (d) present SEM micrographs of the worn surfaces and
corresponding cross-sections. The worn surfaces of both the Y-free (Fig. 3(a)) and Y-
containing 304 steel (Fig. 3(b)) show mechanical shearing characteristics. However, the
wear of the former was more severe. Typical wear debris produced by plastic shearing
was observed at the worn surface of Y-free 304 stainless steel (Fig. 3(a)), and
microcracks were found in the surface layer parallel to the sliding direction (Fig. 3(c)).

However, no evident microcracks were observed in the worn surface layer of the Y-
containing samples (Fig. 3(d)). It is clear that yttrium effectively inhibited microcracking
and in turn diminished corrosive wear of 304 steel.

Figure. 3- Morphology of worn surfaces and corresponding cross sections after wear in
O.lmol/l H2S04 solution at a sliding speed of O.59 m/s over a sliding distance of 1.0 krn
under 6ON. (a). 304 stainless steel; (b). 304 stainless containing I wt-% yttrium; (c).
Cross-section view of 304 stainless steel after etching; (d). Cross-section view of 304
stainless steel containing I wt-% yttrium after etching.

The beneficial effect of yttrium may be attributable to possible improvements in

mechanical and electrochemical properties of 304 steel. In order to determine if yttrium
influence the mechanical properties of the steel, surface hardness levels of both the Y-
free and Y-containing were measured after sliding over 1.0 km under a load of 60 N and
at a sliding speed of 0.59 rrds (see Fig. 4). One may see that the addition of yttrium did
not markedly affect on the Vickers hardness and both the Y-free and Y-containing steel
samples exhibited similar capabilities of stain hardening. This measurement demonstrates
that the lower wear rate of yttrium-containing steel is not owing to possible improvement
in the mechanical properties of the steel by alloying with yttrium. Since yttrium did not
markedly influence the hardness and strain hardening of the bulk 304 steel, its beneficial
effect on corrosive wear could thus be mainly attributable to its effect on electrochemical
properties of the steel. Yttrium could influence the passivation behavior of the stainless
steel, according to previously observed yttrium effect on oxidation and the nature of the
stainless steel. It is known that corrosive wear is a dynamic process of material surface
failure associated with rupture and reformation (repassivation) of the passive film [19-
22]. Repassivation ability of an alloy and properties of its passive film may therefore play
important roles in corrosive wear degradation of the alloy when attacked by simultaneous
actions of wear and electrochemical dissolution. When yttrium was alloyed into the 304
steel, it could help to form a more adherent and stronger protective passive film, thus

enhancing the resistance to corrosive wear. In order to verify this possible mechanism,
the following electrochemical experiments were performed.
3000
2500 .-4-- 304SS+ 1wt-%Y l
~2000 ~ 304SS I

1500
~ 1000
500
0
100 200 300 500 400
Depth of deformation layer from the worn surface, pan
Figure. 4-Variation of Vickers hardness With respect to the depth of deformation layer
from the worn surface
Electrochemical polarization behavior

Electrochemical polarization curves of the Y-fzee and Y-containing 304 steel

samples were determined at room temperature and the results are presented in Fig. 5 and
Table 1, respectively. Results of the test demonstrate that both the Y-f~ee and Y-
containing 300 stainless steel samples passivated in the corrosive media. 1% yttrium as
alloying element considerably affected the passivafion current, the passive potential, and
the current in the passive state (see Table I). The yttrium addition shifted the corrosion
potential of 300 steel from-100 mVscE to -80 mVscE, and decreased the current in the
passive state from 58.43 ttA/cm2 to 1.711 pA/em2 under the applied potential of 49 mV.
Evidently, the addition of 1 wt-% yttrium significantly improved the pa~sivation behavior
of 304 stainless steel.

1.15
0.95
0.75
;~ 0.55
0.35 /// 304SS
0.15
-0.05
-0.25
I.E-09 I.E-07 I.E-05 l.E-03 I.E-OI

Log i, A / c m z
Figure. 5-Potentiodynamicpolarization curves of Y-free and I wt-% Y-containing 304
stainless steels respectively in O.I moll1.r-IzSO4solution.

Table 1-Electrochemical parameters of 30, !SS Or) in O.1 mol/l H2SO4 solution
Alloy Ee Ep ip icp Eb
Y-containing 304 SS -80 mVscE 60 mVsce 2.2 lxA/em2 1.7 ~ / c m 2 852 mVscE
Y-free 304 SS -100 mVsce 253 mVsce 32.3pA/em2 58.4pA/em2 932 mVsce
Ee - corrosion potential; Ev - critical passivation potential; ip - Critical passivation current;
iep - Passvation current; Eb - Film breakdown potential,

Electrochemical scratching test

In order to obtain the information about the behavior of passive film during
corrosive wear, the destruction and self-healing of passive film during scratching in 0.1
mol/l H2SO4 solution was investigated using a diamond-tip scratcher in combination with
an electrochemical mcasur~nncnt system. Figs. 6(a) and Co) illustrate typical current
versus transient curves of Y-free and Y-containing 304 steel under a corrosion potential
(-100mVscE for Y-free and -80 mVscE for Y-containing 304 stainless steel, respectively).
It was observed that when the sample surfaee was scratched, the current increased rapidly
(line AB) as a consequence of the failure of the protective passive film. The slope of the
current ~ transient curve in this stage is a kind of measure of the resistance of the passive
film to scratch damage. The lower the slope, the stronger is the passive film to resist the
scratching. Fig. 7 illustrates slopes of the current - transient curves for both the Y-free
and Y-containing steel specimens. One may see that the Y-containing steel had a lower
slope, implying that its passive film is more adherent or stronger. The difference in the
slope, however, decreased as the applied load was increased. This happened because
under high loads, the stress introduced by the sharp diamond tip was high and the tip
penetrated into the sample surface. As a result, the passive film could not withstand the
scratch force that was high enough to destroy the passive film more severely. This may
consequently reduce the difference between the Y-free and Y-containing specimens.
However, under lower loads, the differenee was larger as Fig. 7 illustrates. In this ease,
the passive film of Y-contalnlng sample showed higher resistance to scratch damage.
The small current fluctuations during scratching process, shown in Fig. 6,
demonstrates that there is a dynamic competition between damage and recovery of the
passive film. The peak current (lmax) reflects the maximum dissolution rate of material
(see Fig. 8). Under the same load, the Imax value of Y-free steel was larger than that of
the Y~eontaining steel, indicating that the Y-free steel is more vulnerable to the
synergistic attack of corrosion and wear. After reaching the peak current (lmax), the
following decay of current was due to the self-healing of the passive film without further
scratching damage. During the rapid decay period (line BC), the slope of the I ~ t curve
o f Y-free steel was lower than that of Y-containing stainless steel, meaning that the Y-
steel had a higher electrochemical reaction rate than that of the y-containing steel as
Fig. 9 shows. However, comparing Figs. 6(a) and 6(b), one may not see significant
difference in the total time for complete repassivation between these two types o f steels.
This result implies that the passive film of Y-free steel that was completely healed could
be thicker than that o f Y-containing stainless steel. In general, because o f the lattice
mismatch, a thicker film has higher interfacial stress from larger constraint by outward
atomic layers; and this film therefore has a higher probability of interfaeial failure. Our

1600-
Im= . . . . . . . . . . . ;/~ B

I'......_
oR c :-.-.---.---..-...-.,
0.00 0.05 0.10 0.15 0.20
t,s
1600-
b
1200

400

0.00 0.05 0.10 0.15 0.20

t,$

Figure. 6-The typical transient current response of(a) Y-free and (b) Y-containing 304
stainless steel specimens in O.1 mol/l H2SO~solution.
32000
--e-- Y-free 304 SS S ~
~.=d 28000 I -e--Y-containing 304 S

< 24000
@
==
**6 20000
o
16000

12000
0 1 2 3 Loar N 5 6 7

Figure. 7-The variation of the slope of line,4B with increase of load

recent research on erosion of 304 steel in sand-containing dilute H2SO4 slurry shows that
below a maximum level, corrosive erosion of 304 steel decreases with an increase in the
specimen speeds. This implies that a thinner passive film could more effectively protect
the material from corrosive wear. In the present study, it appears that yttrium may render
the passive film thinner, which might be, more or less, beneficial to its resistance to
scratch.

1600
--+- Y4ree304 SS .//"~

-- 800

400
0 2 4 6 8
Load, N

Figure. 8-Effect of load on lmax of the steels scratched in O.I mol/l HzSO~ solution.

The beneficial effect of yttrium on the corrosive wear resistance can also be
demonstrated by estimating the material loss d m ~ g the corrosive scratching. If we use
the area under the I - t curve to represent the ma~,ial loss by corrosion during a single
scratching action, it can be seen in Fig. 10 that the consumed quantity of electricity of Y-
free steel from the beginning of scratching to the completion of repassivation is larger
than that of the Y-containing steel.

0 I m....__ --e---Y-free 304 SS

-lOOOO
~"~"---~.~J~ --~--Y-conta nlng 304 SS
r -2oooo
Q
r -30000
-40000
mo -50000
-60000
0 2 4 6 8
Load, N
Figure. 9-Effect of load on slope of line BC of steels scratched in 0.1 mol/l H~$O~
solution
The mechanism responsible for the improvement in the corrosive wear resistance by
alloying with yttrium is not completely understood. Yttrium may likely enhance the

interracial bonding between the passive film and the substrate, thus reducing the removal
of the protective passive film from the surface. This could in turn reduce the metal -
metal contact, diminish the metal dissolution, and reduce oxide fragments that could act
as cathodes to accelerate the electrochemical reaction. As a result, the corrosive wear
resistance is enhanced. It is also possible that yttrium improved the mechanical properties
of the passive film and thus enhance the corrosive wear resistance of the steel. In order to
better understand the effect of yttrium on mechanical properties of the passive film,
micro-indentation and micro-scratch tests were performed.
65

0 60 * Y-free 304 SS ! ~
~o----Y-containing 304 SS ~
"c
~ so f-f
"645
T,.40
O35

30
3 2 Lo4d, N 6 8

Figure. l O-Variation in the quantity of electricity consumed during the entire scratch
process in O.1 mol/l HeS04 solution, as a function of load

The resistance of passive film to scratch and indentation

In order to better understand the effect of yttrium on the mechanical properties of

passive film, micro-indentation and micro-scratch tests were conducted on surfaces of
304 steel samples with and without alloyed yttrium, respectively. During the tests, the
electrical contact resistance was in situ monitored. Since the passive film on stainless
steel was non-conductive, a sudden drop of the contact resistance corresponded to failure
of the passive film. The critical load corresponding to the drop in the electrical contact
resistance was a measure of the load-carrying capability of the passive film. The results
of both the indentation and scratch test are presented in Figs. 11 and 12, respectively.
Two curves in each figure represent the applied load and the contact electric resistance,
which are plotted versus time. It is seen that the initial contact electric resistance was
constant. As the applied load was increased and reached a critical value, the contact
resistance suddenly dropped as Figs. 11 and 12 illustrate. During the indentation test, the
passive film of the yttrium-containing steel failed when the applied load reached about
I 0-grarn (Fig. 1 la); while the passive film on the yttrium-free 304 steel failed when the
load was at the level of 5 g (Fig. 1lb). In the case of rniero-serateh test, the situation was
similar. The passive film on the yttrium-containing steel failed when the load was at the
level of 10 germ (Fig. 12a), while the critical load for the yttrium-free specimen was in
the range of 7 germ (Fig. 12b). The micro-scratch and micro-indentation tests indicated
that the passive film on yttrium-containing steel surface had higher load-carrying
capability than that on the yttrium-free steel surface.

F~ t T

9t i 4~1

! ~# ,tlU

-II; ,l$ . . . . . . . . . . . . . . . I
it li li

(a) (b)
Figure 11 The variation in the electrical contact resistance with respect to the
indentation load (a) yttrium containing 304 steel and (b) yttrium free 304 steel

The scratch tracks were examined under an optical microscope. Fig.13 illustrates
scratch tracks of the yttrium-flee and yttrium-containing 304 steel specimens. For the
yttrium-free steel, its scratch track showed brittle-spalling characteristics with micro-
cracks (Fig. 13a). While the scratch track of the yttrium-containing steel was continuous
and the damage was made by plowing with little brittle-spalling characteristic (Fig. 12b).
In addition, no micro-cracks were observed on the passive film of the yttrium-containing
304 steel. It was thus demonstrated that the passive film of the yttrium-flee steel was
brittle, compared to that of the yttrium-containing steel. Clearly, yttrium improved the
mechanical properties of the passive film by reducing its brittleness with enhanced
resistance to scratch and indentation.
f0

| . j t
41e~
"

-11

(a) (b)
Figure 12- Variations in the electrical contact resistance with respect to the scratch load.
(a) yttrium-containing 304 steel and (b) yttrium-free 304 steel.

Figure. 13- Optical micrographs of scratch tracks: (a ) yttrium-free steel and (b) yttrium-
containing steel.

Conclusions

Research was conducted to investigate effects of yttrium on corrosive wear of 304

stainless steel in dilute sulfuric aeid solution. By investigating the corrosive wear loss,
polarization behavior, the resistance to corrosive scratch and the failure of passive film,
the following conclusions were drawn:
1. The oxygen-active element, yttrium, significantly enhanced the resistance of 304 steel
to corrosive wear in dilute sulfuric acid solution. This improvement was not attributed to
possible strengthening of the 304 steel but to the improvement in its passive film.
2. Yttrium considerably improved the polarization behavior of 304 stainless steel in the
dilute H2SO4 solution with the formation of enhanced passive film.
3. The corrosive-scratching test demonstrated that the passive film played an important
role in resisting corrosive wear of the stainless steel. Such a role was enhanced by
yttrium, associated with improved resistance to scratch and indentation.
4. Yttrium reduced the brittleness of the passive film on the stainless steel, thus
improving the passive film with higher resistance to scratch and indentation.

Acknowledgements

The authors are grateful for financial support from Natural Science and Engineering
Research Council of Canada (NSERC), Syncrude Canada Ltd., and Alberta Science and
Research Authority (ASRA).

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A Study of the Mechanism for Beneficial Effects of Yttrium Additive in Lubricant

on Corrosive Wear and Friction of Metals

Reference: Liu, R., and Li, D.Y., "A Study of the Mechanism for Beneficial Effects of
Yttrium Additive in Lubricant on Corrosive Wear and Friction of Metals,"
Hydraulic Failure Analysis: Fluids, Components, and System Effects, ASTM STP 1339,
G. E. Totten, D. K. Wills, and D. Feldmann, Eds., American Society for Testing and
Materials, West Conshohocken, PA, 2001.

Abstract: Previous work has demonstrated that the wear losses of stainless steel 304 and
Al alloy 6061 under sliding in lubricant (oil and grease) mixed with dilute H2SO4 solution
can be greatly reduced when a small amount of oxygen-active element (yttrium or
cerium) powder is added to the lubricant. In order to explore the mechanism responsible
for the beneficial effect of yttrium on corrosive wear resistance, corrosive-wear tests were
carried out at different sliding speeds in lubricants with and without yttrium added
respectively. Effects of yttrium on friction behavior of the materials were also studied.
Worn surfaces were examined using SEM for better understanding of the role that
yttrium played in corrosive wear. Possible mechanisms responsible for the beneficial
effect of the oxygen-active element on corrosive wear are discussed.

Keywords: wear, friction, corrosion, oxygen-active element, oxide-film bonding

Introduction

Corrosive wear, a surface failure mode caused by synergistic attack of corrosion

and wear, has attracted considerable attention from tribologists, because such a wear
mode is common in many fields of industry and can result in significantly greater
material losses than those caused by corrosion or wear alone [1, 2]. Surface failure due to
corrosive wear also affects fi'iction, which in turn influences the contact-surface
interaction and thus the wear. Corrosive wear often occurs in mining, oilsand, mineral
processing, chemical processing, and energy production industries. The common

1postdoctoral fellow, Department of Chemical and Materials Engineering, University of

Alberta, Edmonton, Alberta, Canada T6G 2G6.
2Assistant professor, Department of Chemical and Materials Engineering, University of
Alberta, Edmonton, Alberta, Canada T6G 2G6.
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Copyright* 2001 by ASTM lntcrnational www.astm.org
550 HYDRAULIC FAILURE ANALYSIS

occurrence of corrosive wear in practice includes slurry handling, mineral ore crushing
and grinding and so on. Corrosive wear also often occurs in the operation of bearings [3],
which may expose to weak organic acids formed by oxidation of lubricating oils in
service. They may also be subject to corrosion by weak organic acids and strong mineral
acids from fuel combustion products in engines. Service environments of bearings in
many chemical plants and marine installations are also corrosive.
Research and engineering efforts have been pursued to combat corrosive wear in
aqueous environments, through modification of existing materials, surface protection, and
environmental control [1]. However, so far no general approaches have been developed
to efficiently diminish corrosive wear. It is relatively easy to design or select adequate
materials to resist mechanical wear in the absence of electrochemical reactions. This
could be achieved by enhancing hardness of materials through precipitation strengthening
or by using reinforcing hard particles to form composites. However, such fabricated
materials are not suitable for corrosive wear applications because the materials may have
a low corrosion resistance due to their microstructural inhomogeneity. In the case of
corrosion, the materials degradation can be reduced by alloying with elements, e.g., Cr
and A1, which assist to reduce corrosion attack by forming protective oxide films, Cr203
and A1203. Corrosion resistance of a corrosion-resistant material may result from rapid
passivation with forming a protective oxidic film on surface [4-6]. However, when wear
is involved, the protective oxide film can be broken down and removed from the surface.
The resultant refresh metal surface with residual oxide debris is vulnerable to continuous
corrosion-wear attack. The synergistic effect of wear and corrosion can make
corrosion-resistant materials such as stainless steels as ineffective as ordinary carbon
steels. It is therefore expected that an increase in oxide adherence and improvements in
mechanical properties of the oxide film could be beneficial for resisting corrosive wear.
In addition, such improvements should also be beneficial for reducing friction.
Attempts have been made by the present authors to combat corrosive wear by
using an oxygen-active element (OAE), yttrium, as additive in lubricants [25]. Previous
studies on oxidation of A1 and Cr alloys [7-22] show that the bonding between oxide
films and the alloy substrates can be significantly enhanced by alloying with small
amounts of OAEs, such as yttrium, scandium, cerium and other rare earth metals, since
these elements have high affinities for oxygen. The mechanisms responsible for the
beneficial effect of OAEs on the enhanced oxide-film adhesion have been studied. Many
evidences show that OAEs can improve the bonding between the oxide scale and the
substrate, thus improving the oxidation resistance. Although these studies are focused on
the effect of OAEs on the oxide films developed at elevated temperatures, it is possible
that OAEs may play a similar role in enhancing the adherence of a passive oxide film
during corrosion. Recent work by Zhang and Li [23, 24] has demonstrated that OAEs can
considerably enhance the resistance of stainless steel and aluminide coatings to corrosion
as well as to corrosive wear. They observed that the polarization behavior of stainless
steel 304 was greatly improved when it contained 1 wt%Y and its resistance to corrosive
wear was markedly higher than that of Y-free 304 steel. In addition, no significant
influence of yttrium on the mechanical properties of the stainless steel was observed. This
implies that the role of yttrium in increasing the corrosive wear resistance is not to
improve the mechanical performance of the steel but to enhance its corrosion resistance.

Inhibiting corrosion can decrease the synergistic action of corrosion and wear, and thus
diminish the corrosive wear.
The present study is aimed at investigating effects of OAE as a lubricant additive
on corrosive wear and friction behavior and thereby expanding its potential industrial
application; particular interest is the mechanism involved. Recent studies by Liu and Li
[25] have demonstrated that corrosive wear of stainless steel 304 and A1 alloy 6061 was
considerably reduced when a small amount of yttrium or cerium was added to
acid-containing lubricant. In order to explore the possible mechanisms responsible for the
beneficial effects of OAE on reducing corrosive wear of metals, in this work
corrosive-wear tests were performed at different sliding speeds using a pin-on-disc
tribometer. Effects of yttrium additive in lubricant on corrosive wear and friction of
stainless steel 304 and A1 alloy 6061 were investigated. The practical significance of this
research lies in improving present greases or lubricants by using oxygen-active additives
for applications in corrosive environment.

Experimental Details

Wear tests were performed on a pin-on-disc tribometer. The tested materials were
the standard stainless steel 304 and A1 alloy 6061. The dimensions of the pin specimens
were 6 x 12 x 40 (ram). The specimens were machined from the commercial stainless
steel and AI 6061 bars. Surface of the specimens was flat and smoothly finished using a
lathe, with an average roughness (Ra) of 1.0 ~tm. The disc was made of 3Cr12 steel and
its roughness (Ra) was 2.5 gm. The disc was set into a container which had a wall of 10
mm high to retain the lubricant. A coil of copper tube was attached to the bottom of the
container, through which cooling water could pass to reduce the temperature rise caused
by frictional heat.
Friction coefficients of the materials were determined by measuring the ratio of the
friction force to the applied normal load. A strain sensor was used to measure the lateral
displacement of the pin specimen, and the friction force was then calculated using a
cantilever approach. The entire friction measurement was automated and variations in
fi-iction coefficient during entire sliding process were recorded by a data-logging system.
A vegetable-based oil lubricant was used for the wear tests. It did not contain
petroleum or mineral components and heavy metals. Ten percent H2SO4 solution was
added to the lubricants for the corrosive wear tests with the volume ratio of H2SO4 to the
oil lubricant approximately equal to 1 : 4. A small amount (less than 5 vol.%) of yt-trium
powder (420 micron, 99.9%) was added to the lubricant for evaluating the effect of OAE
on corrosive wear of the materials. The sliding speed (v) was changed from 0.25 to 1 m/s,
and different normal loads were applied from 50 to 167 N, to investigate variations in
wear loss of the stainless steel and the A1 alloy with respect to the load and the sliding
speed, respectively. The wear resistance of the material was evaluated by measuring its
weight loss after sliding over 600 m. Wom surfaces of the tested samples were examined
using a scanning electron microscope.

Experimental Results

Wear Behavior

Weight losses of stainless steel 304 and A1 alloy 6061 in the acid-containing
lubricants with and without Y additive were measured, with respect to the applied load at
the sliding speed of 1 m/s. The results are illustrated in Figs. la and lb. Under each
applied load, three specimens were tested and the obtained weight loss ~ load curves
were linearized using a least -square method. It was observed that the wear losses of
stainless steel 304 and AI alloy 6061 in the oil-H2SO4 lubricating condition were much
higher than those in the oil-H2SO4-Y lubricating condition. The addition of yttrium in the
lubricant (oil-H2SO4) significantly reduced the corrosive wear of stainless 304 and A1
alloy 6061; under the maximum load of 225 N, wear loss was reduced by agout 46% for
the stainless steel and 38% for the A1 alloy, respectively.

18 011-H2SO4 9 25- OiHt2SO4

16
20
" ~ 14
E
" " 12
m
0 10

~04-Y
- ~904-Y
011H
t
0
25 125 225 325 25 125 225 325

Normal load (N) Normal load (N)

(a) Co)
Figure 1--Weight losses of(a) stainless steel 304, and (b) AI alloy 6061
against 3Cr12 steel respectively in Y-free and Y-containing oil-H2SO4
lubricants versus the normal load at the sliding speed of I m/s.

Figs. 2a and 2b illustrate the wear losses of stainless steel 304 and AI alloy 6061
with respect to the sliding speed in the corrosive lubricants with and without Y additive,
respectively. It can be seen that wear losses of the materials vary with the sliding speed.
At low speeds the wear losses decreased with an increase in the sliding speed until
reaching to minimum at a critical speed. With continuous increase in the sliding speed,
the wear losses then quickly increased. This behavior was observed more obviously in the
oil-H2SO4 lubricating condition for both the stainless steel and the AI alloy, see Figs. 2a

and 2b. Also, one may see that at either low speeds or high speeds, Y additive markedly
reduces the corrosive wear, while at medium speeds the reduction is not significant.

12 1
I 14 ] 0i1-1"12S04
10 OiI-H2S04 12
.. .

~10 ". .

o 6

2
o~ 0~
0 0.5 1 0 0.5 1
Sliding speed (m/s) Sliding speed (m/s)
(a) (b)

Figure 2--Weight losses of(a) stainless steel 304, and (b) AI alloy 6061 against
3Cr12 steel in the Y-containing and Y-free corrosive lubricating conditions
versus the sliding speed under the normal load of l O0 N.

Friction Behavior

Friction coefficients of stainless steel 304 and A1 alloy 6061 were measured. It
was observed that the friction coefficients of both the stainless steel and the A1 alloy
increased with the sliding distance in the oil-H2SO4 lubricating condition. The increase,
however, was not continuous but intermittent as Figs. 3a and 3b illustrate. When yttrium
was added to the acid-containing lubricant, the friction coefficients of the materials
quickly became stable after sliding over a short distance; while without yttrium, the
friction coefficients continuously increased within the tested sliding distance of 600 m.
Yttrium obviously reduced friction of the materials during the corrosive sliding wear.
Variations in friction coefficient with respect to the sliding speed were also measured and
the results are presented in Figs. 4a and 4b, where the friction coefficients are the final
values at the sliding distance of 600 m. One may see that the friction coefficients of
stainless steel 304 and A1 alloy 6061 decreased as the sliding speed was increased at low
sliding speeds. However, when reaching minima, they rapidly increased with continuous
increase in the sliding speed. In addition, the friction coefficients measured in the
Y-containing lubricant were lower than those measured in the Y-free lubricant. This
means that the friction under the oil-H2SO4 lubricating condition was reduced when
yttrium was added to the lubricant. Comparing Figs. 4 to Figs. 2, the variation of friction
coefficient with the sliding speed has a trend similar to that of the wear loss - sliding
speed curves.

0.045 0.07
OiI-HzS04
0.04
0.06
~ 0.035
c 0.05
o
9~ 0.03
"6
0.025 0.04
O 0.02
0,03
c
O 0.015 0
0.02 OiI-HzSO4-Y
9:- 0.01
I.I.
0.005 ~" 0.01

0
200 400 600 0 200 400 600

Sliding distance (m) Sliding distance (m)

(a) (19)

Figure 3---Variation offriction coefficients of(a) stainless steel 304, and

(b) AI alloy 6061 against 3Cr12 steel respectively under the Y-containing
and Y-free corrosive lubricating conditions versus the sliding distance
(sliding speed = 0.5 m/s, normal load=l O0 N).

0.25 0.08
Oil-I'lzSO4

0.2
0.075 k O
H
-li2S04
"E 0.07
e mo
o 0.065
E= 0.15
E
o

0
o
8o 0.06
c-
O
0.1
n
g 0.055
(,,}
0.05
0.05 M.
0.045 OiS-H~O4-YL
0 0.04
0 0.5 1 0 0.5 1
Sliding speed (m/s) Sliding speed (m/s)

(a) (b)

Figure d Friction coefficients of(a) stainless steel 304, and (b) AI alloy 6061
against 3Cr12 steel respectively in Y-free and Y-containing oil-H~S04
lubricants versus the sliding speed under a normal load of l O0 N. Values
of the friction coefficients were taken at the sliding distance of 600 m .

Surface Failure Modes

Sliding wear of a material surface in non-corrosive condition may be caused

mainly by the accumulated plastic strain at the subsurface. When the strain reaches the
fracture strain of the material, cracks nucleate below the surface and then propagate,
leading to the material delamination at the surface. When corrosion is involved, the
interaction between the chemical and mechanical attacks makes the wear damage more
severe. Generally speaking, corrosion consumes metals through forming loose, porous
and fragile oxide scales. When wear is involved, the oxide scales are easily smashed and
removed in the contact area, leading to greater material loss. The SEM micrographs of
worn surfaces of 304 steel and A1 alloy 6061 in oil+H2SO4 lubricant show cracks with
different lengths and depths existing in corroded regions [25]. With the propagation of
the initiated cracks under the continuous collision of the contact surfaces, the cracked
regions eventually fractured, which can be clearly seen in the cross sections, as shown in
Fig. 5a and 5b. Since the nucleation and propagation of cracks can be promoted by
corrosion, the resultant removal of the material is more rapid than that caused by pure
mechanical wear.

Figure 5---SEM cross-section view of worn surfaces of(a) stainless steel 304,
and (b) Al alloy 6061 under the oil-H2S04 lubricating condition.

However, significant improvement in reduction of cracking by yttrium additive

during corrosive wear was observed (see Figs. 6a and 6b). Compared to the worn
surfaces of stainless steel 304 and A1 alloy 6061 without Y involved, few cracks were
found in the surface layers when Y was added to the lubricant. The elimination of
cracking by yttrium addition is consistent with the results of the wear measurement.

Figure 6---SEM cross-section view of worn surfaces of(a) stainless steel 304,
and (b) AI alloy 6061 under the oil-H2SO4-Y lubricating condition.

In order to better understand corrosive wear, worn surfaces of stainless steel 304
tested in the oiI-H2SO4 lubricating condition at different sliding speeds were also
examined. It is interesting to observe that at the low sliding speed, the surface layer was
seriously fractured (Fig. 7a). However, at the medium speed, no cracking was observed
(Fig. 7b). As the sliding speed was continuously increased, cracking occurred again as
Fig. 7c illustrates.

Figure 7----SEM cross-section view o f worn surfaces o f stainless steel 304 under the
oil-HeS04 lubricating condition at (a) v = 0.25 re~s, (b) v --- 0.67 re~s, and (c) v = I m/s.

Discussion

Wear of materials may occur with different mechanisms, depending on the

material properties, wear condition, the geometry of wearing bodies, and environmental
influences. The resistance of metals to corrosion usually results from formation of a
protective oxide film on surface which is strongly bonded to the metal substrate [6].
When wear occurs in a corrosive environment, however, the oxide film could be smashed
and removed from the contact area. As a result, the synergy of chemical and mechanical
attacks makes the wear damage more severe than that caused by mechanical wear alone.
The increased wear debris and rougher surface may influence the contact of the wearing
surfaces. Therefore, properties of the oxide film and its adherence to a metal surface can
significantly influence the wear resistance of metals in a corrosive environment.
The effect of sliding speed on corrosive wear losses of stainless steel 304 and A1
alloy 6061, illustrated in Figs. 2a and 2b, may provide a clue to possible mechanism for
corrosive wear of the corrosion-resistant materials. Recent work has demonstrated [26]
that the corrosive wear of stainless steel 304 in H2SO4solution is closely related to failure
and self-healing of passive film on surface. It is known that the growth and removal of
the passive film during corrosive wear is affected by the sliding speed. When the sliding
speed is low, the passive film formed on the metal surface is relatively thick before being
crushed. With an increase in the sliding speed, it could become thinner. When the sliding
speed is greater than a critical value, there is no time for passive film to form. Since the
passive film has a crystal structure different from that of the metal substrate, there exists a
lattice mismatch at the interface between the passive film and the metal substrate. As a
result, strain and thus stress (ai) is inevitably induced at the interface, as schematically
illustrated in Fig. 8. The interracial stress increases with an increase in the film thickness
because of the constraint from the outward atomic layers of the oxide film, therefore the

increase in thickness may increase the probability of debonding. The interracial stress
would eventually become constant when the film thickness reaches a certain value. This
distorted layer may cover 10 ~ - 10 t or more atomic layers. The interfacial stress can be
intensified when an external load is applied onto the surface. If the stress reaches a
critical value that results in cracking at the interface, the oxide film will fracture and the
interfacial debonding may occur.

Load P

Oxide f'dm

Metal substrate

Figure 8----Schematic illustration of the mismatched interface between

an oxide film and the metal substrate.

The potential influence of film thickness on debonding of the passive film and the
bonding strength of the film may explain the effect of the sliding speed on corrosive wear
of the tested materials. As shown in Figs. 2a and 2b, with increase in the sliding speed,
the wear loss decreased to its minimum and then rapidly increased as the sliding speed
was continuously increased. This variation in wear loss with an increase in the sliding
speed could be related to the failure of the passive film. At low sliding speeds, the oxide
film could be relatively thicker and it was therefore easier to be detached from the metal
surface because of the higher interfacial stress. As a result, the metal surface was
continuously attacked by corrosion due to the failure of the protective layer, leading to
greater material removal. In the meanwhile, the debris removed from the worn surfaces
would increase the friction, thus expedited the wear. As shown in Figs. 4a and 4b, the
friction coefficients were high in the low-speed range.
With continuously increasing the sliding speed, the oxide film could be thinner
with the consequently lower interracial stress, and this might decrease the probability for
detachment of the passive film. This may help to inhibit corrosion, thus resulting in less
corrosive wear as illustrated in Figs. 2a and 2b. On the other hand, less damage of the

oxide film could reduce the debris and this in turn decreased the friction, which is
consistent with the measurement of the friction coefficients (see Figs. 4a and 4b).
However, when the sliding speed was greater than the critical value at which passive film
could not have time to develop, the naked surface was heavily damaged by #he gynergic
attack of corrosion and wear, leading to severe wear loss. In addition, at high sliding
speeds, the lubricant was easy to get away from the rubbing surfaces because of higher
centrifugal force. This might enhance adhesion of the contact metal surfaces due to
deficiency of lubricating, resulting in more frictional heat. From Figs. 4a and 4b one may
see the fi-iction coefficients increased with the sliding speed in the high-speed range. The
high friction also promoted the wear.
When yttrium was added to the lubricant, the variation in wear loss with respect to
the sliding speed was similar to that in the Y-free corrosive lubricant. However, the
addition of yttrium to the lubricant considerably reduced the corrosive wear, especially at
the lowest and the highest sliding speeds. It was expected that the oxide adherence could
be improved when yttrium was added to the lubricant, similar to its effect on
high-temperature oxidation [7, 9-11, 13-20]. In addition, yttrium could reduce the growth
rate of the oxide film [26], resulting in a thinner passive film. As a result, the corrosion
damage of the metal substrate was diminished and so was the corrosive wear. This is also
consistent with the friction measurement, which showed that yttrium reduced the friction
coefficients of the materials during corrosive sliding. With potential improvement in the
interracial bonding by yttrium, wear debris could be reduced and this helped to reduce
friction, as Figs .4a and 4b illustrate. As for the friction at higher sliding speeds, if
passive film could not form timely, a raised corrosion potential by yttrium [23] could
reduce the metal dissolution, thus diminishing corrosive wear. It should be indicated that
yttrium might also modify the mechanical properties of the passive film. Recent study by
the present authors shows that yttrium may reduce the brittleness of the passive film on
stainless steel, thus reducing the film failure. Further studies are under way.
No matter whether yttrium strengthens the oxide film or its adherence or both, the
benefit of yttrium to its oxide film has been confirmedly demonstrated by recent
experiment on scratch resistance of oxide films on stainless steel 304 with and without
yttrium alloyed. During the experiment oxide films on the two 304 steel specimens
which, respectively, was Y-free and contained 1% Y yttrium, were scratched with in situ
monitoring variations in the electrical contact resistance. For Y-free 304 steel its oxide
film was damaged when the load reached about 15 mN (Fig. 9a), while the oxide film of
Y-containing 304 steel was fractured under a higher load of 23 mN (Fig. 9b). The
experiment indicates that the oxide film of Y-containing 304 steel has a higher resistance
to scratch. This result agrees with previous observation by Zhang and Li [26] that yttrium
can enhance the resistance of stainless steel 304 to scratch in dilute H2SO4solution. Their
experiments demonstrated that the passive film on the yttrium-containing stainless steel
304 was stronger in resisting the scratch damage than that on the yttrium-free one.
Although whether yttrium plays a predominant role in enhancing the oxide adherence or
in strengthening the oxide film needs further studies, it has been confirmed that the OAE
can help to inhibit corrosion by the present research and previous studies [23, 24, 26, 27].
Such a beneficial effect of yttrium diminishes the synergy of corrosion and wear and thus
reduces corrosive wear.

mH m Im~m~
oI

-18

-I@

Load
"+~"+,,\ ,too
Contact
.25. resistance

-40
"--,,.~. '~-.%

(a)

mN mohm

40 800

80a
Load Contact
-26~ resistance

-... 400

4G-

(b)
Figure 9---Failure response of the oxidefilm of(a) Y-free stainless steel 304,
and (b) Y-containing stainless steel 304 to scratching load.

Conclusions

It has been observed that oxygen-active dement can enhance the resistance o f
stainless steel and A1 alloy to corrosive wear. This article reports our recent work on the
role of yttrium as an additive in lubricants against corrosive wear; with the emphasis on
exploring the mechanism responsible for the beneficial effect of oxygen-active dements
on resisting corrosive wear. The research demonstrated that the wear and friction o f
stainless steel 304 and A1 alloy 6061 in H2SO2 environment was significantly reduced
when yttrium powder were added to the lubricants. In addition, studies were conducted
on variations in wear and friction coefficient with respect to the sliding speed. The
possible mechanism for yttrium effects on corrosive wear is discussed from the point o f
view of failure of passive films during corrosive wear process.

Acknowledgments

The authors are grateful for financial support from the Imperial Oil Ltd. Canada and
the Natural Science and Engineering Research Council of Canada (NSERC).

References

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The Effect of Oil Type on Wear in Fluid Power Components

Reference: Koivula, T., Karjalainen, R., Ellman, A., and Vilenius, M. "The Effect of Oil
Type on Wear in Fluid Power C o m p o n e n t s " Hydraulic Failure Analysis: Fluids,
Components, and System Effects, ASTM STP 1339, G. E. Totten, D. K. Wills, and D.
Feldmann, Eds., American Society for Testing and Materials, West Conshohocken, PA,
2001.

Abstract: Different types of hydraulic oils are used in fluid power systems in various
countries and conditions. Especially in mobile hydraulics, the range of used oils is very
wide. Properties of oils (viscosity, density, foaming and additives) differ significantly
from one oil type to another. Performance of a fluid power component is significantly
dependent on the properties of oil, as the component consists of several orifices,
clearances and tribological pairs.
Performance of a fluid power component can be greatly affected by wear.
Properties of a hydraulic oil have an affect on the tribological behavior of a fluid power
component as well as on the occurrence of cavitation. Material loss in a fluid power
component is affected by oil type due to their different behavior in tribological pairs and
cavitating flows.
The most commonly used hydraulic oils as well as motor oils have been studied in
the IHA at two different test systems. In a cavitating-jet apparatus, the material loss due
to cavitation erosion is studied and in a Vickers 20VQ test, the material loss due to
tribological action in vane pump is studied.
Importance of oil type on wear in fluid power components is discussed. Material
losses in Vickers 20VQ test and cavitating-jet apparatus are presented and compared.

Keywords: fluid power, wear, oil, cavitation, erosion

1 Researcher, Laboratory Engineer, Professor, and Professor, respectively, Tampere

University of Technology, Institute of Hydraulics and Automation, P.O.Box 589,
FIN-33101 Tampere, Finland.

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563
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564 HYDRAULIC FAILURE ANALYSIS

Introduction

The oil type for an application is selected based on several aspects such as type of
application, temperature, environmental demands, and cost. This leads to very wide range
of used oils in fluid power applications throughout the world. Especially in mobile
hydraulics the range of oils used is wide. In addition to hydraulic oils, also motor oils are
often used in fluid power circuits because it is cost-effective to use the same oil type
throughout the whole machine. Properties of oils (for example viscosity, density, foaming
and additives) differ significantly from oil type to another. Performance of a fluid power
component is significantly dependent on the properties of oil, as the component consists
of several orifices, clearances and tribological pairs.
Wear in fluid power components could lead to unwanted operation of components
and systems. For example, sealing or bearing surfaces may be damaged. In addition,
contamination due to wear debris increases the possibility to failure. Valves can be
jammed or flow paths can be blocked up.
Wear in fluid power components can happen by various mechanisms. Depending
on component construction and fluid properties, fluid power components can suffer
abrasive, adhesive, fatigue, or tribo-chemical wear.
In this paper, wear in fluid power components is studied in two different test
installations. In these experiments, the other parameters of wear are kept constant but the
fluid type is varied. The wear due to cavitation is studied in a cavitating-jet device where
the wear is mainly due to fatigue and tribo-chemical actions. In the other installation,
wear is studied in a vane pump where, in principal, all of the previously mentioned wear
mechanisms can be present.

Properties of the Studied Oils

Hydraulic oils are typically constructed from base oil and additives. The base oil
can be for example mineral oil, vegetable oil, or synthetic oil. Additive packages added to
base oil depend on an application to which the oil is primarily designed. There are
additives, which for example improve viscosity-index, prevent foaming, improve
lubrication ability, or prevent corrosion. Properties of oil define the behavior of the oil.
For example, one oil can produce intensive cavitation in conditions where another oil
flow can be cavitation free, or lubrication capability of an oil can change drastically when
additives are altered.
In these studies, the most commonly used oils in mobile applications were selected
to be tested. The properties of studied oils are presented in Table 1. The studied oils
include representatives from mineral oils, synthetic oils, biohydraulic oils as well as
motor oils.

Table 1 - Properties of the studied oils (suppliers' data sheets).

Code Oil Type Density Kinematic Viscosity-

viscosity index
(40~ (VI)
kg/m3 cSt

Oil A Mineral Hydraulic Oil VG 46 879 45 10t

Oil B Mineral Motor Oil 10W-30 882 75 144
Oil C Synthetic Biohydraulic Oil VG 46 920 49 182
Oil D Mineral Hydraulic Oil VG 46 880 46 220
Oil E Synthetic Biohydraulic Oil VG 46 920 48 190
Oil F Mineral Motor Oil 10W 880 44 125
Oil G Mineral Hydraulic Oil VG 46 870 46 187
Oil H Bio Hydraulic Oil VG 46 980 46 186

Viscosity at operating temperature is often considered as the most important

property of oil used in hydraulic systems. Component manufacturers set viscosity limits
for their components for optimal use. In Table 2, viscosity limits are presented for various
hydraulic pumps and motors. Recommended viscosity at operating temperature is 16-36
eSt. Maximum value of viscosity is 1000cSt and minimum 10cSt. In northern countries,
the starting temperature can be as low as -40~ and maximum operating temperature can
be even +80~ Hence, it is very difficult task to choose oil for year-round operation [1].

Table 2 - Recommended viscosity limits for hydraulic pumps and motors [2].

Type Viscosity [cSt]

Allowed Optimum Minimum Maximum
Vane pumps 25 ...160 16 800
Radial piston pumps 10 ... 200
External gear pumps and motors
Small pumps and motors 10 ... 300 1000
Large pumps and motors 10... 1000 25 ... 85
Internal gear pumps 20 ... 300 1000
Planetary gear motors 16... 160 800
Axial piston pumps and motors 16... 100 16 ... 36 10 1000

Vickers 20VQ test has proved to be very demanding test for oils. Due to the
shearing stresses, oils deteriorate rapidly. Especially mineral oils, which have high
viscosity index, are cut very rapidly. In Figures 1 and 2 it can be seen that oils B, D and
G are cut very strongly. For example, in the case of oil D, viscosity is 46 cSt and
viscosity index is 220. After one hour in the Vickers 20VQ test, viscosity has changed to
39.7 cSt at 40~ and viscosity index to 192. Furthermore, after 250 hours viscosity has
dropped to 30.5 cSt and viscosity index to 151. This kind of behavior is a very serious
problem for designers who cannot expect this kind of change in oil properties [3].

80
B40 ~ Catalog
1~140~ 1 h from start
7O
[] 100 ~ Catalog
~100 ~ 1 h from start
60
B100 ~ 250 h from start

0
Oil A Oil B Oil C Oil D Oil E Oil F Oil G Oit H

Figure 1 - Comparison of viscosities. (Catalog values and measured values at the

beginning and end of the Vickers 20VQ tests).
251)
I DVI Catalog
225 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ~ [~Vl 1 h from start
"~ [ [] V1250 h from sta~
20O

175

~50

125 . . . . . . . .

II Eii :. i ex\\~ r~::

i t,\\-i t~:.

"/5

I ~ \ \ x l t : ;: INEi
I t~,.~l~i!
25
]NN[ ":
0 I L~,"~IVi
Oil A Oil B Oil C Oil D Oil E Oil F Oil G Oil H

Figure 2 - Comparison of viscosity indexes. (Catalog values and measured

values at beginning and end of the Vickers 20VQ tests).

Wear Due to Cavitation Erosion

Cavitation is a term used to describe a process, which includes nucleation, growth

and implosion of vapor filled cavities. These cavities are formed into a liquid when the
pressure of the liquid for one reason or another is reduced below the vapor pressure of the
liquid in current temperature. When cavities are carried to higher pressure region, they
implode violently and very high pressures can occur.
Mechanical degradation of a solid material caused by cavitation is called cavitation
erosion. Cavitation erosion can be formed when cavity implosions are violent enough and
they take place near enough to the solid material. Cavitation erosion can be identified
from a specific rough mark in surfaces of component flow conduits.
A cavitating-jet apparatus was used in order to create controlled jet cavitation and
cavitation erosion on test samples. The test installation of the cavitating-jet apparatus is
presented in Figure 3. Cavitation starts when static pressure head at high velocity flow
reduces in the vena contracta of the jet and a cloud of cavities is ejected around the
emerging jet. The specimen is placed in the path of the jet when the cavities collapse on
the specimen and thereby cause erosion of the test material.

Orifice/ Test Sample

Figure 3 - The cavitating-jet apparatus used in cavitation erosion tests.

The degree of cavitation erosion is affected by various factors. The intensity of

cavitation determines the load, which is subjected to a solid surface. When cavitation
exists, the formed cavitation erosion is dependent on material properties. Cavitation is
primarily due to properties of a hydraulic fluid and in this paper section the effect of fluid
properties on formed cavitation erosion is discussed.

Parameters affecting the degree of the cavitation erosion formed in the used
apparatus with the used parameters are as follows:

9 Oil type Oils A...H

9 Orifice diameter 2.0 mm
9 Distance between the orifice and sample 15 mm
9 Exposure time 7 hours
9 Flow rate 28 1/min
9 Downstream pressure 5.0 bar
9 Upstream pressure adjusted to achieve the required flow rate
9 Temperature 50 ~
9 Filtration 3 lain abs (pressure), 25 jxrn abs (return)
9 Material of the test sample Aluminum (AI Mg Si 1)

Formed cavitation erosion was quantified as material loss of the test samples during
the exposure. The eroded samples were also analyzed by visual inspection (see Figure 5).

Results

The material losses due to cavitation erosion in the test samples with various oils
are presented in Figure 4. The greater the material loss of a test sample is, the greater is
the formed cavitation erosion.

Figure 4 - Material loss o f test sample due to cavitation erosion.

As can be seen in Figure 4 the formed cavitation erosion is strongly dependent on

oil type. Based on the tests the following conclusions can be drawn. Biohydraulic oils
have relative low capability to produce cavitation erosion compared to mineral hydraulic
oils. The mineral hydraulic oils with high viscosity-index (oils D and G), cause very
strong cavitation erosion. Oil A, which is also a mineral hydraulic oil produces
significantly lower cavitation erosion than oils D and G as it has lower viscosity-index.
Empirical information gathered from the field has also indicated that oils, which include
viscosity-index-improving additives, produce cavitation erosion strongly.

Figure 5 - T/~e eroded test samples after 7h exposure.

The studied biohydraulic oils (oils C, E, and H) produced lower cavitation erosion
than mineral hydraulic oils with high viscosity-index. During the tests, it was noted that
oils C and E were foaming strongly.
In several references of past research, it has been stated that the gas content of
liquid has a strongly reducing effect on created cavitation erosion. When oil is foaming,
there is a considerable amount of free air in the oil flow. Air will cushion the erosive
effect of the single cavities. Air bubbles in liquid will attenuate the shock waves induced
from cavity collapses. When erosion pits have formed on the surface of test samples, air
bubbles are trapped on pits and form a "protective screen" over the sample [4-7].
In order to find out the foaming tendencies of studied oils, a simple test (simplified
from DIN 51566 [8]) was carried out. In the test, pressurized air is injected through the
oil sample and foam is formed at the surface of oil. The formed layer of foam was
visually analyzed and the amount of foaming was quantified by measuring the time how
long the foam existed at the surface of oil. The inverse of the foam existing time
represents the disappearance speed of foam. The bigger the disappearance speed of foam
is, the less the oil is foaming. In Figure 6, the disappearance speed of foam is plotted
together with the mass loss of test samples. Although there is one exception with the oil
A, a good correlation is seen between the erosion and foaming. The smaller is the created
cavitation erosion; the greater is the foaming tendency.

0.18 600

c F3Disappearance speed of foam

,~ 0.16
r~ [ ] Mass loss in erosion test 500
0.14 . . . . . . . . . . . . . . . . . . . . . . .

0.12 400~.
I- 0.10
8
m O.O8-
r,
_'_,i............ ' 300 u~l

Q.
e, =
0.06 200 =,
Q

0.04 i
, 100
_= 0.02

0.00
< m 0 Q la.I u. (5 "r

B B B B B o

Figure 6 - Disappearance speed offoam vs. mass loss of specimen.

Wear in Vane Pump

A good way to test oils is the Vickers vane pump test standardized in DIN 51389.
The fundamental goal for this kind of test is to study the lubrication capability of oils.
Lubrication capability is determined with the aid of material loss of pump parts. In
Vickers test, oil research can be carried out in laboratory conditions, which is cost- and
time-effective compared to field tests [9, 10].
In the Institute of Hydraulics and Automation there has been test equipment
fulfilling the requirements of DIN 51389 since 1986. The standard requires the use of a
Vickers V104 vane pump in the test installation. Due to the problems encountered with
the Vickers V104 pump a new slightly modified test have been developed [11].
The hydraulic diagram with instrumentation is presented in Figure 7. First of all the
Vickers V104 vane pump was replaced with Vickers 20VQ vane pump and a
programmable logic controller for control and data acquisition was implemented.

Terminal for logic controlling [ ~ I U r

and data saving ~ I Logic for controlling
~ Z ~ ] ~ and data acquisition

~Tank tl I-
V=70 L ~ _ I

i i
";~ 20VQ-5 ..a.t_ I hi* I I
I
~/ i
f II kW
Cooling
water

Figure 7 - Hydraulic diagram of Vickers 20VQ-5 test.

An accurate regulation of pressure is achieved with a programmable logic

controller and a proportional relief valve. The values of pressure, flow rate, and
temperature is saved every 10 seconds by a data acquisition system. The test oil was
sampled and analyzed in the beginning and at the end of the test. Analyzing included
among other things determination of viscosity and viscosity index.
After modifying the hydraulic circuits, the test parameters had to be revised. The
parameters of the old V104-test and the new 20VQ-test is presented in Table 3.

Table 3 - Test parameters in Vickers tests [9, i1].

Parameter V104-test 20VQ-test

Pressure 140 bar 210 bar
Flow rate 30 +_3 l/rain Not,adjustable
Temperature No required value 65~ _+3~ for fluids VG < 46
80~ _+3~ for fluids VG > 46
Viscosity 13 cSt for fluids VG 32 No required value
30 cSt for fluids VG 32 ... 68
60 cSt for fluids VG > 68
Duration 250 hours 250 hours

Pressure level was raised up to 210 bar, because the wear achieved with 140 bar
was too small to balance with any commercial scales. Flow rate is not adjustable because
of the used pump type. In V 104-test, temperature is fixed to the required viscosity and in
20VQ-test, temperature is fixed to the VG-grade of oil. This is more practical, because
usually the temperature is easily controlled parameter. In addition, the VG grade of any
unknown oil can be easily defined by measuring the viscosity at the temperature of 40~

Results

Material losses of the pump parts with various oils are presented in Figure 8. It can
be seen that significantly different wear rates are obtained with different oils. By
comparing the wear results with the viscosities presented in Figure 1, it can be seen that
the wear rate does not depend only on the viscosity of the oil.
The Vickers 20VQ test is primarily a pass/fail-type acceptance test for oils. Passing
limits are standardized for V104-test and the same limits are used here in 20VQ test [9].
Material loss of 150 mg is the passing limit and material loss less than 50 mg indicates a
good lubrication capability. Hence, it can be stated that all of the studied oils pass the test
and five oils are good lubricants. Oils B, C, F, and G produced significantly low wear in
pump parts.
Motor oils (Oil B and F) lubricate very well, which is a presumable result, because
lubrication is the main task for motor oils.

120

110 . . . . . . . . . . . . - i . . . . . . . . . . i

100 . . . . . . . . . . . . . . . . . . . . . i

90 . . . . . . . . . . . . . . . . . . . . . i

at) . . . . . . . . . . . . . . . . . . . . . . . . . . . I
E m
I
T0 . . . . . . . . . . - . . . . . . . . i

60 . . . . . . . . . . . . . .i . . . . . . I
so . . . . . . . . . . . .............. i
40 . . . . . . . . . . . !

30 . . . . . . . . . i
i
20 . . . . . . . . . . . -!
J

Oil A Oil B Oil O Oil D Oil I:: Oil F Oil (3 Oil H

Figure 8 - Material loss in Vickers 20VQ-5 test.

C o m p a r i s o n of Results

Two different test installations were used for studying wear in fluid power
components. Various wear rates was acquired for eight different fluids. In this paper
section, the wear rates of various oils in cavitating-jet test and in Vickers 20VQ test are
compared. In Figure 9, it can be seen that while one oil produces strong material loss in
the cavitation erosion test, the same oil can produce little material loss in the Vickers
20VQ test, or vice versa. No correspondence between these two tests can be found.
The wear mechanisms are altogether different in the two test installations. In a
cavitation erosion test, the wear is due to load induced by fluid cavitation. Implosions of
cavities cause high mechanical loading of solid boundary. The total energy of the cavity
collapse and is transferred to the solid material, which will absorb the impact energy as
elastic deformation, plastic deformation or fracture. The repeated loading eventually leads to
fatigue wear. If there are cracks or discontinuities in solid material, wear can take place more
easily. In addition, if there is corrosive or other oxidative effects present in the erosion
process, the wear rate can propagate rapidly. Corrosive effects are excluded from cavitation
erosion test as the specimens are made of aluminum [4, 12].
The wear mechanism in a vane pump is complicated. The Vickers 20VQ-test studies the
lubrication capability of fluids. Rheological properties of oil determine the formation of oil
film between the material pairs and hence lubrication capability of oil. When the oil film
between the moving parts is incomplete, the vanes are not lifted from the ring surface and
wear takes place. There can be multiple wear mechanisms present in the vane pump
depending on several aspects such as temperature, pressure, material selection, and so on.
600 20
[B Cavitationtest ] ~] T/ 1

500 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100

.................. J- ~ ...... ~ so

oil A OUa OitC Oil D OilE OilF Oil G Oil H

Figure 9 - Comparison of mass losses in two test systems.

Conclusions

Various oils were studied in two different test systems. In the cavitation erosion
tests, very different wear rates were obtained between oils studied. Foaming was found to
be one of the reasons for various wear rates.
Another test installation was the Vickers 20VQ test, which studies the lubrication
capability of oils. Also in this experiment, material losses varied considerably depending
on oil used. All of the studied "passed" the Vickers 20VQ test and fore: of the studied oils
were found to be very good lubricants.
The wear rates in cavitation erosion tests did not correlate to the wear rates in
Vickers 20VQ test. The wear mechanisms are altogether different in the two test
installations. Some oil can have good lubrication properties but there again it can promote
erosion in cavitating flows.
In addition, during the Vickers 20VQ test, decrease in viscosity was noted with
some oils. Especially oils with high viscosity-index were cut rapidly.

References

[1] Product Catalog, "Hydraulic Fluids on a Mineral Oil Basis for Axial Piston Units."
MannesmannRexroth. RE 90220/12.95, 1995, 4 p.
[2] Karjalainen, R., "Oil - Designers Nightmare?" Fluid Power Theme Days at IHA. Tampere
7.10.1998, pp. 41-56. (In Finnish)
[3] Karjalainen, R., Koivula, T., Riipinen, H., Ellman, A., and Vilenius, M. "The Philosophy of
Oil Usage in Mobile Applications," IHA Report 59. Tampere University of Technology,
1999, 61 p. (In finnish)
[4] Hansson, C.M., Hansson, I.L.H. "Cavitation Erosion," ASM Handbook: Friction,
Lubrication and Wear Technology. Vol. 18. p. 214-220.
[5] Knapp, R., Daily, W., Hammitt, F., "Cavitation," McGraw - Hill, 1970, 578 p.
[6] Kleinbreuer, W., "Untersuchung der Werkstoffzerst0rung durch Kavitation in
01hydraulischenSystemen," Dissertation TH Aachen, 1979, 307 p.
[7] Shimizu, S, Yamagnchi, A., "Cavitation Erosion in Hydraulic Oil, HWCFs, and Tap Water,"
International Symposium on Fluid Power, Tokio, JHPS, 1989, pp. 261-266.
[8] DIN 51566, "Bestimmung des Schaumverhaltens," Deutches Institut fiir Normung, 1983,
6p.
[9] DIN 51389 Teil 1, "Priifung von Scinnierstoffen; Mechanische Prtifung von
Hydraulikfliissigkeiten in der Fltigelzellenpumpe; Allgemeine Arbeitsgrundlagen,"
Deutsche Institut flit Normung, 1982, 4 p.
[10] DIN 51389 Teil 2, "Priifung yon Schmierstoffen; Mechanische Priifung von
HydraulikflUssigkeitenin der Fltigelzellenpumpe; Veffahren A fiir wasserfreie
Hydraulikfliissigkeiten," Deutsche Institut fiir Normung, 1982, 3 p.
[11] Karjalainen, R., "The Modification of Vickers V104-test to Vickers 20VQ-5-test. Definition
of Test Parameters and Analysis of Results," Licentiate Thesis, Tampere University of
Technology, 1998, 54 p + 1 appendix page. (in Finnish)
[12] Preece, C.M., "Cavitation Erosion". Treatise on Materials Science and Technology, Volume
16, Erosion, New York, Academic Press Inc, 1979, pp. 249-308.

Recent Experiences with Ester Based Fluids in Qualification Tests

Reference: Feldmann, D. G., and Kessler, M., "Recent Experiences with Ester Based
Fluids in Qualification Tests", Hydraulic Failure Analysis: Fluids, Components, and
System Effects, ASTM STP 1339, G. E. Torten, D. K. Wills, and D. Feldmann, Eds.,
American Society for Testing and Materials, West Conshohocken, PA, 2001.

Abstract: To develop a new, for instance a biodegradable hydraulic fluid numerous stan-
dard and in-house screening tests are necessary to verify the lubricating properties. It was
further determined that evaluation within a hydrostatic transmission, simulating field op-
erating conditions, as a final test is critical but needed, as new fluids will occasionally fail
this test, although all prior tests were passed.
This paper describes recent experiences at the authors' institute with ester based
hydraulic fluids run in a heavily loaded hydrostatic transmission under laboratory condi-
tions on the so-called "flywheel-test rig" [1-6]. Change of fluid properties and wear be-
havior of the hydrostatic components are compared to derive statements about the fluids'
behavior to be expected in the field application.

Keywords: biodegradable hydraulic fluids, flywheel test, mechanical testing of hydraulic

fluids, wear, tribology

Introduction

About 90% of the hydraulic fluids used nowadays are mineral oil-based products.
A large amount of them - in 1996 German environment ministry mentions 40% - are not
disposed regularly and leak to the environment directly. This causes pollution in hazard-
ous amounts especially in near-water applications. To reduce the harm to the environ-
ment caused by leakage (which can be reduced to zero only theoretically) different kinds
of biodegradable fluids have been developed to replace mineraloil based fluids especially
for use of hydrostatic systems in sensitive environment (e.g. forest, agriculture, marine).

Professor, Institute for Mechanical Engineering Design 1, Technical University of

Hamburg Harburg, Denickestrage 17, D-21073 Hamburg, Germany
2 Research scientist, Institute for Mechanical Engineering Design 1, Technical University
of Hamburg Harburg, Denickestral]e 17, D-21073 Hamburg, Germany
Copyright by ASTM Int'l (all rights reserved); Fri Aug 31 00:20:19 EDT 2018
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YanShan University (YanShan University) pursuant to License Agreement. No further reproductions authorized.
Copyright* 2001 by ASTM lntcrnational www.astm.org
576 HYDRAULICFAILURE ANALYSIS

The fluid types are synthetic esters (HEES), native esters (HETG) and polyalcylenglycol
(HEPG).
Figure I gives a course overview about the interaction between fluid properties and
the function of the fluid in the system. The fluids' chemical structure determines their
properties and technical function in a significant way: For use of the biodegradable fluids
however - compared to the use of mineral oil based fluids - some restrictions limiting
their lubricating capability have to be made because of inferior hydrolytical and thermal
stability properties, which lead to corrosion erosion, especially of yellow-metal compo-
nents with the presence of water; water content in field applications very often exceeds
manufacturers limits. Additionally seals must be selected to be compatible with the type
of fluid. And finally contamination of biodegradable fluids with mineral oil in case of a
oil change or a refill may reduce the lubricating capability and has to be observed and
avoided more strict as in an application, where a mineral oil is used.

alncrease
In /
better
influences ~ P R O P E R T Y
the fluids ~-->
FUNCTION "

transmit power

transmit forces by pressure

synchronlsa~on by fluid r
)" for incompressible fluids
rnoUons are synchron

to reduce fdcflon

to reduce wear

generate leak tightness

conduct heat

deduce particles
reduce chemical / physical
interac~ons
- between metal components

- between other components

- In the fluid
9 pdm~ re~n , ~c e ~ raiaflon

Figure 1 - Fluid properties: Effects of changed properties on the fluids function

To determine the lubricating capability or property of a lubricant, various "me-

chanical" testing methods are traditionally used (Figure 2). The standard for mechanical
testing of hydraulic fluids is the vane pump test, according to DIN 51389 and DIN 51524.
Several non-standard "in-house" test methods for screening and final testing are used as
well.

te=t give= Information about

fluid components

q*p~.a;
test procedure I kind of Iosr testing date duration

FZG-test (DIN 51 354) / quasistatic n . = 1440 l/rain T = 15rain

(max. 3 h)
P.=S.SkW
Vr 1251
9 9 0 9 o
T=90*C

VKA-test (DIN 51 350) / quasistatic n . = 1420 l/min T = 6 0 s

g/ F ~ = 6000 N
Va = 12 ml
(max. 1 h)
0

n . = 1440 l/min T = 250h

vane pump testing (DIN 51389) / P.= = 11 kW
quasistatic Vcq= 70 I 9 9 0 0 0 0
~p = t40 bar

non standardizised tests dependent on dependent on dependent on

Tests / quasistatic, dynamic ~e procedure the procedure the procedure
flywheel-test / dynamic / reproduces n ~ = 4000 l/rain T= 300 h
load types of mobile applications A p ~ = 450 bar
6 cycles / min 0 0 0 c o o
P~, = 140kW T = 1000h
PM = 40kW
Va=701 9 9 9
T ~ = 1200C
n . = 1470 l/min T = 500 h
& p ~ = 210 bar
gear pump test/ / (~ i ~ I
quasistatic
high shear load
P =30 kW 9 00 0
va=2s,
Tr,,. = 60(80) ~
& p ~ = 400 bar s = 200 km
cylinder test/ ~ ~ 1 = ~ , ~ V~ = 601
quasistatic P=4OkW 9 0
Tr=* = 70(90) *C
ngged components ,5,p~ = 450 bar T= 300 h
0 0 0 9 @ @
test / quasistatic / (~==~) P~,,. = 200 kW
P,, = 40kW T=1000h
high circulating power
n ~ = 4000 llmil
9 9 9
- central information 0 - side inform

Figure 2 - Overview over common test procedures for mechanical testing of hydraulic
fluids

Different tests focus on different tribological items, as shown in Figure 2, where

typical test data and the achieved test results are compared.
This situation is not satisfactory in many respects. Since in the majority of the tests
only part of the interaction between fluid and components is tested, the validity of test
results is limited especially in the case of the vane pump test. Run under the same condi-
tions, some tests lead to results of widespread variation with poor reproducibility; due to

the number of necessary test procedures, cost and time expense is high. Finally, there is
no proof that commonly used procedures will be suitable for more modem - for instance,
biodegradable - fluids.
To overcome this situation the Institute for Konstruktionstechnik 1 of the Technical
University of Hamburg-Harburg, which deals with Mechanical Engineering Design and
Transmission Science, carried out tests with biodegradable fluids in hydrostatic transmis-
sions under laboratory conditions with a "flywheel test rig". In contrast to the more sim-
ple test procedures, the flywheel test rig is able to produce application type tribological
loads to the fluid. First research projects started already in 1986, using native and syn-
thetic esters, when biodegradable fluids became important in Europe, although being at
early stage of development. Experimental work on different kinds of biodegradable fluids
continues at the authors' institute [1-6].
Test duration was first set at 1000 h, which is typical for industrial component
testing, but reduced to 300 h later: The reduced test duration will normally give enough
information about a poor fluid. If performance of the fluid can not be judged after 300 h,
it is always possible to continue the test. Additionally, reduced test duration lowers cost
and time and the risk of catastrophic failure of heavily loaded components during the test
run.

0 1000 2000 3000 4000 5000

I I I
total hours of operation
300 hours

t : 4400 hours I

t = 5_000 hours I

flywheel-test harvester I
\ harvester 2

P = 160 k W machine 093 01783 machine 092 04336

n = 3000 rpm P = 150 k W 4~_ P : 120 k W
p = 300 bar n = 2400 rpm "" n = 2400 rpm
t = 300 hours p = 143 bar p = 138 bar
t = 4 4 0 0 hours t = 5000 hours

Figure 3 - Hydrostatic components' load (calculated with bearing life equation) at the
flywheel test-rig compared to field test applications

As there are no models to describe the wear behavior of a hydrostatic machine it is

an open question, whether the results of 300 h or 1000 h test time are a sufficient base to
predict the system behavior with respect to the fluid for a proposed system life. To give
any answer, bearing life calculations were made comparing test and field application,
knowing, that there is no direct relation between bearing life, fluid performance and
wear. Two load cycles of combines were available, so calculated bearing life for the
combine could be compared with bearing life under flywheel test rig conditions (Fig-

ure 3). A flywheel test run of 300 hours produces a load on pump and motor components
which is comparable to that of 4400-5000 hours field operation of a combine, i.e. time
effort of application related flywheel testing is ten times lower than testing in the field.

Table 1- Data offield (test) applications quoted from literature [7]

Application Fluid type Maximum Reservoir Max. Max. pressure,

reservoir volume, Power,
temperature,
~ liters kW bar
wheel loader rapeseed oil 70 * 78 190
metal press (55 t) synthetic 55 * * 250
ester
lift truck synthetic 88 * I00 230
ester
combine (propel) rapeseed oil 90 * * 450
combine (working rapeseed oil 80 * * 180
hydraulic)
forage harvester synthetic 90 * 120 450
(propel) ester
forage harvester synthetic 80 * 120 200
(working hydrau- ester
lic)
excavator polyglycol 40 1700 58 440
head station in a rapeseed oil 40 6500 24 580
tunneling ma-
chine
intermediate sta- polyglycol 40 1600 63 600
tion in a tunneling
machine
* data not reported

To determine the correlation between flywheel test results and applications in the
field using biodegradable fluids, a literature study was carded out [7]. Apart from the
problem of finding a representative number of publications, generally comparison is dif-
ficult (Table 1). First there is a widespread variety of fluid types under miscellaneous
operating conditions. Since the most important type of biodegradable fluids are synthetic
esters, they are preferred for correlation. Today polyglycol is less important in mobile
applications, rapeseed oil can cause problems especially in heavily loaded mobile hydro-
static transmissions because of its low thermal stability. Moreover operating conditions
are unknown or the information is unsufficient, because documentation of field tests of-

ten is unsatisfactory. It is not acceptable for machine owner and user, e.g. farmers, to
have equipment downtime caused by periodical component checks only for scientific
investigations, but for an evaluation of the rate of wear it would be unavoidable to inspect
pump and motor components frequently and document the increasing wear on the com-
ponents' surfaces to correlate it to efficiency measurements, carried out for defined oper-
ating conditions. Field test data collection often only gives information about maximum
values of pressures, rotating speeds and temperatures, load profiles for defined operating
conditions are lacking. Such peak values can not be assumed being representative for the
load of the fluid and machine components. And, as can be seen in Table 1, field test data
typically are incomplete to a high extent, important information like the reservoir capac-
ity is not recordet. Finally, it is not possible to derive reliable statements for hydraulic
fluids' behaviour in the field generally by pulling up one special application only.
Hence, the behaviour of a new hydraulic fluid can not be determined only by the
results of simplified bench tests or from experiences collected in field applications using
similar fluid types. State-of-the-art for producers of fluids to get system manufacturers
clearance for a new fluid is to perform a flywheel test run in a heavily loaded hydrostatic
transmission as a final check for the lubricating properties.

The Flywheel Test Rig

The flywheel test rig (Figure 4(a)) reproduces operating conditions as they are
found in mobile applications under "real conditions", i.e. typically for field application.
During the test-run the wear behaviour, the occurrence of cavitation erosion and compo-
nents life expectancy is examined: The observed wear at tribologically loaded surfaces of
specific pump and motor components is compared to the results of a flywheel-test run
with the mineraloil based fluid HLP ISO VG 68, which is at 90~ reservoir temperature
nearly of the same viscosity as ester based fluids and is a proven type of fluid for a wide
variety of applications, mobile and stationary.
The hydrostatic pump operates with constant speed; the hydrostatic motor acceler-
ates from zero to maximum rotating speed, back to zero, changes direction of rotation,
accelerates again to maximum rotating speed and slows down to zero again. Motion of
the motor is controlled by pump displacement: A frequency generators signal turns the
swashplate in the range from -17 ~ to + 17 ~ so direction of flywheel rotation alternates
cyclic and maximum system pressure changes between pipe A and pipe B (Figure 4(b)).
Maximum pressure difference at the components is limited to 420 bar during flywheel
acceleration/deceleration. Especially at low rotating speed high torque occurs, causing
high tribological load and mixed friction conditions for motor components, showing if
the required lubricating capability of the fluid is sufficient or not.
The closed hydraulic circuit allows to use the kinetic energy of the (decelerating)
flywheel to power the electric motor, working as generator then. Accelerating the fly-
wheel power flow changes its direction. The average power loss is about 40 kW, at 120
kW nominal power of the electric motor. This is a typical situation for mobile applica-
tion, where vehicles are accelerated and decelerated via the transmission.

(a)

motor pipe B flywheel

(b) n
J I n 91ectdd motor = n purr I I
I I I I I I

\ f ~ / ~ I t
I -~ ,/ b 1
I i I I
I I I i
l I I I i
l I I I
L i ............. ] "-........
i i I ) o,oo
.............. 1 ! ....... . ............ o,oo
t

Figure 4 - (a) Scheme of the flywheel test rig (b) pump and motor rotating speeds with
corresponding operating pressure (scheme)

Figure 5 shows the monitoring concept of the flywheel test rig. It was developed at
the authors' institute and bases on experiences collected at earlier research projects. The
test rig operation is controlled by a stored program control (SPC) on the one hand and on
the other hand by a personal computer (PC), which does data-recording and -processing
similarly, too. The cyclic acceleration and deceleration of the flywheel is realized by a
frequency generator, which activates the displacement controls of pump and motor. In-
formation about the test rigs operating conditions are collected by sensors and switches,
which directly lead their signals to the SPC and (A/D-processed) to the PC. PC and SPC
are corresponding directly; if during the online communication between SPC and PC an
error message, e.g. from the limit value switches occurs, the test rig is shut down auto-
matically with a fixed procedure and must be re-activated by hand. This is necessary to
maintain unsupervised test rig operation during the whole 300 h test duration without the
danger of uncontrolled test rig operation and possible damages. If there is a failure in a
pump or a motor component, the system is run down from maximum speed to zero dur-
ing a few rotations automatically. Failure caused wear particles and debris will not be

spread over the whole system causing secondary damage making failure diagnosis and
analysis impossible.

Figure 5 - Data recording and control scheme of the flywheel test rig

The designs of pump and motor used in the flywheel test rig in the herein described
tests is shown in Figure 6. Inspected components, which condition is documented by sur-
face plots and photos normally, are named. The size of pump and motor have been cho-
sen as typical for mobile vehicles, equipped with prime movers in the range of 60 to 100
kW. Pressures, speeds, accelerations and oil temperatures have been set high, and tank
volume low, to produce heavy load for the system including the oil and shorten test time.
Table 2 shows the technical data of the hydrostatic machines used in, and Table 3 their
set of "wear parts", including all components which influence function, efficiency and
life expectancy of the hydrostatic transmission directly. These are mainly parts of the
rotating groups as cylinder block and valve plate, piston and bushing, slipper and swash-
plate, roller and needle bearings, journal bearings and radial lip seals.

Figure 6 - Design and inspected components of axial piston type pump and bent axis type
motor of the flywheel test-rig [Sauer-Sundstrand AG]

Table 2 - Technical data of the hydrostatic machinery in theflywheel test rig

Axial piston type pump Bent-axis type motor

Sauer-Sundstrand variable displacement Sauer-Sundstrand variable displacement
swashplate type axial piston pump, bent-axis type motor,
Series 90, Series 51,
max. displacement 75 cma/rev., max. displacement 110 cm3/rev.
integrated charge pump (displacement min. displacement fixed at 60 cm3/rev.
20 cm3/rev.)

Table 3 - Components of the set of "wear parts "*for pump and motor

Axial piston type pump Bent-axis type motor

Drive shaft drive shaft
Rotating cylinder Mock pistons
Pistons with slippers piston rings
Swashplate rotating cylinder block
Slipper retainer plate bearing plate
Mechanical holddown valve plate
Swashplate support needle bearing synchronous joint
t-bar (control link) synchronous joint rollers
gliding block synchronous joint support pin
servo-piston drive shaft roller bearings
valveplate rotary shaft seal
drive shaft of the charge pump valve plate guiding
Gerotor set
Charge pump thrust plate
Charge pump cover plate
Roller bearing
Drive shaft journal bearing
Charge pump journal bearing
Radial lip seal
* For each test-run a factory new set of wear parts is used. Other parts (e.g. housings) are
typically used for multiple test-runs.

To get an impression of the lubricating properties of a tested fluid, it is not useful to

use absolute values. Observed wear must be compared with test results of fluids with well
known and "normal" operating behavior, mainly mineral oil based fluids.

Table 4 - Typical fluid caused failures and malfunctions at the flywheel test-rig and their
appearance
appearance
Typical observations on parts, which relate to fluid once for diff. for HEES-
"quality" fluids fluids only
pump components
Drive shaft
9 abrasion of material at spline (rotating cylinder block) X X
9 traces at sliding surface (radial lip seal) X X
Rotating cylinder block
9 cavitation and sliding wear at the valve plate X
9 bushing (pistons) X
Piston with slipper
9 sliding wear at contact slipper / swashplate X
9 discoloration/corrosion erosion of slipper X X
9 discoloration of slipper sliding surface X X
9 significant abrasion of material at slipper collar X X
9 sliding wear at piston sliding surface X
miscellaneous
9 sliding wear at the swashplate (slipper running sur- X
face)
9 imbedding of T-bar into swashplate surface X X
9 sliding wear and imbedding of T-bar into guiding X X
plates
sliding wear at slipper retainer plate X
sliding wear at mechanical holddown X
sliding/rolling wear at swashplate roller beating X X
sliding wear at tribocontact gliding block/servo piston X
discoloration (copper) of gliding block X X
sliding wear at valveplate X
decomposition of PTFE-layers (journal bearings) X X

motor components
Drive shaft
9 traces at sliding surface (radial lip seal) X
Rotating cylinder block
9 traces at synchronous joint (guiding) X
miscellaneous
9 sliding wear at valve plate X
9 traces at synchronous joint X

To get comparable data the set of wear parts (Table 3) is extensively analyzed after
the test run. The state of each component is documented by a photo and a description of
the optical impression. Surface measurement at tribologically loaded surfaces is done
with the help of a Perth-o-Meter and further documentation (enlarged photography, etc.)
is carried out for special wear phenomena. Furthermore, the weight loss of each compo-
nent and the growth of clearances is determined.

Experiences with synthetic esters in the flywheel test

In the following, experiences with synthetic esters, developed in the past five
years 3, are described. Tests were carded out at the flywheel test rig at the authors" insti-
tute, where synthetic esters have been tested for over ten years now. 4 So the potential of
highly developed and more modem ester based fluids can be valued and clearly com-
pared.
Normally during a test run different kinds of failures may occur, which can be di-
vided into non-fluid caused observations and fluid-caused observations.
Failures which are not fluid-caused, like e.g. burst of manometers or hoses and mal-
functions of mechanically high loaded measuring instrument components, are typically
caused by the heavy duty load cycle during the test run. Generally they are of no rele-
vance for the field performance of tested fluid. Hence, it should be taken into considera-
tion, that their occurrence can cause interruptions of the test run.
More important are fluid caused failures (Table 4). The pump seems to be stressed
higher obviously. Normally more components of the pump show the effects of wear at
the end of a test run and detected wear is more excessive than in the motor. The reason is
unclear, yet, because the estimated lubricating conditions are quite better for the pump
than for the motor. Rotating at constant speed, the occurrence of mixed film lubrication is
less likely for the pump than for the motor, which rotation changes from maximum to
zero and reverse to maximum twice per cycle (see Figure 4).
Using synthetic esters, in contrast to the use of HLP some more reproducible fail-
ures - only at pump components - can be detected regularly (Table 4). Dark coloration of
yellow metal components occur, also abrasion of material at the drive shaft spline and
significant traces at radial lip seals in the pump shaft can be detected. Generally there
seems to be higher wear for all tribocontacts at high loads under "quasi-static" condi-
tions.
Table 5 gives an overview over the fluids tested in the past five years on the fly-
wheel test rig at the authors' institute. HLP was used as a reference fluid and 14 flywheel
test runs for different synthetic esters of saturated and unsaturated type were carded out,
and are identified with capital letters in Table 5. Some of them were tested once, others,

3 The tests were carried out between 1994 and 1999 at the authors" institute; for details
see [7].
4 First tests with synthetic esters were carried out 1986 at the authors" institute, for details
see [21.

to check reproducibility of the amount of wear in different test runs at the same condi-
tions, were tested twice. It is not useful to check absolute values. The observed wear at
tribologically loaded surfaces of specific pump and motor components is always com-
pared to the results of a flywheel-test run with mineraloil based fluid HLP ISO VG 68,
which is at 90~ reservoir temperature nearly of the same viscosity as ester based fluids
HEES ISO VG46.

Table 5 - Fluids tested in the past five years

tested product fluid type ISO VG wear behaviour remarks

(chemistry) relative to HLP
HLP - 68 reference fluid
HEES A ? 46 worse
HEES B ? 46 equal
HEES C saturated 46 equal first test run
HEES C saturated 46 equal second test run
HEES D saturated 46 equal first test run
HEES D saturated 46 equal second test run *
HEES E saturated 46 equal
HEES F unsaturated 46 worse first test run
HEES F unsaturated 46 worse second test run
HEES G saturated 46 equal first test run
HEES G saturated 46 equal second test run
HEES H saturated 46 worse
HEES I unsaturated 46 worse Test failed after 160 h
HEES J saturated 46 worse
"Examples used for further comparison

It can be concluded that the observed wear patterns were reproducible. For fluids
tested twice, wear is nearly of the same order and element content at the same magnitude.
However, among the different fluids there are quite remarkable differences in the test
results. Some synthetic esters show a wear behaviour comparable to a high quality mine-
ral oil based fluid (HEES B, C, D, E and G), others show higher wear rates (HEES A, F,
H, I, J) even up to a pump breakdown after about half of the test duration for HEES L
There is no clear tendency in the wear behavior related to saturated and unsaturated es-
ters. Both unsaturated esters show a wear behaviour worse than HLP; test results of some
of the saturated esters are worse, too. The one pump breakdown after 160 h test duration
occurred using an unsaturated ester, but this can not be base for a general statement about
the "quality" of unsaturated esters. Because of the tested number of

Table 6 - Observed wear at pump and motor components after a 300 h test run
Observations HEES D .. HEES H

Pump components
Drive shaft
9 spline Abrasion of mate- Abrasion of mate-
(rotating cylinder block) rial rial
9 sliding surface Trace (4 ~tm), Trace (1 ~tm),
(radial lip seal) leakage leakage
Rotating cylinder block
9 sliding surface sliding wear, + sliding wear, o
(block face) cavitation erosion, + cavitation erosion, o
discoloration o discoloration
Piston with slipper
9 sliding surface (slipper) sliding wear o sliding wear
9 slipper collar burying (15~tm) burying (20 ~tm)
discoloration
miscellaneous
9 valveplate sliding wear, o sliding wear,
material carry over o material carry over
9 swashplate roller bearing
9 swashplate traces, o traces,
printings o burying T-bar into
surface (125 Ixm)
9 rollers traces o traces, -
printings
9 bearing ring traces, o traces,
printings o printings "
9 journal bearing O

motor components
drive shaft
9 sliding surface traces (< 1 ~tm), o traces (< 1~m), o
(radial lip seal) no leakage o no leakage o
miscellaneous
9 beating plate sliding wear, sliding wear, o
cavitation erosion cavitation erosion, -
discoloration o discoloration -
*) + better / o equal / - worse behavior compared to HLP

saturated esters, it only can be stated that saturated esters of high quality are currently
available and more often used than esters of unsaturated type.
To get a more detailed picture about a potential classification, two representative flu-
ids are chosen for further analysis, HEES D as a fluid of the class "equal to HLP" and
HEES H as a fluid of the class "worse than HLP", both of saturated type.
Table 6 shows the observed wear of pump and motor components for both fluids,
valued relative to mineral oil. The differences of both fluids in their wear behaviour rela-
tive to HLP and between HEES D and HEES H can be seen. As stated before, there is a
larger number of interesting observations for pump than for motor components, again
illustrating the higher tribological load of the pump.
Using HEES D wear after a test run, most components are comparable to the result
of a test run with high quality HLP, even better at the sliding surface of the pump rotating
cylinder block. Only at the pump drive shaft and the motor bearing plate the occurrence
of slightly more abrasion and cavitation erosion can be detected.
Using HEES H, however, after a test run most components show higher wear than
for high quality HLP test runs. Only the traces at the radial lip seal of the pump are less
significant compared to HEES D and no leakage occured. Run under the same conditions
it is obvious that HEES H shows significant worse wear behaviour than HEES D and - of
course - than HLP as mentioned before.
Figure 7 shows photos and surface plots for a selection of three worn pump compo-
nents for "worse" HEES H s and for HLP, for which the above mentioned differences
should be illustrated. At the drive shaft spline the abrasion of material at the surfaces be-
ing in contact with the rotating cylinder block can be seen clearly. This observation oc-
curred with every HEES-fluid being tested and was never detected at any HLP-fluid. At
the radial lip seal HEES-fluids cause traces normally, in case of HEES H with a depth of
about 1 ~tm6. Significant wear also can be seen at the pistons' slipper collar. Differences
can be detected between the machined surface of the slipper collar and the surface being
in contact with the slipper retainer plate. For HLP a slightly polished surface with abra-
sion of material less than 10 Ixm can be seen. For HEES H there is a clear gap with col-
lateral peak between the surface being in contact and the machined surface, both of a
magnitude of nearly 50 Ixm. This phenomenon is typical for the tested esters and did not
occur with mineral oil.
Table 7 shows the change of fluid parameters (element content, viscosity and total
acid number) during a test run. Regularly, every 50 hours of test rig operation, fluid sam-
pies (0.5 litres) are tapped of and analyzed 7. The values of detected elements at the be-
ginning (0 h fresh oil sample), at the end (300 h fluid sample) and in the middle of the
test run (representative value, 150 h or 200h fluid sample) are given in the figure; the
tendency is shown with grey arrows. This is of special interest, because often the change
of fluid parameters during a test run or for a field application is unknown, which may

s HEES H is chosen as the HEES-fluid with wear pattern similar to HEES D but at a
higher wear rate (i.e. better to compare to HLP wear behavior).
6 Radial lip seal traces are detected up to a depth of over 20~tm, so HEES H caused traces
are moderate in this case, although HEES H was classified as ,,worse".
7 Chemical analysis and particle counting was carded out for each fluid sample separately
by WEARCHECK GmbH, Kerschelsweg 28, D-83098 Brannenburg, Germany.

-r

N
r"
m
>
>
E
o

>
c

z
Figure 7--Biodegradable fluids compared to HLP: typical wear at tribological loaded surfaces (selection).

give additional information about the state of the fluid and the occurrence of wear; nor-
mally only values for fresh oil and sometimes the condition at the end are known.
The listed element content is separated into three subgroups, which give different
information about the fluid: The occurrence of typical metal wear elements, like for ex-
ample lead (Pb), which is often used in journal bearings and yellow metal alloys, indi-
cates wear. The occurrence of elements like silicon(Si), potassium (K) and sodium (Na),
points on dusty or aqueous contamination from the environment. Typical additive ele-
ments are substances like calcium (Ca) and magnesium (Mg), as thermal stabilizer, boron
(B), as detergent and friction improver, zinc (Zn), a typical anti-wear additive, and phos-
phorus (P) and barium (Ba) as typical extreme pressure additives. A change of additive
content gives information about the state and the actual effectiveness of the used additive
package.
The change of viscosity and total acid number (TAN) give additional information
about the state of the fluid.
Moreover, for all fluid samples particle counting was carded out. Even though a
connection between element content and particle contamination was expected, no direct
correlation could be found. Particle numbers vary more or less arbitrarily without signifi-
cant tendency, so the measured particle numbers are not listed in Table 7. It can be as-
sumed, that the particle number in the analysed fluid sample gives less reliable informa-
tion about the actual state of the fluid. It is more a documentation of the actual (i.e. at
tapping-of time) contamination, mainly determined by single events e.g. by failures of the
filter or by the actual environmental conditions.
In Table 7 the element content and its change for the three fluids can be compared.
It can be stated that the number of elements detected in the fluid during a test run is gen-
erally higher for ester based fluids than for mineral oil. The "better" HEES D fluid has
less number of detected elements than the "worse" HEES H. If detected, metal wear and
contamination related elements are of nearly the same magnitude. Only the value of ad-
ditive elements differ significantly for the three fluids, dependent on the additive package
being used. Noticeable is the high zinc content of the HLP fluid, probably caused by an
anti wear additive package using ZnDTP and being worse for biodegradability. Another
interesting fact is the "trend behaviour" of the element content. For HEES D the number
of detected elements, viscosity and total acid number (TAN) is increasing on most cases,
and remain constant in the others. HLP values are decreasing or remain constant during
the test run, except the copper content. And for HEES H fluid there is a maximum in the
middle of the test run with lower values at the beginning and at the end. Only viscosity is
decreasing during the test.
Obviously it is not possible to classify fluids by single parameters. From the "trend
behaviour" as well as from single values of detected elements, it is not possible to give
reliable prediction of "good" or "worse" anti-wear properties. Hence, an overview of all
parameters together gives a clear impression of the fluids operating behaviour. Even
though, during a test run, parameters vary individually in its initial value and in its mag-
nitude of change, a statement to the general tendency of a tested fluid can be made rela-
tive to HLP, of course. Results of chemical analysis are more reliable than the actual (i.e.
tapping of time) particle contamination, which seems to be influenced more by short time
events than by long run trends. The results of fluids tested twice show reproducibility, so

it can be stated that differences in parameters between two different fluids are mainly
caused by fluid properties itself, not by arbitrarily variations between two test runs.

Summary

Within the scope of this work, first an overview about modern hydraulic fluids and
testing methods being used is given. It can be seen clearly that, even though companies
conduct high effort of in-house screening tests during a fluid development, there is no
reliable and simple testing method known. So, the "final check" is carried out by testing
the fluid in a heavily loaded hydrostatic transmission at the "flywheel test rig" normally.
Occasionally, some fluids fail this final test.
This paper deals with the experiences of tests with HEES fluids, carried out at the
flywheel test rig in the authors' institute. The flywheel test procedure is described in de-
tall. Typical wear patterns are given. It can be seen that pump components show a higher
wear rate than motor components.
All ester based fluids tested at the authors' institute in the past five years are com-
pared and classified. As representative examples for the wear behavior, one synthetic
ester being "equal to" and another being "worse than" mineral oil based fluid are ana-
lyzed in detail. One important result of the test series is that high quality ester based bio-
degradable fluids generally have the potential to replace mineral oil based HLP fluids in
hydrostatic transmissions. However, operating conditions must be checked carefully. The
benefit of better lubricating properties of "fresh" HEES in contrast to mineral oil based
fluids may be compensated by HEES' ageing behaviour, especially in the presence of
water and at high (reservoir-)temperatures ester decomposes to its alcoholic and acidic
components. These acidic substances are aggressive to pump- and motor components and
causes higher wear rates. On the other hand they have a catalytic effect to increase ageing
of the fluid. Test runs with biodegradable fluids in hydrostatic transmissions under high
loads show that high quality products based on synthetic ester, used within their specified
limits, should have the potential to serve system needs in the same manner as it is known
for mineral oil.
Reliable information about fluids operating behaviour in heavily loaded hydrostatic
transmission can not be derived by one single parameter. Chemical analysis of the fluid
and components inspection has to be carried out. A "bad" HEES, compared to flywheel
test runs with mineral oil, shows total-over-all (i.e. in chemical element contamination,
erosion and abrasion processes, etc.) worse behavior, even if single values are better than
for a test run with mineral oil based fluid. A "good" HEES shows equal or better (even in
fresh oil condition) anti-wear behaviour than HLP fluid as a general tendency (i.e. there
still may be single parameters being negative compared to mineral oil!). It can be seen
that the information derived by the condition of the components after a test run (i.e. by
surface plots, weight measurement, discoloration, etc.) in combination with the results of
a chemical analysis of the tested fluid (i.e. dement content) is a more reliable indicator
for the fluid properties than particle contamination, which seems to be more determined
by nonsystematic events (i.e. actual filter condition, etc.).

The aim of the paper was to give an overview of the differences in anti-wear prop-
erties of HEES and HLP fluids used in heavily loaded hydrostatic transmissions. The
fluid manufacturer and supplier should know typical wear patterns in general, and espe-
cially if HEES fluid is used. By noticing signs of ongoing wear processes in the early
stages, damages may be avoided.

References

[1] Feldmann, D. G. and Hinrichs, J., "Evaluation of the Lubrication Properties of Bio-
degradable Fluids and their Potential to Replace Mineral Oil in Heavily Loaded
Hydrostatic Transimissions", ASTM STP 1310, G.E. Totten, G.H. Kling, D. J.
Smolenski, Eds., American Society for Testing and Materials, 1996.

[2] Hinrichs, J., "Gebrauchseigenschaften von Druckfltissigkeiten fiar hydrostatische

Verdr~ngermaschinen auf Basis von Raps~51, synthetischem EsteriS1 und Polyalky-
lenglykol", Dissertation, Technische Universit~it Hamburg-Harburg, VDI Verlag,
Reihe 1, Nr. 271, DiJsseldorf 1996

[3] Feldmann, D. G., "Procedures and equipment for the test of new hydraulic fluids in
hydrostatic transmissions", 3rd International Conference on Fluid Power Transmis-
sion and Control, Zhejiang/China 1993

[4] Feldmann, D. G., "Biologisch schnell abbaubare Hydraulikfltissigkeiten - Ergeb-

nisse von PriJfstandstests und Folgerungen fiJr die Anwendung, Aachen 1996, 12.3.
- 14.3.1996, 12. AFK

[5] Feldmann, D. G., Hinrichs, J., Kessler, M., Nottrodt, J., "Ermittlung der Anwen-
dungs- eigenschaften von biologisch schnell abbaubaren Hydraulikfltissigkeiten
dutch Labortests", 11. Internationales Kolloquium Tribologie "Industrial and
Automotive Lubrication", Bd. 1, S.271-282, 13.-15. Januar 1998, Esslingen.

[61 Feldmann, D. G. and Kessler, M., "Evaluation of Application Related Properties of

Hydraulic Fluids by Laboratory Tests and Experiences with Biodegradable Fluids
in Laboratory and Field". International Off-Highway and Powerplant Congress,
Milwaukee, Wisconsin, 14.-16. Sept. 1998. SAE Technical Paper Series, No.
982002.

[7] Feldmann, D. G., Murrenhoff, H. and Reichel, J., "Synthetische Ester - AbschluB-
bericht", Forschungsfonds der Fachgemeinschaft Fluidtechnik im VDMA, Frank-
furt, 1997

Aulhor Index

A J

Anderson, M. J., 90 Jiang, Y., 59

K
B
Karjalainen, R., 563
Kessler, M., 75, 576
Bishop, R. J., Jr., 278, 318 Kinker, B. G., 523
Bourdoulous, R., 105 Koivula, T., 563
Komori, K., 357
C Konishi, A., 263
Kyogoku, K., 41
Chang, J., 59
Chiovelli, S., 90 L
Lemberger, S., 278
E Li, D. Y., 90, 382, 535, 549
Liang, H., 119, 278
Hang, J. C., 489
Elalem, K., 90 Liu, R., 549
Ellman, A., 563 Ludema, K. C., 3
Etsion, I., 441
M

Mann, D. L., 340

Matsumura, M., 357
Mizuno, K., 278
Feldmann, D. G., 75, 417, Mowery, R. B., 167
576 Murrenhoff, H., 402, 427
Fey, C. G., 299
Fitch, J. C., 225 N
Fluks, M., 150
Nakahara, T., 41
G Noishiki, K., 357
Gschwender, L. J., 489 O
Oberem, R., 402
It Ohkawa, S., 263
Halperin, G., 441 P
Hatano, H., 263
Hong, I. T., 248 Placek, D. G., 523
Hughes, E. J., 340 Poley, J., 179
Hyncica, A. M., 13 Poll, 500
Hyndman, C. W., 523 Purdy, 167
Copyright by ASTM Int'l (all rights reserved); Fri Aug 31 00:20:19 EDT 2018
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Copyright* 2001 by ASTM lntcrnational www.astm.org
596 HYDRAULIC FAILURE ANALYSIS

R V
Reichel, J., 137 Van Bebber, D., 427
Roylance, B. J., 200 Vilenius, M., 563
Ryk, G., 441 Voss, D., 263
V6tter, M., 450, 462
S
Sasaki, A., 474 W
Schreiber, B. F., 489
Schultz, O., 462 Wahl, M., 137
Schulz, F., 450 Wedeven, L. D., 105
Scott, W., 333 Williams, J. A., 13
Sharma, S. K., 489 Wollesen, V. M., 450
Sikes, J. T., 370
Snyder, C. E., Jr., 489
Sun, Y. H., 299 X
Sundvall, K., 190
Svedberg, G. C., 190 Xu, B., 59
T Y
Tanaka, K., 41 Yabuki, A., 357
Tessmann, R. K., 248
Tonder, K., 31 Z
Totten, G. E., 119, 278, 299, 318
Troyer, D. D., 214 Zhang, T., 535

Subject Index

A Cerium, 549
Coatings, 402, 427, 500
Composites, titanium-nickel
Abrasion, 278 matrix, 382
Abrasive wear, 13, 90 Compressibility, 318
Actuators, 200 Construction equipment, 263
Additives, oil, 563 Contact resistance, 535
Adhesion, 3, 278 Contacts, lubricated, abrasive
Air cleaner fine test dust, 190 wear, 13
Aircraft, 370 Contamination, 13, 167, 340
hydraulic system problems, control, 190, 474
489 diamond, 13
Aluminum alloy, 549 particle, 299
Amines, 450 quartz, 13
Analytical ferrography, 179, 225 recirculating, 3
Anti-foaming agent, 167 sensitivity, 248
Army, U.S., fluid failure mode water, 214
analysis, 167 Contradiction elimination,
Asperities, 3 TRIZ, 340
Copper, 462
B Corrosion, 214, 263, 278, 299
damage prediction, 357
Barium dinonylnaphthalene Corrosive wear, 119, 382
sutfonate, 489 resistance, 535, 549
Barrier, storm surge, hydraulic Cracking, 450
system, 150 CrAIN, 427
Bearings, 31, 299 Cylinders, 31
life, 500
Biodegradable fluids, 75, 427, D
575
Blistering, 450 Damage prediction, 357
Bottle sampling, 190 Debris, wear, 200
Boundary lubrication, 3 Degradation, 370
Brinelling, 299 Delta Works, The Netherlands,
Bronze/steel, 427 150
Bulk modulus, 318 Density, 318, 563
Density analysis, ferrous, 225
C Design, hydraulic system, 318
Design paradigms, system
Cam ring, 333 components, 340
Cavitation, 119, 214, 278, 299 Deterioration, oil, 263
cavitating-jet apparatus, 563 Deustches Institut ffir Normung
damage, 357 standards (DIN), 75
pump, 299, 318 Diffusion, 462
Ceramic parts, hydrostatic Drilling applications, 427
pumps and motors, 417 Drive system, storm surge
Ceramics, 402 barrier, 150
Copyright by ASTM Int'l (all rights reserved); Fri Aug 31 00:20:19 EDT 2018
Downloaded/printed by 597
YanShan University (YanShan University) pursuant to License Agreement. No further reproductions authorized.
598 HYDRAULIC FAILURE ANALYSIS

Dry sand/rubber wheel abrasion Fluid, physical properties, 167

tester, 90 Fluid power components, 563
Dryness, target, 214 Fluoro elastomer, 450
Durability, 462 Flywheel test, 575
Dust, test, 190 Foaming, 563
resistance, 167
E Foil bearing, 13
Forestry equipment, 523
Elastic modulus, 90 Fourier transform infrared
Elastic-plastic finite element spectroscopy, 489
stress analysis, 59 Friction, 200, 402, 462
Elastohydrodynamic lubricants, 3 behavior, 549
films, 333, 500 characteristics, 41
Electrochemical corrosion, 119 coefficient, 427, 441, 474
Electrochemical scratch, 535 data, load capacity test, 105
Endurance life, 417 Function analysis, TRIZ, 340
Energy management issues, 340 FZG test, 75
Engines, hydrostatic, 427
Environmentally acceptable G
hydraulic fluids standard,
137
Erosion, 357, 382, 563 Gas turbine, 105
corrosion, 119 Gear pumps, 105, 119
Ester based fluids, 575 Grease, 462, 500, 549
Excavator, 263 Growth, microbial, 214
H

Failure mode, hydraulic system, Hardness, differential, 13

119, 137, 167 Hertzian distribution, 59, 333
common, 299 HfCg, 427
Failure probability, 150 Hydrodynamic effects, surface
ceramic parts, 417 roughness, 31
Fatigue, bearing, 500 Hydrodynamic film, 13
Fatigue life, 333 Hydrogen-induced wear, 214
Ferrography, 225 Hydrolysis, 214
direct reading, 179 Hydrostatic components, 575
Ferrous density analysis, 225 Hydrostatic machinery, 417, 427
Film, elastohydrodynamic, 333, Hydrostatic transmission, 402,
500 575
Film, hydrodynamic, 13
Film, lubricant, 370
Filters, 474
component design studies,
self cleaning, 340 Ideal final result, TRIZ, 340
testing, 190 Incubation period, 357
Finite element analysis, 90 Integrated Drive Generators, 370
Finite element stress analysis, 59 International Organization for
Fire resistant fluids, 137, 263 Standardization (ISO)
Fluid analysis technologies, 225 ISO 11158, 137
Fluid, chemical properties, 167 ISO 12922, 137
Fluid lubrication properties, 75 ISO 15380, 137

K analytical, 248
computer, 90
Komatsu HPV35 + 35 pump finite element, 59
test, 263 friction and wear, 462
plasticity, 59
L Moisture, 225
Motors, 3, 31, 41, 402
Lacquer formation, 263 hydrostatic, 417, 427
Laminar flow, 31 radial piston, 137, 333
Laser surface texturing, 441 Multiaxial fatigue, 59
Lattice sites, 90
Leak-free coupling, 340 N
Load capacity, 441
tests, 105 Netherlands, storm surge
Load conditions, 417, 462 barrier, 150
Loading, 402 Newton's law of motion, 90
Lube analysis monitoring, 179
Lubricated contacts, 13 O
M Oils, 263, 450, 462, 549, 563
analysis, 225
Maintenance, 200 contamination, 474
condition-based, 225
Martensitic transformation, ~
as turbine, 105
ydraulic fluids, water
reversible, 382 contamination in,
Mechanical components, 214
performance mineral, 427
improvement, 441 oxidation, 299
Mechanical testing of hydraulic products, 179, 474
fluids, 75, 575 properties, 225
Metal, friction, 549 Omega theory, 248
Metal parts, 417 O-rings, 462
Metal, yellow, 462 Oxidation, 225
Metallic materials, surface Oxide-film bonding, 549
behavior, 357 Oxygen-active element, 549
Microbial growth, 214
Microhardness, 535 P
Micro-indentation tests, 535
Microscopic analysis, 179 Particle analysis, 179
Micro-scratch tests, 535 Particle concentration, 190
Military aircraft, 489 Particle counting, 190
Military standards Particle exposure rate, 248
MIL-H-5606, 190 Particles, 225
MIL-H-46170, 167 Particulate contamination, 13,
MIL-PRF-6083, 489 167, 179, 190, 299
MIL-PRF-83282, 489 Patch analysis, 179
Milling applications, 427 Performance characteristics, 500
Mineral oil hydraulic fluid, 137, Piston, hydraulic log, 370
427, 575 Piston profile, 41
Misalignment, 299 Piston pumps, 41, 119, 137, 263
Models and modeling Piston rings, 31
abrasive wear, 13 Plastic deformation, 59, 357

Plastic flow, 59 S
Plastic strain, 90
Polarization behavior, 535 Scanning electron microscopy,
Polishing, 370 549
Polymer molecular weight, 523 Scratch resistance, 427
Pressure drop, 523 Screening test, 575
Propellers, 462 Scuffing, 3, 105, 263
Pseudoelasticity, Seals, 31, 462, 500
382 radial lip sealing, 450
Pumps, 3, 31, 200, 402 rotary lip sealing, 450
axial piston, 299, 523 Sensitivity coefficients,
chamber, 248 contaminant, 248
failures, 137 Separation voltage, 41
gear, 248 Service life, 500
gear pump failure analysis, Shear degradation, 523
105 Shear stability, 523
hydrostatic, 417, 427 Sliding surface, lubrication
inlet conditions, 318 characteristics, 41
Komatsu HPV35 + 35, 263 Sliding wear, 382
piston, 41, 119, 137, 263 Slipper assembly, 370
test, 523 Solvent extraction, 474
vane, 137, 563 Spark discharges, 474
Vickers V-104 vane pump, Spectrometric testing,
75 ultraviolet, 179
wear problems, 278 Spectroscopy, 225
PVD coatings, 427 infrared, 489
Standards
DIN, 75
R ISO, 137
military, 167
Steels
Radial lip seal, 450 bearing, 500
Roller bearings, 137 quality, 137
Rolling contact fatigue, 278 stainless, 535
failure, 137 Type 304, 535, 549
Roiling contact, two Stiffness, 41
dimensional, 59 Storm surge barrier, 150
Rolling elements, 333 Strain, 59
bearing life, 500 distribution, 90
Root cause analysis, 137, 278, hardening, 357
340 Stress analysis, elastic
Rotary lip sealing, 450 plastic, 59
Roughness, 41 Stress conditions, 417
Roughness, surface, Stresses, 333
hydrodynamic effects, 31 Stribeck curves, 3, 41
Rubber, 462 Sulfonate, 489
epidermoid layers, 450 Sulfuric acid, 549
Running in tests, 41 Surface
Russian Theory of Inventive analysis, 535
Problem Solving, 340 failure analysis, 105
Rust, 214 fatigue, 370
inhibitors, 489 laser, texturing, 441

profile, 333 W
ratchetting, 59
roughness, 31, 357
sliding, lubrication Water, 333
characteristics, 41 Water-based fluids, 402,
texturing, 441 500
topography, 333 Water contamination,
Swashplate unit, 402 214
Water lubrication, 462
T Water monitoring, 214
Water removal, 214
Temperature, fluid, 523 Wear, 3, 263, 402, 575
Texturing, surface, 441 abrasive, 13
Thermal stability, 225 coatings, 427
TiAIN/A120 q, 427 contaminant, hydraulic
Titanium-carSon, 382 pump, 248
Titanium-nickel matrix corrosive, 119, 549
composites, 382 debris, 200, 225
Titanium-mtrogen, 382 ear, 105
Tolerance profiqe, contaminant, ydraulic, processes, 278
248 hydrogen-fnduced, 214
Traction data, load capacity mechanism, 370
test, 105 oil type, effect on, 563
Trends of evolution, TRIZ, 340 o-ring, lubrication influence
TRIZ, 340 on, 462
Turbine oil, gas, 105 particle analysis, 179
performance, 382
V pump, 248
resistance, 441
Valves, 200 simulation, 90
hydraulic, problems, 474 sliding, 535
stuck servovalve, 489 titanium-nickel shape
Vane pump, 137 memory alloy, 382
test, 75, 119 Work hardening, 90
Vapor pressure, 318
Varnish, 225
Velocity, relative, 462 Y
Vibration testing, 179
Vickers 20VQ test, 563
Vickers V-14, 75 Yellow metal, 462
Viscosity, 225, 318, 563 Yield strength, 90
index improvers, 523 Yttrium, 535, 549

Copyright by ASTM Int'l (all rights reserved); Fri Aug 31 00:20:19 EDT 2018
Downloaded/printed by
YanShan University (YanShan University) pursuant to License Agreement. No further reproductions authorized.
Copyright by ASTM Int'l (all rights reserved); Fri Aug 31 00:20:19 EDT 2018
Downloaded/printed by
YanShan University (YanShan University) pursuant to License Agreement. No further reproductions authorized.

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