B E S T P R A C T I C E S

C. David Whitefield, P.E.

Principal Applications Engineer
Bently Nevada Corporation
e-mail: [email protected]

Clean Up Your Oil – Revisited

Contaminated oil kills machines. Clean oil is one of the

most important factors affecting the service life of the
lubricated components of all machinery.1 In hydraulic systems,
clean fluid is absolutely essential for successful long-term
operation. Although machines equipped with rolling element
bearings are especially sensitive to particulate contamination,
machines using fluid-film bearings are not immune to such
damage. Many sources cite dramatic improvements in
expected machine life resulting from even modest
improvements in lubricant cleanliness.

Editor’s note: This article is an

This all sounds reasonable, and smacks of common sense.
update to an article previously
However, closer scrutiny reveals a few important questions:
published in the Fourth
Quarter 1999 ORBIT. The ISO r How is oil cleanliness quantified?

section has been updated to r How clean is “new” oil?

conform to the latest ISO
r How clean does your oil need to be?
specification for fluid
cleanliness, ISO 4406:1999. r What improvements in machine life can you expect
Please see the sidebar for from cleaning up your oil?
additional details on the
r What about other types of contamination?
changes arising from ISO
4406:1999. r What steps can you take to clean up your oil?

Let’s look at these issues one at a time …

How Is Oil Cleanliness Quantified?

ISO 4406:1999 establishes the relationship between particle

counts and cleanliness in hydraulic fluids (common practice
has extended the application of this standard to lubricants as
well). This international standard uses a code system to

1 For the purposes of this article, and in keeping with common industry practice, the terms "clean" and "cleanliness" refer to the amount and size of
particulate contamination in a lubricating or hydraulic fluid.

4Q01 ORBIT 13
 ISO 4406:1999 FLUID CLEANLINESS CODES ISO CODE EXAMPLE

N U M B E R O F PA R T I C L E S P E R 1 ML OF FLUID

ISO CODE MINIMUM MAXIMUM

1 0.01 0.02
2 0.02 0.04
3 0.04 0.08
4 0.08 0.16
5 0.16 0.32
6 0.32 0.64
7 0.64 1.3
8 1.3 2.5 quantify contaminant levels by particle size in micrometers
9 2.5 5.0 (µm). Using ISO 4406:1999, a machine owner/operator can set
10 5.0 10.0 simple limits for excessive contamination levels, based on
11 10.0 20.0 quantifiable cleanliness measurements.
12 20.0 40.0
13 40.0 80.0 Table 1 illustrates the ISO 4406:1999 cleanliness codes.2 This
14 80.0 160.0 standard allows you to quantify current particulate cleanliness
15 160 320 levels and set targets for cleanup. The standard provides a 3-
16 320 640 part code to represent the number of particles per milliliter (mL)
17 640 1300 of fluid greater than or equal to 4 µm, 6 µm, and 14 µm,
18 1300 2500 respectively. For example, referring to Table 1, an ISO code of
19 2500 5000 17/15/13 would indicate 640 to 1300 particles/mL greater than
20 5000 10000 or equal to 4 µm, 160 to 320 particles/mL greater than or equal
21 10000 20000 to 6 µm, and 40 to 80 particles/mL greater than or equal to 14
22 20000 40000 µm are present in the lubricant. Notice each step in the ISO
23 40000 80000
code represents either double or half the particle count relative
24 80000 160000
to an adjacent code. It is important to note that the “/”
25 160000 320000
character in the written form of the code is merely a separator,
26 320000 640000
and does not signify a ratio of the scale numbers.
27 640000 1300000
28 1300000 2500000
How Clean Is “New” Oil?
TA B L E 1
Studies of “new” turbine oils, crankcase oils, hydraulic fluids
and bearing oils delivered to customers indicate varying
degrees of cleanliness. Drum-delivered products were
generally found to be cleaner than bulk-delivered products.
Improper storage procedures can contribute additional
contamination to new oil. Poor handling practices are another
source of new oil contamination. (Do you know what types of
containers are used in your plant for transporting and adding
makeup oil? Are they as clean as you want your oil to be?)
After implementing cleanup programs, many users discover
that the dirtiest oil in their plant is the incoming “new” oil.

2 The ISO standard calls the codes "scale numbers." You may also find them referred to as "range numbers" and represented as R / R / R .
4 6 14

14 ORBIT 4Q01
Therefore, it is clear that proper filtering of new oil during or
TYPICAL BASE-
before filling is a prudent and highly desirable practice in order C L E A N L I N E S S TA R G E T S
to extend machine life. MACHINE / ELEMENT I S O TA R G E T

How Clean Does Your Oil Need to Be? Roller bearing 16/14/12

Journal bearing 17/15/12

Each machine class should be evaluated for cleanliness levels
Industrial gearbox 17/15/12
appropriate to the application. In general, machines with tight
clearances and/or anti-friction (rolling element) bearings Mobile gearbox 17/16/13

benefit greatly from very clean oil. Turbine electro-hydraulic Diesel engine 17/16/13
control (EHC) systems and many aeroderivative gas turbines
Steam turbine 18/15/12
are examples of industrial machines that require extremely
clean oil for proper performance and long life. Filter systems Paper machine 19/16/13

rated to remove particles as small as 3 µm to 7 µm are

TA B L E 2
commonly used in such applications. Hydraulic systems targets
should also be adjusted to cleaner levels due to higher system
operating pressures.
By implementing some of the measures outlined in this article,
Table 2 presents some typical lubricating oil base-cleanliness you will soon be able to document your own success stories.
targets for common machines and machine elements. Like
most guidelines, these targets are suggested as starting points. What About Other Types of
You will probably make adjustments to these levels as you Contamination?
learn how your machines respond to cleaner lubricants.
As destructive as particulate contamination can be, there are
other contaminants that also contribute to oil degradation and
What Improvements in Machine Life Can
premature machine wear. A short list of “non-particulate”
You Expect From Cleaning Up Your Oil?
contaminants includes water, coolants, fuels, and process
While it may feel good to know you have clean oil in your fluids. The most common of these is water, which by itself is a
machines, how good can you afford to feel? The answer to significant factor in lubricant degradation (Figure 6). When
this question depends to some degree on the specific machine combined with iron or copper particles, water becomes even
application. However, studies performed across many more powerful in attacking lubricant base stocks and additives.
industries all show dramatic extensions in expected machinery The adverse effects of water in oil include:
life by improving lubricant cleanliness. In one example, the
r Lubricant breakdown, through oxidation and
reduction of particles larger than 10 µm from 1000/mL to
additive precipitation.
100/mL resulted in a 5-fold increase in machine life … an
r Changes in viscosity, affecting the ability of a
attractive return on your cleanup investment. An additional
lubricant to maintain the film thickness necessary to
benefit of cleaner oil is a lower noise-floor for wear-particle
protect the lubricated surfaces.
detection measurements. It’s much easier to detect subtle
changes in the amount of wear debris in a clean system than r Corrosion.
it is in a dirty one.
r Accelerated fatigue of lubricated surfaces.

Society of Automotive Engineers (SAE) studies have shown Even very small amounts of water can be harmful in machines
engine wear reductions of 50% when filtering crankcase oil to equipped with rolling element bearings. Typical life reduction
30 µm, and 70% when filtering to 15 µm, as compared with of rolling element bearings caused by various concentrations
filtering to 40 µm. of water in oil is depicted in Figure 1.

4Q01 ORBIT 15
 E F F E C T O F W AT E R O N R O L L I N G E L E M E N T B E A R I N G L I F E

FIGURE 1

Lubricant film thickness in fluid-film journal bearings is

r Measure and evaluate current cleanliness levels to
substantially larger than found in rolling element bearings, and
establish baselines for comparison.
hydrodynamic pressures are typically lower. However, the
babbitt material in these bearings, being composed primarily r Examine and evaluate your current storage and
of lead and tin, is susceptible to oxidation damage from water handling practices.
and oxygen. Water can also reduce the load-carrying capacity
r Set cleanliness targets based on your goals for longer
of a fluid-film bearing lubricant sufficiently to cause journal-to-
machine life and/or reduced maintenance and
bearing contact (wiping). The reduction in film thickness also
downtime costs.
exacerbates the sensitivity of fluid-film bearings to particulate
contaminants. r Evaluate, select, and implement the improvements in
filtration, storage, and handling procedures required
What Steps Can You Take to Clean Up
to achieve your goals.
Your Oil?
r Measure and trend your progress. (Don’t be afraid to
Let’s say you are now convinced that cleanup is the way to go,
adjust your procedures as needed to meet your
but do you know how to get there? Filtration, storage, and
targets.)
handling procedures are the key areas in which to concentrate
your energies. The important elements of a successful r Document the impact of your investment on
campaign to clean up your oils are: availability, maintenance expense, and machine life.

16 ORBIT 4Q01
 HOW DOES DIRT GET IN?
With these elements delineated, some of the practical aspects
of improving your filtration, storage, and handling procedures
P O O R F I LT E R I N G P R A C T I C E S
can be addressed. – filler neck screen punched out.

Improving Your Filtration, Storage, and

Handling Procedures
Many improvements to your filtration, storage, and handling
procedures can be made with minimal cost. A little time spent
simply reviewing your current procedures can be revealing (and
in some cases, even shocking). Figures 2 through 4 illustrate a
few common problems likely to be encountered in many
operations. During the evaluation phase it is important to
FIGURE 2
identify contamination sources as well as their levels.
Contamination sources may include:
POOR STORAGE PRACTICES
r Contaminated new oil. As previously mentioned, – loose bung (drum cap).
new oil is often not as clean as you might think;
sometimes it becomes contaminated during
transportation, storage, or handling.

r Built-in contamination. Machine components can

become contaminated from handling practices
encountered during overhauls or rebuilding
processes. It is important to review shop procedures
relating to cleanliness of internal wetted parts,
hoses, and lubricant piping. FIGURE 3

r Ingested contamination. Unfiltered sump vents

and faulty seals are common problems that can POOR HANDLING PRACTICES
– dirty fill pump.
result in contaminants (including water or
particulates) entering the lube system from the
outside environment. Minor modifications to vent
systems can reap rewards in this area.

r Internally generated contamination. Recir-

culating wear particles through machine
components can create a self-fulfilling prophecy of
machine destruction. Normal full-flow filtering
removes some, but not all, wear particles; and in
fact, many full-flow filtration systems are only
effective at removing particles larger than 40 µm.
Concentrating on the hardest and most abrasive
particles is an effective strategy for this category of
contaminants.

Once the contamination sources are identified, you can

concentrate on the areas most likely to generate your target FIGURE 4

cleanliness levels.

4Q01 ORBIT 17
 Portable filter cart.
variations, causing moisture and other contaminants to get
pulled into the drum when the internal pressure decreases. In
most climates, this problem must be addressed by storing
drums in enclosed, temperature-controlled storage facilities.
Shielding storage containers from dirt and moisture are other
obvious measures that will keep your new oil in good
condition. Be as careful with pumps and transfer containers as
you are with your storage containers. This will minimize the
chances of cross-contamination with other lubricants or the
introduction of contaminants into machines when topping or
filling.

Water Removal

Because the sources of water contamination are so numerous

and ubiquitous, eliminating all sources of moisture ingestion
can be very difficult. Removing water from oil can also be a
challenging task, but there are several methods available. Each
FIGURE 5
method has advantages and disadvantages, so each must be
carefully evaluated for the particular application. Some of the
Filtration
common methods for removing water from oil, along with

Off-line recirculating (“kidney loop”) filtration systems can be their tradeoffs, include:

very effective in achieving and maintaining your cleanliness r Settling/Evaporation

targets. In some cases, a permanent installation is called for,
t Natural – gravity acts on the water to separate
with continuous sidestream (“bypass”) filtering. For less critical
it from the oil and water escapes from the fluid
applications, where sump volumes are usually smaller, the job
via natural evaporation.
can often be handled with a cart-mounted portable filtration
system (Figure 5). These portable systems can be used at t Inexpensive.

scheduled intervals, or in response to increasing contamination t Least effective of known methods.

trends in your oil analysis data. Portable systems can also be t Requires properly designed reservoir.
used for pre-filtering new oil before or during system charging.
t Removes only free water.
Cartridge-type filters are common on this type of equipment,
so you can easily change to the appropriate filter element for r Centrifuging (Centrifugal Separation)
the specific cleanliness target of each machine or machine
t Removes only free water to about 20 ppm by
class being serviced. Since cross-contamination is a possibility
weight above saturation point.
with portable systems, filter changes and adequate flushing
t Does not remove entrained gases.
are essential before use with a different lubricant. Maintaining
separate systems for each lubricant being filtered is a way to t Tends to increase emulsified water content.
avoid this potential problem. t Removes dirt and other solids.

t Since this is a physical separation method, there

Storage and Handling
is some potential for additive removal.
Improvements to storage and handling procedures can often
r Coalescing Filters/Screens
be implemented at low cost, relative to the benefits.
Controlling temperature over a relatively narrow range is t Removes only free water.

important for proper drum storage. Drums “breathe” as the t Uses a coalescing cartridge filter to separate the
internal pressure increases and decreases with temperature water from the oil.

18 ORBIT 4Q01
 t Since this is a physical separation method, Visual effects of water in oil.

there is some potential for additive removal.

t Only effective for a narrow viscosity range

and a narrow specific gravity range.

t Some manufacturers claim “No removal of

additives.”

r Filter/Dryers

t Cartridge-type filters that use super

FIGURE 6
absorbent materials to soak up water as the
wet lubricant passes through.
filtration costs, and machine life extension often more than
t Does not remove dissolved water.
offset the additional cost. If you choose this route, be sure to test
r Vacuum Treating (Vacuum Dehydrating) the incoming oil to verify you are getting what you pay for.

t Uses simultaneous exposure of the wet

Conclusion
lubricant to heat and vacuum to separate the
water. It’s best not to take administration of your oils lightly. Attention
to detail is paramount in achieving cleanliness levels that yield
t Because it is a chemical separation, it tends not
significant improvements in machine life and availability. When
to remove additives from the lubricant.
it comes to machine life, lubricant cleanup has proven to be
t Capable of removing dissolved, emulsified, and one of the simpler and more cost-effective methods of
free water. achieving measurable improvement. Don’t wait for
contaminants to destroy your machines. Clean up your oil
t When combined with effective filtration media,
and keep it clean! ORBIT
capable of being a highly effective lubricant
purification system.
References:
r Gas Sparging/Air Stripping
1. Toms, Larry A., Machinery Oil Analysis, Second Edition,
Coastal Skills Training, Virginia Beach, Virginia.
t Operates on the chemical separation principle
of air stripping. 2. Fitch, J.C., Oil Analysis Course Manual, Noria
Corporation, Tulsa, Oklahoma.
t Removes dissolved, emulsified, and free water.
3. A Guide to Standards for Contamination Specifications
in Liquids, Pacific Scientific Instruments, HIAC Royco
t Does not remove additives. Division.

t Can use nitrogen or air. 4. ISO 4406:1999, International Standards Organization.

5. Industrial Oils, Chevron USA, Incorporated.

Purchasing Clean Oil
6. The Handbook of Hydraulic Filtration, Parker Hannifin
An additional cleanup step, often overlooked, is to specify the Corporation, Parker Filtration Division.
cleanliness levels of the lubricants you purchase. You may pay
7. Machine Design, “How Dirt and Water Affect Bearing
a little more initially, but the savings in machine availability, Life,” Timken Bearing Company.

4Q01 ORBIT 19
Frequently Asked Questions (FAQs)
Concerning ISO 4406:1999
Hydraulic Fluid Power Solid Contaminations Code

What has changed as a result of ISO 4406:1999 and ISO

11171? PA RT I C L E S I Z E
C L A S S I F I C AT I O N C O M PA R I S O N
q The way particle size is specified – the new standard moves ISO 4402 (ACFTD) ISO 11171 (ISO MTD)
the measurement reference in order to correct for
< 1.0 µ 4.0 µ
inaccurate calibration assumptions in the previous standard.
1.0 µ 4.2 µ
q Particle size was previously only measured in 2 dimensions, 2µ 4.6 µ
while the new standards account for particle size in 3 3µ 5.1 µ
dimensions. The calibration standard for automatic (optical) 5µ 6.4 µ
particle counting equipment had to be modified to 10 µ 9.8 µ
accommodate this change. A new calibration standard, ISO 15 µ 13.6 µ
11171, Automatic Particle Counter calibration procedures,
20 µ 17.5 µ
replaced the old ISO 4402 standard. ISO 11171 specifies ISO
25 µ 21.2 µ
Medium Test Dust (ISO MTD) as the Standard Reference
Old Size (ISO 4402) New Size (ISO 11171)
Material (SRM), replacing the previously used material, AC
TA B L E 1
Fine Test Dust (ACFTD). The ISO MTD material is National
Institute of Standards and Technology (NIST) traceable, a
characteristic ACFTD never enjoyed. The net result of these
changes is a calibration procedure that provides more
consistent and verifiable particle counting results in different
labs around the world. Do these changes affect how I specify my cleanliness
targets?
What hasn’t changed as a result of the new standard?
q No, your targets remain the same, unless you were using the
q The amount and size of particulate contamination in your old 2-character code (≥ 5 µ and ≥ 15 µ). In that case, you
system. would use the old codes for the ≥ 6 µ and ≥ 14 µ ranges,
and select an additional code for the ≥ 4 µ range, typically 1
q The functioning of your filtration and contaminant removal
or 2 scale numbers higher than the ≥ 6 µ scale number. Of
systems.
course, if you decide to set tighter targets, you are certainly
q The importance of proactive contamination measurement free to do so.
and control in extending the life of your machines.
Do all oil analysis labs use the new standards?
How do the new and old measurement references
q No, this change is still “filtering” its way through the
compare?
industry. However, the consensus is that those labs that are
q The size classification of the particles has changed. This is focused on high standards for quality and consistency of
illustrated by the following table: results are moving the fastest to embrace the new
standards. [Editor’s Note: National Tribology Services
[Note: The particles didn’t actually change size; the reference we (NTS), the lubricant condition analysis lab with which
use to measure them was more accurately defined, resulting in Bently Nevada has a cooperative agreement, has
the new numbers.] adopted this new ISO standard.] ORBIT

20 ORBIT 4Q01