Industrial Fluid

Analysis Program Manual

Castrol Industrial North America Inc.

Performance Lubricants Division
Castrol Industrial North America Inc.
Performance Lubricants Division

INDUSTRIAL FLUID ANALYSIS PROGRAM

INTRODUCTION
Over the past several decades, lubricant inspections and testing have been used to help reflect the condition of
internal oil-wetted components and provide valuable information about lubricant serviceability. This has been
an evolving science with new technologies and applications being developed over the years. Oil Analysis is
now considered an essential specialized science within the field of tribology.

The concept of lubricant analysis can be dated back to ancient history (B.C.) with the analysis of animal fats
used to lubricate chariot wheels and the massive rollers used in the construction of the pyramids of Egypt. The
first test methods employed may have included visual inspections (color and texture), viscosity (dropping point
from a stick or paddle), lubricity and presence of dirt (feel), and acid or oxidation (odor and/or taste).

The foundation for modern day lubricant monitoring is credited to the Denver and Rio Grande Railroad research
laboratory. In 1946 they successfully developed a photo-spectrometer which provided for the measurement of
the trace metals in used engine oils. These measurements replaced the need for wet chemistry to specifically
identify the presence of wear particles such as iron, chrome and copper. They applied these measurements to
detecting diesel engine wear problems and predicting premature failures. This new technology was soon
accepted and used extensively throughout the railroad industry.

As with so much of today’s technology, the interests and development of the U.S. Government played a major
role in the refinement and applications of oil analysis. In 1955, the U.S. Naval Bureau of Weapons began a
major research program to adopt wear metal analysis for predicting aircraft engine component failures. These
studies became the basis for the Joint Oil Analysis Program (JOAP) which involves all branches of the U.S.
Armed Forces. The JOAP study proved conclusively that increases in component wear could be reflected by
detecting corresponding increases in routinely monitored oil samples. The U.S. Navy further developed the
application of oil analysis by measuring and monitoring the physical properties and contaminants in used diesel
engine oils (fuel, water and sludge).

These early detection and warning programs were the foundation for modern day analysis programs. New
testing techniques and instrumentation have been developed to fulfill the needs for better and more specific
degrees of analyses. For instance, in addition to simply monitoring the presence of wear metals, we now have
the means to extract the wear debris and visually assess individual particles through ferrography.

Successfully monitoring today’s sophisticated equipment and wide variety of specialized lubricants is
dependent upon the development and maintenance of a complete oil analysis program. In such a program, the
analysis is only a means to accomplishing specific goals within a structured and organized equipment
operations and management program. This guidebook is meant to introduce the components and applications
of your CINA PLD Routine Laboratory Analysis Services.

Dave Yunkers
Mgr. of Analytical Services

1
TABLE OF CONTENTS

DETERMINE YOUR PRIMARY OBJECTIVES . . . . . . . . . . . .3

TESTING: SELECTION AND APPLICATIONS . . . . . . . . . . . . .4
PROPER SAMPLING POINT AND METHOD . . . . . . . . . . . . .5
DETERMINE PROPER SAMPLING INTERVALS . . . . . . . . . . .6
ESTABLISH ACCURATE DATABASE INFORMATION . . . . . . .7
SUBMITTING SAMPLES TO THE LABORATORY . . . . . . . . .8
PROVIDING FEEDBACK . . . . . . . . . . . . . . . . . . . . . . . . . . . .8
MEASURING COST EFFECTIVENESS . . . . . . . . . . . . . . . . .9
SPECTROCHEMICAL ANALYSIS . . . . . . . . . . . . . . . . . . . .10
Wear and Corrosion . . . . . . . . . . . . . . . . . . . . . . . . . .10
Contaminants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12
Additives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12
PHYSICAL ANALYSIS . . . . . . . . . . . . . . . . . . . . . . . . . . . . .13
Viscosity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .13
Water . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .13
Insolubles (Total Solids) . . . . . . . . . . . . . . . . . . . . . . . .14
Total Acid Number . . . . . . . . . . . . . . . . . . . . . . . . . . .14
Automated Particle Count . . . . . . . . . . . . . . . . . . . . . .15
Millipore Filtration of Solids . . . . . . . . . . . . . . . . . . . . .16
Ferrography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .16
INTERPRETATION OF LABORATORY DATA . . . . . . . . . . . . .17
APPENDIX:
Multiple Sample Submittal Form . . . . . . . . . . . . . . . . .19
Routine Sample Submittal Form . . . . . . . . . . . . . . . . .20
Example Analysis Report . . . . . . . . . . . . . . . . . . . . . . .21
Analysis Report Explanation . . . . . . . . . . . . . . . . . . . .23

©2000 Castrol Industrial North America Inc.

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DO I NEED OIL ANALYSIS?
Oil analysis in one form or another is the most widely used form of predictive maintenance. The
analysis may be as simple as a “look, touch and smell” for abnormalities, or an extensive and
comprehensive laboratory analysis program. Any lubricated system is a candidate for oil analysis.
However, to be successful, any program must be justifiable. This means it must be a defined and
structured program with goals and measurable accomplishments. Herein lies the key: Define your
goals, then design and commit to an analysis program that can effectively accomplish these
objectives.

DETERMINE YOUR PRIMARY OBJECTIVES

Oil analysis can accomplish much more than simply testing for lubricant serviceability. There are
several areas of potential benefits that must be considered when outlining an analysis program. The
goals and objectives can be variable to specific equipment, applications, and lubricants within an
analysis program. The operational priority of a given system usually governs and justifies the extent
of the requirements and commitments. The following are general areas of consideration when
outlining your program:

Operations:
Increase production output by decreasing downtime.
Increase life span of system / components.
Scheduling controls for downtime and alternative operations.
Inventory controls and accounting.
Increased margins of operational safety.

Maintenance:
Measure, identify and trend component wear / corrosion modes.
Detect and identify contaminants.
Ensure proper lubricants are in service.
Detect and identify product mixtures, migrating fluids, presence of greases, etc.
Establish proper lubricant service intervals (Extend or shorten as appropriate).
Evaluate filtration effectiveness and establish service intervals.
Reduce in-service failures and unscheduled repairs.
Assist with diagnostics or troubleshooting.
Eliminate unnecessary overhauls or inspections.

Management:
Input for cost assessments and controls for equipment, labor and materials.
Improved equipment record keeping for historical assessments (tendencies, trends, etc).
Evaluate equipment designs and applications.
Monitor and evaluate operational and maintenance practices and efficiency.
Monitor and evaluate the analysis program.

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TESTING: SELECTION AND APPLICATIONS
Variable combinations of laboratory tests are used within oil analysis programs. These tests are
typically grouped and referred to as Spectrochemical (metals) and Physical Properties tests.
The spectrochemical analysis is performed on all samples to identify and measure selected metallic
elements present in the lubricant The concentrations of these elements are used to monitor wear or
corrosion rates, detect contaminants and determine additive levels. Test results are reported in parts
per million (ppm) by weight.
Selected physical properties are measured to monitor specific characteristics or to detect and measure
contaminants. The tests performed will vary as to their appropriate application and justification.
CINA PLD performs several combinations of tests that provide for various equipment and lubricant
condition monitoring programs.
SAMPLE TESTING INFORMATION
• STANDARD ANALYSIS: Metals / Insoluble Materials / Water / Viscosity Index (includes Viscosity 40° & 100° C)
• EXTENDED SERVICEABILITY: Standard Analysis + Total Acid Number (TAN)
• PARTICULATE CONTROL: Standard Analysis + ISO Particle Count (PC)
• EXTENDED SERVICE & PARTICULATE CONTROL: Standard Analysis + TAN + PC
• ADDITIONAL DIAGNOSTIC TESTING:
• MILLIPORE FILTRATION: Extraction of particulate with Visual Assessment
• DIRECT READING FERROGRAM: Extraction of all ferrous particles (<5µ and >5µ)
• ANALYTICAL FERROGRAPHY: Extraction of ferrous & entrained particles. Photos as appropriate.
• FOAM TEST: In-house Blender Foam Test (Requires minimum 1 quart sample)

The additional diagnostic testing is performed to achieve primary objectives as deemed appropriate by
the CINA representative and/or the PLD testing laboratory. Individual test descriptions and their
applications are provided in a later section of this booklet.

4
PROPER SAMPLING POINT AND METHOD
Obtaining a representative sample is one of the most important steps in a scheduled oil analysis
program. If a sample does not represent the true condition of the lubricant and component at the
time of sampling, the reliability of both the test results and their interpretation is affected.
Areas where lubricant flow is restricted or where contaminants and wear products tend to settle or
collect should be avoided as sampling points. Once a sampling point and method is established for
a given compartment, subsequent samples should be taken from the same point and in the same
manner. Changing sampling locations and techniques can affect the representation of conditions
present.
We recommend that you sample a component while it is running or within 30 minutes after shutdown.
This ensures that wear products and representative contaminants are thoroughly mixed within the
lubricant and the heavier wear particles or debris may not have settled out.
We recommend the following sampling points:

1) A petcock or other sampling valve installed at

a full-flow point prior to the oil filter.

2) A vacuum pump with a drop-tube through

an oil dipstick tube or other service opening.

3) The drain port of a sump or reservoir.

When sampling through a petcock or drain valve, ensure a good representative sample is obtained by
allowing sufficient sample flow to remove stagnant water and debris before capturing the sample.

When sampling through a drop-tube, obtain the sample from mid-oil level. Ensure against inserting
the tube too far and drawing from the sludge at the sump or reservoir bottom.

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DETERMINE PROPER SAMPLING INTERVALS
When beginning a routine oil analysis program, it is important to obtain an overall assessment of the
condition of your equipment and lubricants. Sampling each system for initial baseline data, and to
quickly spot any components with serious problems, is appropriate for operations with limited pieces
of equipment. However, where larger numbers of equipment are involved, mass sampling could
promote difficulties in handling and addressing volumes of reports and newly exposed conditions or
problems.
It may be beneficial to start out with lessor samples and establish your “action and follow-up” plan.
This can be done by initially sampling your high priority systems; those that are most essential for
operations. Each group of equipment with lessor assigned priorities can be sequentially added into
the program in a controlled manner.
Once this process is complete your PLD representative can provide a sampling schedule for your
equipment. Several factors will enter into the initially recommended sampling intervals. Some of
these factors include:
• Operational priority of the equipment.
• OEM sampling recommendations.
• Equipment type, size & operating modes.
• Environment (dust, moisture, etc.).
• Current PM schedules.
• Current lube & filter service intervals.
• Historical problems of specific or like equipment.
• Specific goals established in program objectives.

Routine sampling intervals should remain as constant as possible However, once the program is fully
established and conditions support justifications, sampling intervals can often be extended by 50%
to100%.

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ESTABLISH ACCURATE DATABASE INFORMATION

We are all extremely busy keeping pace with our responsibilities and ‘evolving priorities’. None of us
want, or need, additional paperwork and record keeping. However, remember back in the beginning
we stated: “Define your goals, then design and commit to an analysis program that can effectively
accomplish these objectives.” Part of that commitment must be to properly define and establish
your data records.
If oil analysis is to furnish anything more than just relative
test data, the laboratory must be provided with the pertinent
information regarding the systems to be analyzed. It is a
common and false assumption that an oil analysis lab can
draw valid conclusions from the test results without
complete supporting data relating to the customer, system,
lubricant, and operating information.
Initial equipment registration can be easily accomplished by
furnishing the laboratory with a consolidated equipment list,
or by completing an Individual Routine Sample Submittal
Form (OF 4237-2) for each compartment (project).
Subsequent samples can then be submitted on a simplified
Multiple Sample Submittal Form (OF 4238-2). Current
operating data can be provided on either form and
forwarded with each sample. See appendix for examples of
each submittal form.

The following brief definitions may be helpful when completing Sample Submittal Forms:
• Customer Information : Name, City & State of the system’s owner.
• Project Identification : *Identification of the sampled system / source.
• Product In Service : Mfg., brand name, and grade of product sampled.
• Equipment Type : Description of the type system or sample source.
• Equipment Mfg. : Name of manufacturer of sampled system.
• Equipment Model : Manufacturer’s model designation of system.
• Serial Number : Serial number assigned by the manufacturer.
• Fluid Capacity : Total capacity of the system sampled.
• Oil Hours : Operating hours on the lubricant sampled (Actual or estimated).
• Unit Hours : Operating hours on system since new or rebuilt.
(Actual or estimated).
• Gal Added : Gallons of fluid added since last sample.

*NOTE: When establishing and defining the Project (Unit) Identification, ensure that the description is consistent or
common to: the customer’s description, a corresponding inventory number, or a cost center number, etc. This same
ID must be used on subsequent samples to provide historical data. Any variation on subsequent samples will
generate a new project record.

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SUBMITTING SAMPLES TO THE LABORATORY
Timely submission of the samples into the laboratory is crucial
to a successful program. Delayed samples only allow for
increased operational costs during the uninformed periods. No
one benefits when a failure occurs between the time the sample
was drawn and when the analysis results are completed.
Ensure sample containers are labeled and identified, tightly
closed, and placed into individual plastic bags. Enclose the
sample submittal forms, samples cannot be processed without
submittal forms.
Unless overnight service is necessary, traceable 2nd day delivery
services are economical, feasible, and sufficient. Pre-
addressed FedEx Shipping labels are provided for CINA field
personnel to assist with timely sample processing. These forms
are available through the PLD SST department.

Ship all samples to: Castrol Industrial North America Inc.

PLD Technical Services Laboratory
1001 West 31st St.
Downers Grove, IL 60515

PROVIDING FEEDBACK
Communication should not end with the sample submittal information. The accuracy and
appropriateness of the analysis guidelines and recommendations are verified by comparing the lab’s
interpretations and predictions with actual conditions confirmed in the field. Through these
comparisons, the analysis interpretations can be continually refined by practical experience. This
information can also be applied to evaluating the program’s accuracy and cost effectiveness.

Relative “Feedback” includes:

• Notification of any lube service (change or major addition) and filter maintenance performed.
• Notification of any abnormal lubricant, component or operating conditions since last sample.
• Results of any inspections performed.
• Notification of any system openings, component replacement, rebuild or reconditioning, etc.
• Information concerning operating environment or equipment application changes.

These items may be noted on the sample information form, recorded on a copy of the previous
analysis report, or detailed on a separate report sheet (such as a copy of a work order or inspection
report).

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MEASURING COST EFFECTIVENESS
With operating expenses and profit margins being increasingly affected by rising material and labor
costs, routine oil analysis can help you achieve substantial savings in maintenance and repair costs.
The effectiveness of an analysis program is not limited to the savings of extended lube and filter life,
or the difference between the costs of a repaired component verses a failure. The more proactive
and predictive an analysis program becomes, the greater savings can be realized in short and long
term return on investments.
Consider your program to be a progressive investment; when problems are detected, they can be
prioritized for scheduled corrective action before they develop into more costly serious and
hazardous conditions. Parts and lubricants can be inventoried to ensure availability. Temporary
adjustments can be implemented to continue operations until corrections can be implemented. Labor
can be appropriately assigned or rescheduled for maximum savings and effectiveness. You are in
control of the downtime and outage.
Some of the benefits of oil analysis are not
as obvious to tag with a dollar figure and
document as bottom line savings.
Predictive maintenance saves money by
reducing the impact or severity of
corrected events. Proactive maintenance
saves money by reducing the number of
failure events in a given timeframe. Where Extended Oil Drains
root cause analysis is effectively employed Reduced Failures / Downtime
and re-occurring conditions are prevented,
the saving must be ‘projected as
probability costs’ and carried forward. HIDDEN SAVINGS:
Not all savings are derived from the Filtration Upgrades and Schedules
detection and correction of abnormal
conditions. Proactive activities that are Particulate Controls
supported by research and statistical data Longer Equipment Life
can greatly contribute to the long term
effectiveness of an analysis program. For Equipment Reliability Studies
example, studies by Oklahoma State
University have stated that reducing Improved Maintenance Practices
particulate contamination in a rolling Revised Maintenance Intervals
element bearing from ISO 19/16 to ISO
15/12 will, on average, double the life of Inventory / Purchasing Controls
the bearing. Reducing the moisture in the
same bearing from 1,000 ppm to 250 ppm
will also double the life of the bearing.
Controlling both factors could contribute
to a cumulative life extension by four
times.

Documenting the savings and

effectiveness of an analysis program can
be accomplished with accurate historical
records of occurrences, equipment /
component life expectancy, operational
priorities and impact on production, and
the associated costs for each.

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SPECTROCHEMICAL ANALYSIS
Spectrochemical Analysis is a
methodology used to measure selected
metallic elements present as microscopic
particles in lubricating fluids. CINA’s PLD
laboratory utilizes a direct reading,
rotating disk electrode, atomic emission
spectrometer (RDE-AES). Simply stated,
this means the samples are analyzed in
an undiluted (direct) state, excited
(burned) by a high voltage arc, and the
light intensity of each metal’s wavelength
is measured within specific photo-
multiplier tubes. The intensity of light is
converted to milli-volts which are plotted
to standardization curves. Results are
reported in parts per million (ppm) by
weight

The spectrochemical analysis is generally

referred as the “cornerstone” of a
condition monitoring program. The
elements monitored are typically grouped
into three main categories: (1) Wear and Corrosion Metals, (2) Contaminants, and (3) Additives. In
conjunction with the physical properties and contaminants, the monitoring of the metals provide for:

• Monitoring component wear / corrosion levels, rates, changes, and trends.

• Contamination from airborne dust, dirt, and environmental or processing sources.
• Identify water sources and coolant additives / inhibitors.
• Measure additives to ensure proper product or additive types and levels are in service.
• Monitor additives for indications of mixtures or the migration of products.

WEAR AND CORROSION:

The relative motion between moving parts is always accompanied by friction between the opposing
surfaces. Even though these surfaces are lubricated with an oil film, wear still occurs. Typically,
unless removed by filtration, normal wear particles are small enough to remain suspended in the
circulating oil. These wear products are composed of the same materials as the surfaces from which
they originated. Monitoring these metals can provide insights as to the sources and levels of wear.
Tribologists don’t always agree on the total types and modes of wear that occur. However, there are
five basic types of wear that are commonly accepted. The five are addressed as follows:
Adhesive wear: Adhesive wear occurs when the oil film becomes so thin that the highest points of
the opposing surfaces begin to touch each other. Adhesive wear occurs normally during both break-
in and routine service as surfaces wear slightly to maintain alignment. In normal service, adhesive
wear is controlled with anti-wear additives that coat the surfaces and reduce metal-to-metal contact.
Abrasive wear: Abrasive wear occurs when particles in the fluid enter the clearance area between
moving surfaces. The particles that are equal to, or larger than, the clearance space are buried into
one of the surfaces and acts as a cutting tool in removing material from the other surface.

Fatigue wear: Fatigue wear is primarily associated with bearings and gears where the component
surfaces roll past each other. Fatigue occurs when surfaces are subject to repeated stress caused by
particles trapped by the two moving surfaces. Initially the surfaces are dented and cracked. These

10
cracks spread after repeated stressing from load and eventually the surface fails, producing spalling
and pitting.
Corrosive wear: Corrosive wear results when chemical reactions cause corrosion or oxidation of the
surfaces and the force or movement of fluid under pressure dislodges the material. This type of wear
is most commonly associated with rust-promoting conditions. However, corrosive contaminants and
chemically active or altered additives can promote corrosive wear,
Cavitation wear: Cavitation wear occurs when metal is removed by the impact of collapsing air
bubbles on component surfaces. This occurs when a partial vacuum is formed in a liquid by sudden
changes in pressure due to vibration, reduced or uneven liquid flow, component shapes, and
fluctuations or movement of component surfaces.

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CONTAMINANTS:
Contaminants are not so readily defined. Depending upon the circumstances, any unintentional or
undesirable presence qualifies as a contaminant. However, the most common contaminant
monitored with spectrochemical analysis is Silicon (Si); looking for the presence of silicon dioxide
(sand/dirt). Other metallic indicators of contamination include: Airborne elements from atmospheric or
processing sources, brine or cooling water properties, additives from greases, paints, soaps or
degreases, etc.
Wear particles can become work hardened and therefore harder than the parent surface. If not
removed, wear generated particles re-circulate as an internally generated contaminant causing
additional wear.

ADDITIVES:
Additives are chemicals and compounds added to lubricants, greases, and coolants to augment
specific properties of the finished products. Additives create new fluid properties, enhance
properties already present and reduce the rate at which undesirable changes take place in a fluid
during service.

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PHYSICAL ANALYSIS

VISCOSITY:
Viscosity is a measure of a lubricant’s resistance to flow at a given temperature in relation to time.
This is considered to be the most important single property of a lubricant. PLD performs viscosity
testing by the kinematic method (ASTM D
445) at 40°C and reports the results in
mm2/s (formerly cSt) where comparison can
be readily applied to ISO Viscosity Grade.
Additionally, we measure the viscosity at
100°C. and calculate the Viscosity Index (VI).
Significant changes in viscosity always
warrant consideration and possible
corrective action. Typical causes include:

• Installation or service addition of a

different grade.
• Migration of fluid from one
compartment into another.
• Mixture of incompatible fluids.
• Reduction due to additive shear.
• Dilution from fuel, solvent, or process
chemicals.
• Water contamination or emulsification.
• Oxidation and degradation due to
elevated temperature, load and/or
overextended service.

VISCOSITY INDEX (VI):

Viscosity Index is an empirical number that is used to reflect the effects of temperature upon the
viscosity of a fluid. Fluids become less viscous when heated. The higher the VI, the lessor the
tendency for viscosity change with increased temperature. Each type of fluid (paraffinic, naphthenic,
ester, PAO, PAG, etc.) has different characteristic VI ranges. Whereas a single viscosity may not
reflect mixtures of fluid types, variations to the VI from typical ranges can effectively detect these
conditions.

WATER:
The presence of water in non-aqueous fluids indicates contamination from an outside source or from
condensation. We routinely monitor water presence by the hotplate ‘crackle’ test. Results are
reported in percent (%) volume. When water contamination is present, the spectrochemical results
should be cross-referenced for identification of brine components, coolant inhibitors, etc.
In certain components and applications water contamination must be kept extremely low. For these
instances, water in parts per million (ppm) can be obtained by the Karl Fischer titration method.

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INSOLUBLES (Total Solids):
Solid particulates can be ingested or internally generated in
lubricating systems. These particles can be both suspended
and non-suspended materials. We perform a centrifugation
procedure to remove and measure the total solids present (%
by volume). The ‘Total Solids’ may include oxidized oil, dirt,
process materials, carbon, hose or gasket particles, fibers,
paint chips, etc.
The most common source of solids is oxidized and degraded
base product due to higher than normal temperatures,
overextended use, or lack of filtration. High solids of this type
are typically accompanied by increased viscosity and total
acid levels. If not removed from service, solids will promote
and contribute to formation of sludge, varnish, and deposits.

TOTAL ACID NUMBER (TAN):

The TAN measures the total level of acidic material present in a lubricant. The results are numerically
expressed as the amount of the potassium hydroxide required to neutralize one gram of sample.
Unused lubricating oils can contain weak acid products
relative to the additive types and levels blended into the
product. The value of monitoring the TAN is for increases
above the new oil levels. Increases in acidity are usually
associated with degradation due to oxidation or hydrolysis
(chemical decomposition).

Oxidation is a function of time and temperature. Slightly

elevated temperature for an extended period can have the
same oxidative effect as excessively increased temperature
for a shorter period of time. Internal contaminants (solids) or
even a minor buildup of materials on surfaces necessary for
heat transfer (cooling) can have a profound effect upon acid
formations and lubricant service life.

Hydrolysis is a chemical change within a lubricant, typically promoted by the presence of water and
most commonly being an attack upon the ester constituent or the anti-wear additive. Where
hydrolysis of an ester is typically gradual and consistent, the decomposition of an additive such as
ZDDP can be rapid and highly corrosive due to formation of strong acids.

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AUTOMATED PARTICLE COUNT:
Fluid cleanliness is always a matter of concern and
a primary objective within maintenance programs. ISO 4406 CLEANLINESS CODES
In circulating systems with low tolerances for (per 1 ml.)
particulate, filtration and removal of contaminants is
essential for full term, trouble free operations. Code 1 = Total > 2 microns
Typically such systems will have cleanliness Code 2 = Total > 5 microns
classification requirements that define the tolerance Code 3 = Total > 15 microns
or minimum particulate removal necessary relative
to the components and pressures of each given ISO CODE MINIMUM MAXIMUM
system. These cleanliness requirements are specific 7 0.64 1.3
as to the allowed number of particles within
specified micron ranges in a given volume of fluid 8 1.3 2.5
(1ml.). These tolerances are typically assigned as 9 2.5 5
ISO 4406 or NAS 1638 Cleanliness requirements. 10 5 10
An automated instrument with an optical detector 11 10 20
sizes and counts the particles present in the fluid. 12 20 40
The size ranges measured and reported are: 2-5,
5-15, 15-25, 25-50, 50-100 and >100 microns. 13 40 80
These values are then used to determine the NAS or 14 80 160
ISO fluid cleanliness classification codes. This test
is based upon light passage through the fluid being 15 160 320
tested. The optical sensor also has size restrictions 16 320 640
for passage of particles. The following are
examples of fluids for which particle counting is not 17 640 1,300
appropriate or possible: Unfiltered systems, dark 18 1,300 2,500
fluids, fluids with visible particles, fluids with free or
high levels of suspended water, highly oxidized oil 19 2,500 5,000
with measurable ‘total solids’, and/or fluids with 20 5,000 10,000
‘solid additives’. 21 10,000 20,000
The ISO Code is expressed as three numbers (for 22 20,000 40,000
example, 20/15/12). The first number represents the 23 40,000 80,000
relative contamination level from particles >2µm.
The second number represents particles >5µm and 24 80,000 160,000
the third number represents particles >15µm. 25 160,000 320,000
The NAS Code is determined by comparing the 26 320,000 640,000
results to a table of maximum allowed particles in 27 640,000 1,300,000
each range, relative to each defined cleanliness
code. The assigned NAS particulate level is the 28 1,300,000 2,500,000
highest number assigned among those present. >28 2,500,000 -

NAS 1638 CLEANLINESS CLASSIFICATION CODES per 1 ml.

Size Range
Microns 00 0 1 2 3 4 5 6 7 8 9 10 11 12
2-5 7.75 15.5 31 62 124 248 496 992 1984 3968 7936 15872 32302 63488
5 – 15 1.25 2.5 5 10 20 40 80 160 320 640 1280 2560 5120 10240
15 – 25 .22 .44 .89 1.78 3.56 7.12 14.25 28.5 57 114 228 456 912 1824
25 – 50 .04 .08 .16 .32 .63 1.26 2.53 50.6 10.12 20.25 40.5 81 162 324
50 – 100 .01 .2 .03 .06 .11 .22 .45 .9 1.8 3.6 7.2 14.4 28.8 57.6
>100 0 0 .01 .01 .02 .04 .08 .16 .32 .64 1.28 2.56 5.12 10.24

15
MILLIPORE FILTRATION of SOLIDS:
The solids content in an oil sample can also be measured by weight. This test is performed by
vacuum filtration to determine the amount of filterable material in a sample with particle sizes greater
than the selected filter pore size. The filter is weighed before and after the procedure and the
difference provides the numeric result by weight. For industrial applications where atmospheric or
processing materials are of concern, it is often equally important to identify the ingredients of the
solids.
As appropriate, PLD extends this test procedure to include a microscopic visual examination of the
filtered materials. The findings of these inspections are tabled and reported in the same manner as a
Ferrographic Analysis.

FERROGRAPHY:
As the name implies, Ferrography was developed to provide
enhanced detection and analysis of ferrous materials. With this
being the main intent of the procedures, the capabilities and
benefits are not limited to ferrous particles. There are two forms of
ferrographic analysis: (1) direct reading (DR) and (2) analytical
ferrography.

DR Ferrography magnetically precipitates the ferrous particles

from the sample and optically separates the concentrations into
two categories: Large (DRL) and small (DRS) particles. The DRL
represents the relative concentration of particles >5 microns. The
DRS represents the relative concentration of particles <5 microns
(these are typically considered to be normal wear particles).

The DR results are numerically expressed as concentrations relative

to a given volume of fluid. The results are effective when trended
and monitored for change. Three to five sample may be necessary
to establish meaningful baseline data. DR trending is an excellent supplement to the spectrographic
analysis which has a detection limitation of 3 to10 microns. Changes in trend or achievement of
specific levels can be used as ‘triggers’ for furthering investigations with analytical ferrography.

Analytical Ferrography involves the removal of wear and debris particles onto a specially treated
glass slide for review and analysis under a microscope. A ferrogram slide is prepared by drawing the
oil sample across a glass slide in the presence of a strong magnetic field. Heavier particles are
drawn and aligned onto the slide near the entry point with the smaller and non-magnetic particles
depositing further down the slide. After deposition the oil is washed away, leaving the particles clean
and fixed to the slide. An experienced evaluator then examines the ferrogram to determine the
composition, population, sources, and possible causes of each type of particles present.
The findings of these studies are tabled into a comprehensive summary of the analysis. When
appropriate, color photographs of pertinent particles can be produced and included with the report.

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INTERPRETATION OF LABORATORY DATA

The key to a successful lube monitoring program is having accurate, applicable, and understandable
interpretation of the laboratory data. PLD’s Data Analysts have over forty years cumulative
experience evaluating laboratory data and translating their assessments into comprehensive
statements and recommendations. Extensive training is continuously provided toward the properties
and applications of our lubricants.

The objectives of our analysis interpretations include:

• Classify overall condition and assign a severity.

• Monitoring wear and corrosion modes.
• Verify proper lubricant is in service / identify mixtures.
• Identify and measure contaminants.
• Assess lubricant serviceability.
• Assess filtration effectiveness / requirements.
• Suggest condition causes or reasons.
• Recommend diagnostics or corrective action.

ANALYSIS CONDITION SEVERITIES:

The overall system and lubricant conditions are assigned a severity based upon the interpretation of
the data. The four types of severity assignments are as follows:

Normal: Lubricant and equipment conditions are acceptable. No action beyond routinely
scheduled operations and maintenance are necessary. Resample at the next scheduled
interval.

Monitor: There is a noteworthy presence or change that warrants consideration and

monitoring. In most instances no action beyond routinely scheduled operations and
maintenance are necessary. Unless otherwise specified, resample at the next scheduled
interval.
Abnormal: Atypical condition(s) are present requiring consideration, diagnostics, and
corrective action to prevent reduction of service life or overall loss of performance.
Diagnostics and appropriate corrective measures should be scheduled and performed to
the best interests of the overall circumstances. Major changes without a history of
development should be re-sampled immediately for confirmation.

Severe: Atypical condition(s) are present serious enough to require immediate diagnostic
and corrective action to prevent major long-term loss of performance or component failure
in service. Short-term loss of performance may already be present and increased
operating hazards are likely. It may be appropriate to discontinue service until a confirming
sample is tested or diagnostics confirm that repairs are required. Major changes without a
history of development should be re-sampled immediately for confirmation.

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EVALUATING THE ANALYSIS DATA:
The precision and ultimate success of an analysis program lies within the interpretation and
application of the test results. Given we have representative samples and complete system and
operating data, it is the task of the interpretations to translate the various results into comprehensive
summary statements and meaningful recommendations. There are several sources, means, methods
and combinations of considerations that combine to accomplish these objectives. Sources that may
be referenced for guidelines, requirements and recommended actions can include:
Equipment manufacturer (OEM) guidelines.
Lubricant manufacturer guidelines.
Customer provided requirements or definitions.
Legislated local, state, or federal environmental limits.
Laboratory’s experience and historical database.
Drawing from these sources, the specific determination of acceptability and severity is derived from
varying means and methods. The types of applications that define conditions include:
Set values: Minimum and/or maximum.
Set ranges with corresponding severity designations.
Trend analysis for ± change.
Combinations of the above.

TYPES OF APPLIED LIMITS / GUIDELINES

1. MFG = GENERIC GEARBOX; MODEL 1234
2. LUBE REQUIRED = ISO 150 GEAR OIL
3. FREQUENCY = 2500 HOURS
TYPE LIMIT TEST / PROPERTY ASSIGNED LIMIT CONDITION
Set Value - Minimum Viscosity @40 C, cSt - 10% from new oil Abnormal
Set Value - Maximum Viscosity @40 C, cSt + 15% from new oil Abnormal
Set Ranges Total Acid Number 0.1 - 2.5 Normal
2.5 – 7.0 Abnormal
>7.0 Severe
Set Value Total Solids, % vol. 2.0 maximum Abnormal
Set Value Water, % vol. 0.2 maximum Abnormal
Set Value Silicon (Dirt), ppm 50 above new oil max. Abnormal
Trend Analysis* Iron, ppm + 50% above baseline Abnormal
+100% above baseline Severe
Set Ranges Copper, ppm 0 - 500 Normal
500 - 1250 Abnormal
>1250 Severe
Environmental Chlorine, ppm 800 maximum Hazardous
* Trend established based upon minimum 3 uncontaminated samples

Whereas threshold values can be established for given groups of equipment of same type, model,
application and lubricant in service, changes from trend or baseline should always be considered for
each individual system. A key to making this successful is to employ a “cause and effect”
approach. If there is a contaminant present or a change in property that is within thresholds, yet
there is a corresponding effect upon wear rates or performance, consider the combined conditions as
atypical and worthy of attention regardless of their absolute value or number.

Knowing what priority or degree of action is appropriate based upon the analysis results is developed
through experience and good record keeping. Documenting feedback and findings from occurrences
builds the foundation for establishing limits and action guides. Consult with your Castrol
Representative or laboratory data evaluator whenever there are questions relating to the evaluation or
application of analysis results.

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 Castrol Industrial PLD Laboratory - Routine
North America Inc. Sample Submittal Form

Submit Samples to: Castrol Industrial North America Inc. PLD Tech Services Lab. 1001 West 31 st St. Downers Grove, IL60515

CUSTOMER INFORMATION

Submitted By: _______________________________________ Voice Mail: ______________ New Customer? Yes / No

Customer Name: ____________________________________ City / State / Zip: ______________________________________

IF NEW: Attn: ___________________________________ PO Box / Address: _______________________________________

Country: ______________________________ Phone No: _____-_____-_______ ext. _______ Fax No: _____-_____-_______

Market Segment or Product Application (i.e. cement, mining, etc.) __________________________________________________

Additional Notes or Comments: _____________________________________________________________________________

Report Options: Printed Copy Number ______ Fax Copy Fax No: _____-_____-_______

SAMPLED PROJECT (UNIT) INFORMATION NEW UPDATE

Project Identification: ____________________________________ PIN (if known): _____________ Date Sampled: __________

Product in Service: _____________________ Oil Hrs: ________________ Unit Hrs: _______________ Gal Added: __________

Sample Method: Suction Pump In-line Valve Drain Plug Other: _________________________________________

Reason for Sample: Routine Shutdown Service Resample Other: ___________________________________

NEW PROJECT INFORMATION (MUSTbe completed for ALL NEW Projects)

Equipment Type: Compressor Gearbox Hydraulic Other / Description: ______________________________

Equipment Mfg: _________________________ Model: _______________________ Serial Number: ______________________

Lube Capacity: _______________gals. Filtration Info – Type, Micron, etc.: ___________________________________________

Operating Conditions / Special Notes: _________________________________________________________________________

SAMPLE TESTING INFORMATION

STANDARD ANALYSIS: Metals / Insolubles / Water / Viscosity Index

EXTENDED SERVICEABILITY: Standard Analysis + Total Acid Number (TAN)
PARTICULATE CONTROL: Standard Analysis + ISO Particle Count (PC)
EXTENDED SERVICE & PARTICULATE CONTROL: Standard Analysis + TAN + PC
ADDITIONAL DIAGNOSTIC TESTING:
MILLIPORE FILTRATION: Extraction of particulate with Visual Assessment.
DIRECT READING FERROGRAM: Extraction of all ferrous particles for trending total iron present (<5µ and >5µ).
ANAL YTICAL FERROGRAPHY: Extraction of ferrous & entrained particles. Photos as appropriate.
FOAM TEST: In-house Blender Foam Test (Requires minimum 12 oz sample).
OTHER: ___________________________________________________________

OF 4237

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 BK 4503-1 (6/00)
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