Noria’s 14 th Annual Conference & Exhibition 2

CONFERENCE PROCEEDINGS SPONSORED BY

1
3
April 16 th_18 th Colum
bus, O hi o

For more than forty years, MP Filtri has been present on the hydraulic filtration market with
a range of products capable of satisfying manufacturers’ demands in all areas. Since 1964 MP
Filtri has been studying, designing, developing and producing a complete range of filters for
hydraulic systems and a complete line of power transmission components and accessories. The
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together with the continuous product control during the production processes, has resulted
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certification. This incessant control activity and the constant sales drives to extend its presence
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Information and Products from MP Filtri

• Production Program
• ATEX Fluid Control Monitor
• ICM Inline Contamination Monitor

ITALY (Headquarters) USA CHINA GERMANY

MP FILTRI S.p.A. MP FILTRI USA Inc. MP Filtri (Shanghai ) Co Ltd MP FILTRI D GmbH
Tel. +39.02.95703.1 Tel: +1.215-529-1300 Tel: +86.21-58919916 Tel: +49.06806-85022.0
Fax +39.02.95741497 Fax: +1.215-529-1902 Fax: +86.21-58919667 Fax: +49.06806-85022.18
-95740188 [email protected] [email protected] [email protected]
[email protected] www.mpfiltriusa.com www.mpfiltri.de
www.mpfiltri.com

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MP FILTRI CANADA Inc. MP FILTRI UK Ltd. MP Filtri Russia Inc MP FILTRI FRANCE
Tel: +1.905-303-1369 Tel: +44.01451-822522 Phone mobile: Tel: +33.04-50-71-64-80Fax: +33.04-
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[email protected] [email protected] Fax: +7.095-205-9410 [email protected]
www.mpfiltricanada.com mpfiltri.co.uk [email protected]
hydraulicparticlecounter.com [email protected]
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 Conference Proceedings 2013
Table of Contents

3 Keys to Driving Sustainable Change and Project Success

Bruce Wesner, Life Cycle Engineering ...................................................................................................1
7 Common Traits of Winning Maintenance Reliability Programs
Terrence O'Hanlon, Reliabilityweb.com ................................................................................................3
8 Steps to Achieving Opera0onal Excellence
Kevin Duggan, Ins,tute for Opera,onal Excellence ..............................................................................57
A Prac0cal Guide to Developing KPIs
Paul Lanthier, Carver PA Corpora,on .................................................................................................59
A Structured Approach to Training and Development for Reliability
Bill Lyons, Holcim US .......................................................................................................................100
Accelerated Induc0vely Coupled Plasma Analysis of Wear Metals in Oil
Michael Sgroi, CETAC Technologies ..................................................................................................125
Achieving Labor Excellence in Maintenance and Lubrica0on
Alejandro Meza, Innovalube ............................................................................................................141
Advanced Gas Turbine Reliability Issues and Management
Syed Ahmed Nadeem, Pakistan Int Airlines .......................................................................................145
Air Seals: An Alterna0ve to Packing
Tom Horner, Inpro/Seal ..................................................................................................................188
Alignment and Installa0on Factors that Impact Machine Reliability
Steve Lochard, LUDECA Inc. ............................................................................................................190
Alterna0ves to Tradi0onal Oil Tes0ng Methods
Susan Benes, ASPEX Corpora,on ..................................................................................................... 195
Building the Business Case for Maintenance Planners
Andy Gager, Life Cycle Engineering ..................................................................................................204
Case Studies in Contamina0on Control at Mine Sites
Chris,an Bauer, Pall Corpora,on .....................................................................................................209
Case Study: DuPont Louisville Refrigera0on Machine Failure
Brian Blyth, DuPont ........................................................................................................................232
Changing Maintenance Professionals to Diagnos0cians
Dale Constan,ne, Step Energy Services ............................................................................................270
Complete Guide to Star0ng a Lubrica0on Program
Jeremy Wright, Noria Corpora,on ....................................................................................................280
Degradation and Regenera0on of Ester-Based Fluids
Steffen Nyman, C.C.JENSEN .............................................................................................................282
Crea0ng Mixed Model Value Streams
Kevin Duggan, Ins,tute for Opera,onal Excellence ............................................................................295
Effec0ve Enterprise Asset Management Master Planning
Mike Greenholtz, GenesisSolu,ons ...................................................................................................296
i
Efficient Real-World Contamina0on Control of Hydraulic Fluids
Dan Zoller, Schroeder Industries .......................................................................................................352
Environmentally Safe Lubricants in Industry
Mark Miller, Terresolve ...................................................................................................................363
Expecta0ons vs. Reality: How Well Does Your Filter Perform?
Chris,an Bauer, Pall Corpora,on .....................................................................................................368
Food-Grade Lubricants: What You Need to Know
Toby Porter, Kluber Lubrica,on North America L.P. ...........................................................................386
FRACAS – Anatomy of a Failure
James Taylor, Machinery Management Solu,ons ..............................................................................415
FTIR Spectroscopy – A Misunderstood Lubricant Analysis Tool
Dave Wooton, Wooton-Consul,ng ..................................................................................................419
Ge2ng to Effec0ve Preven0ve Maintenance
John Crossan, John Crossan Consul,ng ............................................................................................463
Grease: Filling the Void
Lisa Wadlington, Shell .....................................................................................................................465
How Continuous On-Premise Oil Testing can Reduce Breakdowns and Save Money
Will Willis Jr., On-Site Analysis, Inc. ..................................................................................................470
How Clean Fluid Can Extend Component Life and Provide Cost Savings
Eric Miller, Petrolink USA .................................................................................................................476
How to Choose the Right Oil Filter
Wes Cash, Noria Corpora,on ...........................................................................................................452
How to Design a World-Class Lube Room
Mark Jones, Lubrica,on Engineers ...................................................................................................485
How to Efficiently Remove Varnish
Felix Michold, C.C. Jensen Iberica S.L. ...............................................................................................532
How to Iden0fy Root Causes of Lubrica0on Failures
Jorge Alarcon, IK4-Tekniker .............................................................................................................603
Heat Transfer Fluids
Gaston Arseneault, Petro-Canada Lubricants ....................................................................................623
How to Select the Right Lubricant for the Right Applica0on
Anoop Kumar, Royal Manufacturing ................................................................................................666
Implemen0ng Reliability into Assets through Predic0ve Maintenance
Kenneth Hughes, Power Partners Inc. ...............................................................................................672
Integra0ng Opera0ons and PdM into a Comprehensive Reliability Strategy
Jeff Evans, Maintenance Strategies Inc .............................................................................................675
iPads in the Workplace
Tim Chaten, GTI Spindle Technology, Inc. ..........................................................................................685
Lube Manuals Should be more than Catalog Cut Sheets
Jerry Pu-, Noria Corpora,on ...........................................................................................................680
Lubricant Deposit Characteriza0on
Dave Wooton, Wooton-Consul,ng ..................................................................................................689

ii
Lubricant Deposit Characteriza0on Case Studies
Greg Livingstone, Fluitec .................................................................................................................708
Lubrica0on: An Exercise in Con0nuous Improvement
Ted Melencheck, Cargill Deicing Technology .....................................................................................770
Maintenance Key Performance Indicators
Darrin Clark, ArcelorMi-al USA ........................................................................................................779
Managing Risk from Transformer Failures
Alan Ross, SD Myers ........................................................................................................................784
Monitoring Cleanliness Levels in Hydraulic Systems
Eric Krause, Pall Corpra,on .............................................................................................................795
Monitoring Low RPM Bearings
Larry Goodenow, SPM Instrument ....................................................................................................799
Mo0va0ng the Troops: How to Increase Employee Engagement
Diane Closser, Closser Lubrica,on Services, Inc. .................................................................................839
Oil Analysis Case Studies: When Rou0ne Tests are not Enough
Cary Forgeron, Analysts, Inc.............................................................................................................848
Oil Analysis Report Interpreta0on
Ma-hew McMahon, Insight Services ................................................................................................853
Oil Analysis Results from Primary Contamina0on Types
Aaron Black, POLARIS Laboratories, LLC............................................................................................862
Oil Monitoring as a Tool to Op0mize Hydraulic/Lubrica0on System Performance
Mrinal Mahapatro, Pall Corpora,on ................................................................................................869
Planning and Scheduling: A Best Prac0ces Overview
Ma- Midas, GenesisSolu,ons ..........................................................................................................875
Preven0ng Ingress Contamina0on with Bearing Cavity Pressuriza0on
Henry Dombroski, Air-Tight LLC ........................................................................................................935
Process Performance Op0miza0on
Bruce Wesner, Life Cycle Engineering ...............................................................................................959
Protec0ng Your Machine Surfaces from Chemical A1acks
Wes Cash, Noria Corpora,on ...........................................................................................................964
Pu2ng New Life in Your Oil Analysis Program
Bob Sco-, Noria Corpora,on ...........................................................................................................967
Rapid Analyses for Fuel and An0freeze in Used Engine Oil
Timothy Ruppel, PerkinElmer ..........................................................................................................972
Reliability Analysis: Adding Value to a Predic0ve Maintenance Program
John Pucillo, Predic,ve Service .........................................................................................................978
Reliability as a Service: How Cloud Compu0ng will Advance Your Maintenance Program
Tim Kelley, Azima DLI .....................................................................................................................985
Secrets to Achieving Lubrica0on Excellence
Jeremy Wright, Noria Corpora,on ..................................................................................................987
Simple Ways to Monitor Lubricant Condi0on
Benne- Fitch, Noria Corpora,on ......................................................................................................993

iii
The Benefits of Proac0ve Lubrica0on
Dale Jones, Allegheny Wah Chang ...................................................................................................997
Tools for Successful Reliability Partnerships
Ward Bond, Covance .....................................................................................................................1001
Transforming Lubrica0on Procedures to Best Prac0ces
Daniel Rader, Oklahoma Gas and Electric .......................................................................................1006
Two-Tiered Predic0ve Maintenance Programs for Plant Organiza0ons
Jack Nicholas ...............................................................................................................................1017
Using a Team Approach to Achieve Maintenance Excellence
Ray Ardahji, Toyota Boshoku America ............................................................................................1039
Using Root Cause Analysis as a Proac0ve Tool
Bob La,no, Reliability Center Inc. ...................................................................................................1141
Sustainable Mechanical Operation Through Surface Technology
Ricardo Hein, Conexo ....................................................................................................................1145
Ultrasound-Assisted Lubrica0on Best Practices
Adrian Messer, UE Systems, Inc. .....................................................................................................1151
Viscosity Selec0on Using Viscosity-Temperature Graphs
Bob Sco-, Noria Corpora,on .........................................................................................................1155
What You Should Know About Lubrica0on and Seal Compa0bility
Greg Kayes, Kluber Lubrica,on North America L.P. ..........................................................................1163
When Are Mineral Oils Superior to Synthe0cs?
Benne- Fitch, Noria Corpora,on ....................................................................................................1199
Why Maintainability Should not be an A!erthought
Jerry Pu-, Noria Corpora,on .........................................................................................................1201

iv
Three Keys to Successfully Driving Sustainable Change
and Project Success
By Bruce Wesner, MBA, Managing Principal
Life Cycle Engineering

Introduction
Have you ever been the leader of a significant business change and not been able to make it stick?
Most organizations feel that the key element in any project is sound project management but what
about the people it is affecting? So many times two other elements are missed when it comes to
delivering successful projects.

What are the Essentials for Project Success?

Research reflects that three essential factors yield project success. First being a given, effective
Project Management. This is the normal focal area. Deliver the project on time, on budget, to a specified
level of quality and meeting stakeholder’s expectations. Some of the key steps include:

 Planning

 Organizing

 Implementing

 Controlling

 Close Out

Although project management is important, and critical to success, two other factors are essential.
The second key step is Leadership and Sponsorship of the project. Having active and visible leadership
sets the stage for active and visible participation, direct communication and coalition building to ensure
success. These executive actions are necessary. Remember the old saying “What is interesting to my
boss fascinates me”. Active and visible leadership makes it important for people to deliver success.

The third factor is Change Management. Change management isn’t just a “soft and fuzzy” people
thing. There are different change management methodologies that have been developed and deployed;
ones that come to mind include the Kotter model, the Lewin change theory model, Lamarsh and Prosci.
All have worthwhile attributes that should be evaluated and effectively executed in a structured fashion
in order to deliver project success.

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How Does Change Happen?
After you have the three elements to deliver successful change it is important to understand how
and where change happens. In most cases we normally are driving change organizationally so many
times that is how it’s approached. Leaders schedule communication meetings where they “tell them”
about the change. Telling them about the change isn’t change management! Change management starts
at the individual level. We must engage folks that are being affected by the change to be part of making
the change. Face‐to‐face, one‐on‐one conversations need to transpire in order to build trust that leaders
care about the stakeholder impact of the change. After having the one‐on‐one interaction, further
engaging the stakeholders to be part of the change is critical. We need to tap into their knowledge and
have the process owners be part of making change. Now, knowing that change happens on an individual
basis and is passed individual to individual progressively advancing the organization in the change,
success can be more readily obtained.

Organizational change results from individual engagement. Organizational change needs to have
some structure to it. The leader of the change needs to make sure that the change team prepares,
manages and reinforces change across the organization to deliver success. In managing the change
factors like a communication plan, understanding risk points and developing mitigation strategies come
into play.

Does Change Management Have an ROI?

In business, no change happens without there being some business factor or benefit that would be
gained by the organization. So is there a return on investment to effectively driving change? Many
would say no but research has proven that an effective process that deals efficiently with the people
side of change yields measurable results. The ROI of an investment in the application of the change
process is measured based upon speed of adoption, ultimate utilization and proficiency.

Speed of adoption is how quickly people are up and running on the new systems, processes and job
roles. Ultimate utilization means of the total population, how many people are demonstrating buy‐in
and are using the new solution? Proficiency asks are individuals performing at the level expected when
the change was designed? The payback in applying change management can be measured. Change
management is critical to the long‐term success and sustainability of a project.

Summary
Remember the three keys to driving change! Having leadership/sponsorship, project management
and change management are all critical to success. Additionally, change happens at an individual level
first then creates organizational change. Having these in mind will deliver successful and sustainable
change. Should you have any further questions, please contact: Bruce Wesner at [email protected] or
(843) 991‐7404.

Reference
c) Prosci 2010. www.change‐management.com. Used with permission

| Reliable Plant 2013 Conference Proceedings

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 Simplicity is prerequisite for reliability. ~Edsger Dijkstra

7 Common Traits of Winning Asset

Maintenance Programs
Analysis of Uptime Magazine Award Winning Programs

Terrence O’Hanlon, CMRP

CEO Publisher
Uptime Magazine/Reliabilityweb.com

3
Terrence O’Hanlon, CEO/Publisher

4
Florida is my home State

5
Where am I?

6
Fasten Your Seatbelt

Delta Safety Messenger Katherine Lee

7
I am the Student – you are the Guide
8
No Pencil Whipping Allowed
Participation Required
9
The only wrong answer is no answer
10
 Reinventing Plant Maintenance
Four Main Points Today
• Best Practice Traits
• Maintenance to Asset Performance
Management
• Capex to Opex
• Humans

11
Why Reinvent Maintenance?

12
Why Reinvent Maintenance?

13
Why Reinvent Maintenance?

14
 Triple Bottom Line

Environmental
Stewardship
Social
Responsibility

Economic
Prosperity

People/Planet/Profit
Source: Cannibals with Forks: the Triple Bottom Line of 21st Century Business
15
Reliability = Environmental
Improvement Initiatives

19
20
 Warning:
6 of the 7 common traits of
winning maintenance reliability
programs are not technical
solutions

21
Multiple Roads to Performance

22 2
0
 Where Do We Start?
Corporate Performance
Objectives (AIM)

Identifying
Plant Performance
Objectives (AIM)

the
AIM
Major Assets Performance
Objectives (AIM)

Equipment Performance
Objectives (AIM)

23
 Focused Failure Elimination
• Condition • Filter Change • MSHA
Detect a Monitoring Prevent a • Lubrication • OSHA
Regulated
Potential • Asset Potential
• Alignment Activity • CEPA
Failure Condition Failure
Management • Precision • CSA

Maintenance Task Drivers

24
 The Nature of Failure

Information by Nowlan and Heap RCM report - Graphic courtesy of MRG Inc. www.mrginc.net
25
 Focused Failure Elimination

Reliability Centered PM
Maintenance Optimization

Criticality and Failure

Modes and Effects

Maintenance Task Peer to Peer

Analysis Experience Review

26
Maintenance Cost per Horsepower What we already know

Run to Preventive Predictive Precision

Failure
Source: EPRI Power Generation Study
27
Gaining Validity and Support

Expand program

Directed Improvements

Honest
Assessment of
Project

Pilot
28
Gaining Validity and Support

29 2
7
Stakeholder Awareness

30 2
8
Empowerment Thru TRAINING
31
Role-Specific Skills & Competencies Name: Maintenance Engineer Skills and Competancies Assessment

Safety & Trg 1.75%, RCA 5%, CM 6.5%, RE 8%, Maintenance Management 14.25%, Mach & Lube 14.5% % Weighting ME1 ME 2 ME3 RE4 RE 5 RE 6

Key Minimum Minimum Minimum Minimum Minimum Minimum BEng

BU = Basic understanding Advanced Advanced Advanced Associate Associate Degree Qualified,
CD = Can Do Trade Trade Trade Diploma Diploma Trained and
OU = Outstanding Certificate Certificate Certificate Qualified, Qualified, Certified to
RM = Role Model Qualified, Qualified, Qualified, Trained and Trained and required level. 12
C1 = Certified Level 1 + required experience Trained and Trained and Trained and Certified to Certified to to 15yrs exp .
C2 = Certified Level 2 + required experience Certified to Certified to Certified to required level. required level.
C3 = Certified Level 3 + required experience required level. required level. required level. 7 to 10 yr exp . 10 to 12 yr exp .
6 to 12 months 1 to 4 yr exp . 4 to 7 yr exp .
exp .
Condition Monitoring 6.50%
VIBRATION ANALYSIS FFT BASED 2.00% WK C1 C1 C2 C3 C3 & RM
ROTORDYNAMICS 0.50% BU WK C1 C1 + CD C1 + OU C1 + RM
IR THERMOGRAPHY ELEC/MECH 1.00% WK WK WK CD C1 C1
OIL ANALYSIS QUALITIY 0.50% WK C1 C1 C1 C2 C2
WEAR DEBRIS 0.50% BU WK CD CD C1 C1
ELECTRICAL DYNAMIC (MCA and SYMMETRY 1.00% BU WK CD CD C1 C1
ANALYSIS)
ACOUSTICS PLANT, EQUIP & OHS 0.50% WK CD C1 C1 C1 C1
BALANCING RIGID & FLEXIBLE 0.25% BU CD CD C1 C1 C1
ALIGNMENT ALIGNMENT 0.25% WK CD C1 C1 C1 C1
Machines and Lubrication 14.50%
ROTATING MECHANICAL (Equip Des & PUMPS 1.00% BU WK CD C1 + OU RM RM
Mtce) GEARBOXES 1.00% BU WK CD C1 + OU RM RM
FANS 1.00% BU WK CD OU RM RM
SCREW COMP/BLWR 1.00% BU WK CD OU RM RM
PROCESS EQUIPMENT PAPER MAKING 1.00% C1 C1 C1 C1 + OU C1 + OU C1 + OU
BUSINESS UNIT EQUIPMENT 1.00% BU WK CD OU RM RM
TURBOMACHINERY COMP'S/EXPANDERS 0.50% BU WK CD C1 + OU RM RM
STEAM TURBINES 0.50% BU WK CD C1 + OU RM RM
RECIPROCATING COMPRESSORS 0.50% BU WK CD C1 RM RM
ROTATING ELECTRICAL MOTORS AND GENERATORS 1.00% BU WK CD CD OU OU
COMPONENTS ROL ELMT BRGS 1.00% C1 C1 C2 C2 + OU C2 + OU C2 + OU
JOURNAL BEARINGS 1.00% WK WK CD OU OU OU
SEALS 1.00% C1 C1 C1 + CD C1 + OU C1 + OU C1 + OU
HYDRAULICS 0.50% WK C1 C1 + CD C1 + CD C1 + OU C1 + OU
VALVES 0.50% WK WK C1 + CD CD C1 + OU C1 + OU
PRESSURE VESSELS AND PIPEWORK 0.50% WK C1 C1 + CD C1 + CD C1 + OU C1 + OU
ENVIRONMENTAL EQUIPMENT 0.25% WK WK CD CD CD CD
CONVEYOR SYSTEMS 0.25% WK WK WK WK WK WK
LUBRICATION / FILTRATION / Principles and Products 1.00% BU WK C1 + CD C1 + CD C1 + CD C1 + CD
CLEANLINESS
Reliability and RCA 19.75%
RELIABILITY ENGINEERING RCM (C2=Facilitator) 3.50% BU C1 C1 + CD C1 + OU C2 C2
TPM and lean 2.00% BU BU C1 C1 C2 C2
6-SIGMA (C1=GREEN, C2=BROWN) 2.00% BU BU WK C1 C2 C3
Reliability Eng (C2=CMRP/GDip) 5.50% BU C1 C2 C2 C2 + OU C2 + RM
FAILURE ANALYSIS MATERIALS & METHODOLOGY 6.75% BU C1 C2 C2 C2 + OU C3
Maintenance Management 7.50%
MAINTENANCE MANAGEMENT KPI + MEASUREMENT SYSTEMS 1.00% BU WK CD OU OU OU
PLANNING SCHEDULING 0.25% BU WK WK CD CD CD
PROJECT MANAGEMENT 0.50% BU C1 C1 C1 + CD C1 + CD C1 + CD
CMMS 0.50% C1 C1 C2 C2 C2 C2
MMMP 0.50% C1 C1 C1 + CD C1 + OU C1 + RM C1 + RM
CHANGE MANAGEMENT 0.50% BU WK CD OU RM RM
CONTRACT MANAGEMENT 0.25%32 BU BU BU WK WK CD
COST JUSTIFICATION 1.50% BU C1 C1 + CD C1 + OU C1 + RM C1 + RM
STDS, SPECS, ITP 1.50% BU WK CD OU RM
MAINTENANCE MANAGEMENT 1.00% C1 C1 C2 C3 C3 C3
 Breakdown of Human Performance Problems
Deficient Procedures or Documentation 43% Only 16% Failed
to follow
Lack of Knowledge or Training 18% procedure

Failure to follow Procedures 16%

Deficient Planning or Scheduling 10%
Miscommunication 6%
Deficient Supervision 3%
Policy Problems 2%
Other 2%
Ref: Reason, J. (1990). Human Error. Cambridge University Press. New York.
33
Passion for Excellence

34
Blow Your Own Horn

35
Transparent KPI Dashboard

36
 Assessment As
Improvement Opportunity

Image courtesy Association for Maintenance Professionals

37
 38
Reliability Elements are a Trademark of Uptime Magazine
 Other Best in Class Trends

• VP or above owns the maintenance

reliability system
• “One Company” and “Line of sight”
alignment with operations, supply chain
and management

39
 Other Best in Class Trends
• Empowered workforce

• Workforce aligned with the aim of the organization

• Effective Defect Elimination program using cross

functional teams to eliminate the work that is not
plannable

• Strong and Smart Leadership

40
 Good Practices for CMMS are known
• Track ~100% of your work with CMMS
• Track ~100% of your spares and repair inventory with
CMMS
• Use CMMS for Planning & Scheduling
• Use CMMS for Budgeting
• Use CMMS for Tracking Cost
• What keeps us stuck in poor practice?

Source: CMMS Best Practices Survey www.cmmscity.com

41
 Other Best in Class Trends

Automated Asset Health Management or Asset

Performance Management System

Screenshot courtesy of Allied Reliability 42

43
 Definitions
main·te·nance
/ˈmānt(ə)nəns/
Noun
1) The process of maintaining or preserving someone or something, or the
state of being maintained: "the maintenance of democratic government".
2) The process of keeping something in good condition: "car maintenance";
"essential maintenance work".

Synonyms
upkeep - keeping - support - sustenance - preservation

44
 What is Asset Management?
ISO55000 definitions:

“Asset”
Something that has potential or actual value to
an organization

“Asset Management”

Coordinated activities of an organization to

realize value from assets

Source: ISO-55000 DIS

45
 Asset Management Management

Commission Operate
Business Needs Analysis Acquire Construct Upgrade/Modify/Dispose
/Maintain

ISO 55000 Creates A Managing System for Assets

46
 Aligning Managing Systems

ISO9001 ISO14000 ISO55000

• Quality Management System • Environmental Managing • Asset

Systems (Management)Management
System

47
ISO 55000 Asset Management Standard

48
Line Of Sight

49
 The Easy Button For Reliability

Press here for more reliability

50
51
52
53
54
55
[email protected]
56
 Eight Steps to Achieve Operational Excellence
Kevin J. Duggan, Founder
Institute for Operational Excellence

Operational Excellence has often been difficult to define: “excellence in everything we do,” “world-
class operations,” or “the best of the best.” But, there is a practical, hands-on definition of Operational
Excellence that can enable operations to run without management, and it doesn’t take years or decades
to achieve this state. Once an organization has achieved Operational Excellence, company leadership is
able to spend its time on streamlining product development, researching new markets, working with
customers on their needs, and other activities focused on business growth.

Operational Excellence Defined

The definition of Operational Excellence that enables this state is when, “Each and every employee
can see the flow of value to the customer, and fix that flow before it breaks down.”SM Reaching this state
creates a “self-healing” flow of products to the customer where employees who build the products
know whether the flow is normal or abnormal, and know how to fix abnormalities in the flow without
the need for management intervention.

Key Questions for Operational Excellence

In order to prepare an organization to “jump” to Operational Excellence quickly, we must know the
answers to some key questions, and our answers must be concise, consistent, and teachable to
everyone in the organization. The questions we must answer to jump to Operational Excellence are:

1. Why do you do continuous improvement?

2. What is the best way to do continuous improvement?

3. How do you know where to improve next?

4. Why do you strive to create flow?

5. What causes the death of flow?

6. What would your shop floor look like if you applied every continuous improvement tool?

7. What would your office look like if you applied every continuous improvement tool?

8. What would your supply chain look like if you applied every continuous improvement tool?

9. Where will your improvement journey will take you?

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Eight Steps to Achieve Operational Excellence
With the company prepared to “jump” to Operational Excellence, the organization then employs an
eight-step process to get there. These are what are known as the principles of Operational Excellence:

1. Design a lean flow using lean guidelines

2. Implement a lean flow

3. Make the lean flow visual

4. Create standard work for the lean flow

5. Make abnormal flow visual

6. Create standard work for the abnormal flow

7. Teach employees to maintain and improve the flow to the customer

8. Free management to work on offense

Case Studies in Operational Excellence

IDEX and Hypertherm are two companies that have made great strides with Operational Excellence
and seen great results from applying the eight steps to achieving Operational Excellence. Both
companies have experienced significant growth since the 2008 recession, beating market averages and
recovering faster than anticipated. One of the companies even has a no layoff policy to which they have
adhered since the 1960s, and during that time, while 97% of their supply chain remains located within a
150 mile radius of their main manufacturing facility in New England, they have ended up selling over
60% of their products overseas.

| Reliable Plant 2013 Conference Proceedings

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A Practical Guide to Effective KPIs

Paul Lanthier P Eng

59
 About Carver PA Corporation

Established in 1993 with a proven track record and industry recognition

Carver has one of the most powerful in-house foundations of technical

knowledge and experience in the business.

Training

Staffing

Technical Services
60
 Agenda

• Introduction
• Categories
• Assuring Results
• KPI Hierarchy
• Rules to Defining KPIs
• Applying KPIs
• The Emotions Associated with Change
• Conclusion

61
 Introduction
• Most organizations put
significant importance and effort
into developing Key
Performance Indicators (KPIs).
• However, many find it difficult
to quantify the benefits
achieved.
• We do what we can to attain
the defined targets and
recognize their importance but
we are somehow unable to
derive the desired benefits from
them.

62
 Introduction
“If you can’t measure it, you can’t manage it.”
Peter Drucker

The reverse is not necessarily

true; one can measure
something but that does not
guarantee that one can
manage it.

A structure or
system is required
in order to
effectively manage.

63
Introduction

Key Performance Indicator

A quantifiable measurement
that reflects the critical
success factors of the
organization

64
 Agenda

√ Introduction
• KPI Categories
• Assuring Results
• KPI Hierarchy
• Rules to Defining KPIs
• Applying KPIs
• The Emotions Associated with Change
• Conclusion

65
 KPI Categories—Lagging

• In Project Management lagging indicators provide a retrospective

view of program performance.

• In Asset Management lagging

indicators are results-focused
measurements.

• From a shareholder perspective,

results are the ultimate goal of the
organization.

We cannot affect the results; we can only try to do better next time.
66
 KPI Categories—Leading
• In Project Management leading metrics are forward-looking. For
example, a projected program finish date is based upon the rate of
milestone completion.

• In Asset Management leading KPIs

are measurements that focus on
the process that is used to achieve
the results.

• These can only be affected by

putting the right processes in
place and influencing the behavior
of the organization’s personnel.

67
 KPI Categories
• Difficult to distinguish between leading and lagging KPIs since
most KPIs have contributors and, depending on the time
measurement scale, many process KPIs can effectively become
results KPIs.

• Therefore, it is to our benefit to

choose time scales that are both
practical and that provide as much
leading indication as possible.

68
 Agenda

√ Introduction
√ KPI Categories
• Assuring Results
• KPI Hierarchy
• Rules to Defining KPIs
• Applying KPIs
• The Emotions Associated with Change
• Conclusion

69
 Assuring Results - All in the Family
“Your systems (and processes) are perfectly designed for the results you are
getting.”
William Edwards Deming

Sustainable results are assured through a focus on the process that

delivers the results.
• This is at the root of effective KPI development.

Where organizations often fall down is that there is no clear

correlation between the results metrics (effects) and the process
metrics (causes).

An effective KPI structure defines and quantifies the relationship

between the leading and lagging KPIs
70
 Assuring Results - Proper Planning

• It is not enough to define objectives

• We also need to:
• Understand what we are trying to achieve
• Align the KPIs with the desired benefits
• Make certain that we can manage our process using these KPIs

71
 Assuring Results - How Many is Enough?
•A common problem with KPIs is that every group wants its own and
organizations end up creating too many KPIs.

•Ask the question: Should this be a control or an audit point?

72
 Assuring Results - Summary
• Manage the process that gives the results
• Identify how each process KPI contributes to the desired results and
is communicated
• Have a plan going in
• Don’t create too many

73
 Agenda

√ Introduction
√ KPI Categories
√ Assuring Results
• KPI Hierarchy
• Rules to Defining KPIs
• Applying KPIs
• The Emotions Associated with Change
• Conclusion

74
 Parent – Child Relationship
• Correlation between process and results KPIs helps:

• Define the value each element of the process brings

to the organization.

• Decide in which activity, improvement initiative or

capital project to invest the organization’s resources
and efforts.

• Identify KPIs that are meaningful to specific

individuals and groups at each level of the
organization.

75
Hierarchy Example

76
 Example

Financial
Performance

Supply Chain Variable

Accounting Operational Fixed Operating
Management Operating Costs
Practices Productivity Costs
Practices

• Annual profit ($)

• Return on net assets ($)
• EBITDA
• Net earnings

77
 Example
Accounting Practices
Currency Exchange Rate
% sales in foreign
Currency
Exchange currency
Accounting Rate % purchases in foreign
Practices currency
Cost of % debt in foreign
Money
currency
Projected exchange
rate
Cost of Money:
Interest rate
Operating credit
rating
Cash flow
78
 Example
Operational Productivity
Units produced by man hour Equipment Utilization
OEE (%) compared to technical % Utilization
limits (Usually uses maintenance Product Quality
and operational related % First quality
availability) % Rework
Equipment
% Rejects
Utilization Minimum Demonstrated
Production Rate
Operational
% of Technical Capacity
Product Quality
Productivity % of Minimum
Demonstrated Production
Minimum Rate
Demonstrated
Production Rate

79
 Weighing Factors
• There is often significant interaction between the various leading
KPIs.
• Though this interaction makes it difficult to quantify their respective
impact on the parent KPI quantifying will help the organization
make strategic decisions with respect to resources, efforts and
investments.
• One way to define these relationships is to use weighting factors.

80
 Agenda

√ Introduction
√ KPI Categories
√ Assuring Results
√ KPI Hierarchy
• Rules to Defining KPIs
• Applying KPIs
• The Emotions Associated with Change
• Conclusion

81
 Lagging KPI
• Lagging KPIs provide indication of the organization’s adherence to
stakeholder stated requirements.

• Care must be taken to properly define stakeholder requirements

and how and how often to communicate these metrics.

82
 Lagging KPI Classes (PQCDSM)
• Productivity

• Quality

• Cost

• Delivery

• Safety

• Moral

• We add Environmental adherence.

83
 Leading KPIs and Behavior
• Leading KPIs are indicators of the
process that leads to results.
• Organizations are comprised of
people; therefore, leading KPIs
encourage people to do things a
certain way in order to achieve the
desired results.
• Leading KPIs influence the
behavior of individuals and groups
by identifying, measuring and
communicating specifics of the
process whose performance is
important to the sustained success
of the organization.
84
 Beliefs and Behavior
• Sustainability is achieved by changing a person’s beliefs as our
natural tendency is to behave in such a way as to support our
beliefs.
• What’s in it for me? Is a good starting point.

85
 Involving People to Influence Behavior

• The people whose behavior the KPI is targeting should be

informed and have the opportunity to influence the KPI.

• They may or may not be allowed to change the KPI, but they
should be invited to define how the targets will be met.

• This will help uncover any errors in the plan and encourage
ownership on their part.

• In turn, this will greatly increase the probability of successfully

achieving the KPI’s objective.

86
 Negative Impact of Not Achieving
• We need to understand, quantify, if possible, and communicate
the negative impact of not achieving the KPI.

• If there is no negative impact, then why do we have the KPI in

the first place?
87
 Rules to Defining Leading KPIs
• Select an owner
• Set a target – aggressive but attainable
• Identify what behaviour is desired
• Identify the impact of not achieving the goal
• Define how the KPI will be measured
• Develop a communication plan
• Target audience
• Goals of the communication plan
• Tools used to track and communicate the KPI
• Timetable for introducing the KPI
• Auditing method
• Define a transition plan
• Define an action plan
88
 Agenda

√ Introduction
√ KPI Categories
√ Assuring Results
√ KPI Hierarchy
√ Rules to Defining KPIs
• Applying KPIs
• The Emotions Associated with Change
• Conclusion

89
 Applying KPIs – Creating Awareness
• Communication plan that meets the needs of each
individual KPI on a tactical level.

• Consider the strategic requirements of the plan and of the

KPI process.

• Include ongoing
communication and an
annual review.

90
 Applying KPIs – Management Support
• The executive sponsor is the person who is ultimately accountable
for the function fulfilled by the KPI program.

• This role centers on:

• Advocating the KPI program both internally and externally.
• Championing the program.
• Obtaining the required budgets and resources.
• Accepting responsibility for problems escalated.
• Signing off documents.
• Supporting the various managers.

91
 Applying KPIs – Using a Transition Roadmap

• Overall performance levels may be so far removed from the target

objectives that they become unrealistic. Those asked to meet them
may give up before even trying.

• A transition roadmap gradually

increases the targets using a
transition plan and action plans for
each stage following a
predetermined timeline.

92
 Agenda

√ Introduction
√ KPI Categories
√ Assuring Results
√ KPI Hierarchy
√ Rules to Defining KPIs
√ Applying KPIs
• The Emotions Associated with Change
• Conclusion

93
 The Emotions Associated with Change
Comfort & Performance

Integration

Refusal Realisation

Understanding
Learning

Shock Acceptance

Time
94
 Agenda

√ Introduction
√ KPI Categories
√ Assuring Results
√ KPI Hierarchy
√ Rules to Defining KPIs
√ Applying KPIs
√ The Emotions Associated with Change
• Conclusion

95
 Conclusion
• Consider the role of the KPI in your organization with respect to
meetings and process.
• It is fair to say that we should manage our process with meetings
and control it with KPIs.

96
 Conclusion
• Performance measurement is a fundamental principle of
management and is important because it identifies performance
gaps and provides indication of progress towards closing the gaps.
• Carefully selected KPIs identify
precisely where to take action to
improve performance.
• But they must be applied using a
practical framework, following specific
rules, in order to be effective.
• KPIs are ultimately change
mechanisms.

97
Conclusion

It may be hard for an egg to turn into a bird: it would be a jolly sight harder
for it to learn to fly while remaining an egg.
C.S. Lewis
98
A Practical Guide to Effective KPIs

Q&A
For more information please contact us at
1-780-489-4444
[email protected]

99
 Holcim’s Experience with a
Structured Approach to training
and Development for Reliability.
By: Bill Lyons, CMRP
Holcim US, Inc.

100
 Overview

• Background
• Training program development
• MTTP, RECP, RTCP Programs
• Training Progress, Do’s and Don'ts
• Conclusions

101
 Holcim Ltd.
• The Holcim Group is one of the largest cement
companies in the world.
– From our beginnings in Switzerland nearly a century ago,
Holcim is now a leading global company with a strong
market presence in over 75 countries on all continents –
focused on our core competencies in cement, concrete
and aggregates.

102
Cement Manufacturing Equipment

103
 Overall Approach
• Examined roles, responsibilities, and structure of
maintenance team and made necessary adjustments
• Developed and executed the required technical training
programs based on plant feedback
– MTTP – Maintenance Technicians Training Program
– RTCP - Reliability Technician Certification Program
– RECP - Reliability Engineer Certification Program
• Provided technical support to help implement the new
skills and systems via the MPC
• Set goals, assess performance, continuous improvement

Key to success is an integrated approach

104
Typical Maintenance organization
Maintenance
Manager

Mechanical Electrical Reliability Projects

High & Medium Preventive

Kiln 1
voltage Maintenance

• Examined roles,
Instrumentation/
Kiln 2
Automation
Vibration
responsibilities, and
Finish mills Lubrication
structure of
maintenance team
Services Inspection • Developed Matrix
based on roles
Planning

Engineering

105
 Maintenance Technician Training Program

Training Levels Training Provider

Kilns,
Level A: Advanced Knowledge Mills, MPC/HGRS/Group
and Skills of Cement Equipment Coolers, Companies/Suppliers
Main Drives, etc.

Level B: Basic Transport Systems, MPC/HGRS/Training

Knowledge and Skills of De-dusting Systems, Fans, Professionals
General Maintenance Air Compressors, etc.
Timeframe: 1 – 3 years

Level C: Training
Fundamental Maintenance
Electrical and Mechanical Technicians Professionals,
Knowledge and Suppliers i.e. Noria
Skills of Timeframe: 2 – 4 years
Maintenance

106
 Maintenance Technician Roles
LEVEL B LEVEL A
Basic Reliability Advanced Reliability

Vibration Vibration “A” Roles have knowledge

LEVEL C
Fundamental
Lubrication Lubrication and skills and abilities to
Mechanical
Maintenance
Inspection Inspection train others on cement
equipment
LEVEL B LEVEL A
Basic Corrective Advanced Corrective

Kilns Kilns
Mills Mills

etc. etc.

LEVEL B LEVEL A
Basic Reliability Advanced Reliability

LEVEL C Thermography Thermography

“B” Roles have knowledge Fundamental
Electrical
EMD
Maintenance
and skills on cement
equipment LEVEL B
Basic Corrective
LEVEL A
Advanced Corrective

Motors Motors

Automation Automation

etc. etc.
107
 Competences:
• Professional
• Social
• Personal Skills Matrix
• Administrative
Rev. Date MC = Mechanical Fundamental
5/15/2008 MB = Mechanical Basic
• General Technical Skills MA = Mechanical Advanced
By MjO
• Specific Technical Skills
EC = Electrical Fundamental
EB = Electrical Basic
EA = Electrical Advanced

Course Code MC MB MA EC EB EA

Foundational Skills
Mathematics MC MB MA EC EB EA
MA1 Applying Mathematical Technique
1.1 Manipulation of Numbers, Fractions, and Decimals x x x x x x
AOLB2 1.1.1 Explain fractions including common, proper, decimal, improper, lowest common
x x x
denominator, and lowest term of fraction.
AOIB1 1.1.2 Explain and perform basic calculations including adding, multiplying, subtracting,
dividing, signs of operation, fractions to decimals (vise versa), mixed numbers, and x x x
positive/negative number rounding off.
AOIB2 1.2 Order of Operations x x x x x x
1.2.1 Explain the usage of mathematics operations and tables including the symmetry
property, the addition property, the subtraction property, the division property, the x x x x x x
multiplication property, and the order of operation property
AOIFC 1.3 Tables x x x x x x
1.3.1 Explain the use of tables including squares, cubes, square roots, cube roots, area of
x x x x x x
circle, chord tables, and chart and graph tables.
GEN004 1.4 Measurement and Conversions x x x x x x
1.4.1 Explain U.S. and ISO systems including terminology of the units for linear, area,
x x x x x x
volume, fluid capacity, mass, temperature, and flexibility of the units.
1.4.2 Calculate ISO - U.S. conversions. x x x x x x

108
Training Content another key element
Mechanical Technician Level C – Fundamentals Skills Matrix
 Lubrication
 Understand lubrication practices and equipment; oil and grease lubrication; packing; and manual,
natural, and automatic lubrication devices and systems.
 Bearing Maintenance
 Understand maintenance, cleaning, and installation; mounting and removing bearings; loading
patterns; and failure terminology.
 Plain Bearings
 Understand lining material characteristics; prefab and poured bearing liners; measuring the bore;
installation; lubrication; removal; and troubleshooting.
 Installing Antifriction Bearings
 Understand Inspecting The Bearing And Bearing Seat; Bearing Seating Methods; Cold Mount
Techniques; Temperature Mount; Lubrication; And Inspection.
 Removing and Replacing Antifriction Bearings
 Understand retainers and seals; press and impact bearing removal; removal with mechanical
pullers and heat; and cleaning, inspecting, and replacing bearings.
 Mounted Antifriction Bearings
 Understand seals; housings; bearing inserts and mounting devices; shaft misalignment;
installation; pillow block lubrication; and maintenance.

109
100%
Plant Comparison Electrical Mechanical

90%

80%

70%

60%

50%

40%

30%

20%

10%
58% 54% 40% 55% 62% 50% 49% 53% 60% 51% 63% 56% 51% 43% 65% 58%

0%
A B C D E F G H
110
111
112
MTTP – Level C Skill Blocks

450 Technicians Enrolled in Program

113
 Curriculum for Fundamental’s
Phase I
Mathematics
Measurements
Blueprints & Schematics
450 Technicians Enrolled in
Tools
Metals and Non-Metals
Program
Phase II
Machine Alignment
146 Hours Rigging
Lubrication
Gaskets, Packing, and Seals
Mathematics 14 Bearings
Power Transmission
AOIB1 Industrial Math Operation I 2 Welding
AOIB2 Industrial Math Operation II 2 140 Hours

AOIAL Algebra 2 Machine Alignment 10

AOIFC Formulas, Graphs, and Trends 2 AMSAF Shaft Alignment Fundamentals 2 Phase III
AMSRD Reverse Dial and Laser 2 Pumps
AMMBA Math Basics 2 AMSRF Rim and Face 2 Pipes and Valves
HVAC and Heat Exchangers
GEN004 Metrics 4 TASK Performance Workshop: Align Direct
Driven Machine With A Dial Instrument
4
10 Fans, Dryers, and Blowers
14 Compressors
Vibration
Rigging 12 Electricity
AMROV Overview 2 128 Hours
Measurements 16 AMRLL Basic Lifting 2
AMRHL Heavy Lifting 2 Pumps 36
104 Making Measurements 16 AMRLS Ladders and Scaffolds 2 305 Pumps 16 Phase IV
16 TASK Performance Workshop: Rig and Lift 4 344 Pump Installation and Maintenance 16
4
Hydraulics
Pneumatics
12 TASK Condition Inspection
36 Conveyor Systems
Non-Destructive Testing
Lubrication 16
Blueprints & Schematics 32 302 Lubricants and Lubrication 16
Pipes and Valves 64 Machining

306 Piping Systems 16

101 Reading Blueprints 16 16 345 Maintenance Pipefitting 16 184 Hours
346 Tubing and Hose System Maintenance 16
102 Reading Schematics and Symbols 16 Gaskets, Packing, and Seals 4 347 Valve Maintenance and Piping 16 Hydraulics 46
AHHCI Component Inspection and Replacement 2
32 AMMSG Gaskets and Packing 2 System Protection
64
AHHDI Diagrams 2
AMMES Mechanical 2 AHHRM Routine Maintenance 2
4 AHHV1 Valves 1 2
HVAC and Heat Exchangers 10 AHHV2 Valves 2 2
Tools 50 Bearings 36
AOHIN Heat Exchangers: Introduction 2 307
308
Basic Hydraulics
Hydraulic Troubleshooting
16
16
AOHOS Heat Exchangers: Operation of Shell 2
301 Basic Mechanics 16 304 Bearings 16 and Tube Types TASK Performance Workshop : Inspection 4
46
343 Bearing and Shaft Seal Maintenance 16
107 Hand Tools 16 TASK Performance Workshop: Bearing 4
AOHCT
AORBC
Heat Exchangers: Cooling Towers
Refrigeration Systems: Basic Concepts
2
2 Pneumatics 32
108 Portable Power Tools 16 Inspection 36 AOROP Refrigeration Systems: Operation 2
10
309
310
Basic Pneumatics
Pneumatic Troubleshooting
16
16
AMTMI Precision Measurement Instruments 2 Power Transmission 24
32
Fans, Dryers, and Blowers 6
50 303.1 Power Transmission Equipment 16 Conveyor Systems
331 Bulk-Handling Conveyors
14
10
AMGG1 Gears: Overhauls 2 TASK Performance Workshop: Identification 4
AMGG2 Gears: Types and Characteristics 2 Compressors 8 14

Metals and Non-Metals 34 TASK Performance Workshop: Gearbox 4 AMCCC

AMCAC
Compressors: Centrifugal
Compressors: Reciprocating
2
2 Non-Destructive Testing 2
Inspection 24 Magnetic Particle
106 Nonmetals in the Plant 16 TASK Performance Workshop: Identification 4
8
Dye-Pentrant
Ultrasonic
Welding 38
105 Metals in the Plant 16 417 Welding Principles 10
Vibration 2 Machining 90
AEEFA Fasteners 2 418 Oxy-Fuel Operations 8 AMVAI Introduction 2
315
316
Machine Shop Practice
Machine Shop Turning Operations
10
10
419 Arc Welding Operations 16
34 TASK Performance Workshop: Horizontal 4
2 317
323
Machine Shop Shaping Operations
Machine Shop Job Analysis
10
10
and Vertical Up Weld With Torch 38 Electricity 2 324 Lathe-Turning Work Between Centers 10

Training hours per person 140 AEBER Basic Electricity Review 2 325 Lathe-Machining Work in a Chuck 10
Training hours per person 146 2 326
327
Basic Milling Procedures
Indexed Milling Procedures
10
10
328 Multiple-Machine Procedures 10
90

114
 RTCP Requirements
• Common Skills
– Overview of reliability tools and practices
– MAC, SAP
• Lubrication – common skills plus
– Level I and II lubrication technician and analyst certification
• Vibration – common skills plus
– Level I and Level II vibration analyst certification
• Electrical - common skills plus
– Level I and Level II EMD and thermography certification
• Inspectors - common skills plus
– Kilns, mills, VRMs, mat. hand., dust collectors, gears and drives

88 Personnel Enrolled in RTCP

115
 RTCP Skill Progress Common Skills Lubrication Vibration Infrared Motors Inspectors

Vibration Analyst II (TA) ASNT 2B, ISO III

HUS Maintenance of Vertical Roller Mills

Vibration Analyst I (TA) ASNT 2A, ISO II

HUS Maintenance of Gears and Drives

HUS Maintenance of Dust Collectors
HUS Material Handling Maintenance
Machine Lubrication Technician II
Machine Lubrication Technician I

HUS Maintenance of Ball Mills

Electrical Motor Diagnostics II
Electrical Motor Diagnostics I
Machine Lubricant Analyst II
Machine Lubricant Analyst I

HUS Maintenance of Kilns

Infrared Thermography II
Infrared Thermography I
SAP PM Basics
MaC online

MRTP-01

MRTP-02
Name Role(s) Plant
Name 1 Lubrication Technician A 2 2 2 2 2 2 2 0 0 0 0 0 0 0 0 0 0 0 0 0
Name 2 Lubrication Technician A 2 2 2 2 2 2 0 1 0 0 0 0 0 0 0 0 0 0 0 0
Name 1 Vibration Technician A 2 2 2 2 0 0 0 0 2 0 0 0 0 0 0 0 0 0 0 0
Name 2 Vibration Technician A 2 2 2 2 0 0 0 0 2 1 0 0 0 0 0 0 0 0 0 0
Name 1 Electrical Technician A 2 2 2 2 0 0 0 0 0 2 2 2 2 2 0 0 0 0 0 0
Name 2 Electrical Technician A 2 2 2 2 0 0 0 0 0 0 2 2 2 2 0 0 0 0 0 0
Name 1 Inspector (walk-by) A 2 2 2 2 0 0 0 0 0 0 0 0 0 0 0 2 2 2 0 0
Name 2 Inspector A 2 2 2 2 0 0 0 0 0 0 0 0 0 0 0 2 2 2 0 0
Name 1 Electrical Technician B 2 2 2 2 0 0 0 0 0 0 2 0 2 0 0 0 0 0 0 0
Name 2 Elect & Instru Technician B 2 2 2 2 0 0 0 0 0 0 2 0 0 0 0 0 0 0 0 0
Name 3 Elect & Instru Technician B 2 2 2 2 0 0 0 0 0 0 2 0 0 0 0 0 0 0 0 0
Name 4 Electrical Technician B 2 2 2 2 0 0 0 0 0 0 2 0 1 0 0 0 0 0 0 0
Name 1 Inspector B 2 2 2 2 2 2 2 0 0 0 2 0 0 0 0 2 2 0 2 0
Name 2 Inspector B 2 2 2 2 2 2 2 0 0 0 2 0 0 0 0 2 2 2 2 0
Name 1 Lubrication Technician B 2 2 2 2 2 2 2 2 0 0 0 0 0 0 0 0 0 2 0 0
Name 2 Lubrication Technician B 2 2 2 2 2 2 1 2 0 0 0 0 0 0 0 0 0 0 0 0
Name 3 Lubrication Technician B 2 2 2 2 2 2 2 2 0 0 0 0 0 0 0 0 0 0 0 0
Name 1 Vibration Technician B 2 2 2 2 2 2 2 2 2 2 2 0 0 0 2 2 2 2 0 0
Name 2 Vibration Technician B 2 2 2 2 2 2 2 1 2 0 2 0 0 0 0 2 2 2 0 0

Objective to have all green scorecard

116
 RECP Requirements
• Level I – Basic Skills
– Overview of reliability tools and practices
– MAC, SAP, RCA, FMEA, PMA, basic lubrication
• Level II – Target for Plant RE
– Kilns, VRMs, Ball Mills, Dust Collectors
– Basic - Vibration, Thermography, and EMD
– Level II - Lubrication, Vibration, Thermography, or EMD (choose 2
areas)
• Level III – Senior RE
– All Level II Certifications (Lub, Vib, Therm, EMD)
– Two Level III Certifications (Lub, Vib, Therm, EMD, NDT)
– HGRS PME Certification

33 Personnel Enrolled in RECP

117
 Training Delivery
• Variety of methods being used – flexible approach to local needs
• High quality and recognized expert providers
• Low cost solutions where possible
• Fits with plant personnel availability and learning styles
• Fits with current plant operational environment
• High commitment of hours despite economic problems and
cutbacks, including plant Goals
• Training providers include: MPC, HGRS, Noria, equipment suppliers,
community colleges, third parties

Variety of delivery methods has many benefits

118
 Impact of Skill Development
• Level I – Did they like it?
– Questionnaires after training
• Level II – Did they learn anything?
– Pre and post testing, skill level charts
• Level III – Are they using it?
– Oil samples in spec, vib index, kiln audits completed, mill audits
completed, planning horizon, plan attainment,
• Level IV – Is it making a difference?
– MTBF, Maint Index, Fixed costs, Net Availability
• Level V – ROI
– Benefit/cost - can be targeted
– Reduced losses from unplanned outages/ training costs

119
 Training Program Development – Do’s

• Create stakeholder team - MPC, Plant Managers, Group

support Corporate Management
• Gather data from Group companies and other
recognized sources to develop task and skill matrix
• Assess current skill level
• Develop, identify, procure training material
• Develop training plan for plants and individuals
• Document and communicate plans
• Use an LMS to execute and track training
• Jointly set goals, assess and publish progress

120
 Training Program Development – Don'ts

• Work in a vacuum by developing your own program

• Develop program without senior management
agreement and support
• Expect people have required skills for performing critical
tasks, basic lubrication skills, bearing mounting etc..
• Train people without first assessing current skill level
• Don’t expect after one or more courses employees will
be done with training. Training is forever

121
 Summary and Conclusions
• Start training program with business goals in mind
• Develop with a highly integrated approach
• Align with Corporate and other group company efforts
• Implement with a variety of techniques, use blended
approach when applicable
• Communication plan and gathering feedback is critical

Training and development programs show how we value our most important
assets and will lead to employee satisfaction and retention

122
Observations 5 years later

123
Any Questions?

124
 Accelerated Inductively Coupled Plasma Analysis
of Wear Metals in Oil
Michael Sgroi, CETAC Technologies Dr. David Clarke, CETAC Technologies
Dr. Damon Green, CETAC Technologies

Summary
Two tools for increasing laboratory productivity for wear metals analysis are described. An
automated sample preparation station pours, dilutes, and stirs oil samples. This is coupled with a rapid
sample introduction system which allows several functions to occur simultaneously which would
otherwise take place separately. These tools optimize sample introduction by significantly increasing
sample throughput and reducing costs of materials, power, maintenance, and labor for ICP-AES
analyses. Both tools are shown to decrease analysis time while retaining measurement accuracy.

1. Process Flow
Well over one hundred million oil samples were analyzed last year in the wear metals analysis
industry. That number has been continuously growing since the 1960’s, therefore it is imperative that
contract laboratories continue to find ways to improve process efficiency so that they remain
competitive and profitable in the industry.

The flow through an oil contract laboratory involves many steps. First, the samples are received
from the customer and logged into a LIMS system. The samples are then divided into sets so that they
can be moved around the laboratory and appropriately prepared for the different types of analyses that
will be performed. After the different types of analyses are completed, the data analysis department will
interpret all of the gathered information in order to make maintenance recommendations about the
customer equipment.

ICP-AES is a technique used to analyze in-service oil for wear metals such as iron, additive elements
such as calcium, and contaminants such as silicon. This paper will explore the sample preparation for
this analytical technique as well as ways to accelerate it in order to increase efficiency.

2. Sample Preparation
In today’s contract oil laboratory, the neat oil samples are typically diluted by a factor of 1:10 in
kerosene. ASTM methods1 specify a mass dilution of the oil. Because mass dilutions are very time and
labor intensive, it is more likely today for laboratories to follow a modified ASTM method in which these
dilutions are performed by volume. At this stage, an internal standard, such as cobalt, scandium or
yttrium, is frequently introduced as a constituent of the diluent. The internal standard compensates for
viscosity differences among samples.

Reliable Plant 2013 Conference Proceedings |

125
 There are various ways that the dilutions can be performed. As mentioned, mass dilutions are slow,
labor intensive and usually, they are completely manual. Volumetric dilutions are faster and can be
manual, semi-automated or fully automated. Manual dilution is slow and involves manual pipettes and
bottle top dispensers.

The functionality of these pieces of equipment can be influenced by operator technique and can
therefore be operator dependent. The calibration of these devices also has to be frequently checked.
Equipment damage caused by improper use, such as dropping a pipette, can render it useless.

Semi-automated dilution involves a single syringe pump dispenser and offers better accuracy and
precision. Though faster than completely manual techniques, samples are still poured up one at a time
which ultimately makes this technique slow.

Fully automated sample preparation systems are fast, accurate, precise, and are not operator
dependent. The CETAC solution to sample preparation for oil analysis laboratories is the APS-1650
shown in Figure 1 below. Typical throughput is 30–45 seconds per sample. The easily configurable
Instruo software allows the user to set method parameters such as syringe pump speeds, delay times,
and stirring speeds. Different methods can be specified for different samples within the same sequence.

Figure 1: APS-1650 Sample Preparation Station

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Figure 2: Instruo Syringe Pump Settings

This prep station simultaneously pours, dilutes, and stirs the neat oil samples
with an independent probe and stirrer, each having its own drip cup to
prevent cross-contamination. When diluting from bottles, an optical level
sensor ensures that the probe only penetrates the oil enough to take a sample
without wetting so much of the outer surface of the probe that significant
amounts of rinse is required to clean it. It can pour up from the two or three
ounce bottles that are received from the customers or from an array of 2 mL
pour-off cups. Both sample racks and collection racks are configurable using
the Rack Layout Wizard within the Instruo software.

Figure 3: Probe & Stirrer

The accuracy, precision, and carryover of the APS-1650 are comparable to dilution by mass.
Accuracy and precision were tested by preparing ten samples of Chevron Delo 400 motor oil using the
APS-1650. The average and relative standard deviations for five elements were calculated and then
compared to those obtained from pouring the samples up using an analytical balance. For the carryover
test, alternating samples of Delo 400 and 75 cSt. base oil were prepared using the APS-1650. Then, these
same sample sets were prepared by mass using an analytical balance. All sample sets were then
analyzed on a Perkin Elmer Optima 5300 DV. The results are shown in Tables 1–4 below.

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 Table 1. APS-1650 Accuracy

Pouring
B Ca Mg P Zn
Method

By Mass (ppm) 464 1491 375 1141 1328

By 1650 (ppm) 446 1495 376 1137 1335

% Difference 4 0 0 0 1

Table 2. APS-1650 Precision

%RSD B Ca Mg P Zn

By Mass 1 1 1 1 0

By 1650 1 2 1 2 2

Table 3. Percent Carryover Using APS-1650

B Ca Mg P Zn

Delo (ppm) 438 1428 365 1110 1295

Blank (ppm) 3 6 3 7 6

Carryover (%) 0.7 0.4 0.8 0.6 0.5

Table 4. Percent Carryover Using Scale

B Ca Mg P Zn

Delo (ppm) 463 1474 372 1137 1319

Blank (ppm) 2 5 2 6 4

Carryover (%) 0.4 0.3 0.5 0.5 0.3

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3. ICP Analysis
3.1 Choice of Autosampler

There are a wide variety of autosamplers to choose from when considering a sample introduction
system for oil analysis. CETAC offers several different types of autosamplers ranging from small to large
capacity, and stirring or non-stirring options. Two, four, and eight rack capacity non-stirring autosampler
options are available in the CETAC ASX-260, ASX-520, and XLR-8 autosampler models.

Depending upon viscosity and other factors, some oil samples can fall out of suspension in a matter of
minutes. The longer the sample racks sit waiting to be analyzed, the
more this settling can affect the results. Some of the heavier gear oils
are especially vulnerable to this effect. To help counteract this,
CETAC offers two choices of stirring autosamplers. The ASX-1400 is
the standard version for oil analysis. Depending on rack type, the
ASX-1400 can hold up to four racks. When more capacity is
necessary, an ASX-1600 autosampler can accommodate up to six
racks. The CETAC ASX-1400 is shown in Figure 5 below.

Figure 4. Samples Settle Over Time

Figure 5: ASX-1400 Stirring Autosampler

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As the probe draws a sample up to the instrument to be analyzed, the stirrer mixes the next sample in
the queue. This efficient use of time ensures quality data since all the samples are all thoroughly mixed
immediately before analysis.

3.2 Traditional ICP Analysis

Typical traditional ICP methods for oil analysis can take up to a minute and a half per sample. Only a
fraction of that time is utilized for sample integration, which is the actual analysis step. The remainder of
time is spent transporting the sample to the spray chamber before analysis and then rinsing out the
sample from the system after analysis to prepare for the next sample.

Due to the sample being in contact with peristaltic pump tubing during the transportation process,
long rinse times are necessary to wash the entire sample completely away so that carryover is
minimized. Furthermore, fast pump speeds are often implemented to cut down on the sample transport
time. To compensate for this, longer stabilization times must be added to the method. All of this leads to
inefficient ICP methods. A traditionally plumbed ICP flow diagram is shown in Figure 6.

Figure 6: Traditional ICP Flow Diagram

3.3 ASXpress® Plus Operation

The CETAC ASXpress® Plus Rapid Sample Introduction System addresses the inefficiencies of
traditionally plumbed ICP instruments. A standard analysis system relies upon a single peristaltic pump
to both deliver samples to the nebulizer and rinse the sample flow path between sample deliveries. In
contrast, the ASXpress® Plus system utilizes a high speed vacuum pump in addition to the ICP peristaltic
pump. It incorporates a 6-port valve that allows the use of both pumps simultaneously, reducing total
sample analysis time significantly.

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 The use of the valve effectively divides each analysis into two stages. First, while the valve is in the
"load" position, the vacuum pump rapidly fills the sample loop, while the ICP peristaltic pump
simultaneously transports carrier solution, keeping the plasma stable. In the second ("inject") position,
the loaded sample is pushed into the nebulizer for analysis via the carrier solution flowing through the
ICP peristaltic pump. Simultaneously, the autosampler probe is moved to the rinse station and the
uptake flow path is flushed with rinse solution via the vacuum pump. The ASXpress® Plus load and inject
position plumbing diagrams are shown in Figures 7 and 8.

Figure 7: Flow Diagram of ASXpress® Plus in Load Position

Figure 8: Flow Diagram of ASXpress® Plus in Inject Position

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3.4 Benefits of the Segmented Carrier Rinse Stream

The segmented portions of the flow paths in the diagrams above depict air that is introduced into
the system. A segmented flow in which there are air pockets inserted in between slugs of rinse solution
can wash out the inner surfaces of the sample flow path more effectively and efficiently than can a
contiguous flow.

Carryover is dramatically reduced to a negligible level in seconds by utilizing this type of plumbing
arrangement because as the sample is being pushed off of the loop by this segmented stream, it is also
cleaning the sample path. The air interface between the sample slug and the rinse also isolates the
sample and minimizes diffusion at the interface. The use of the segmented stream also ensures sharp
transients and nearly instantaneous stabilization of the signal. This creates a very flat, stable signal for
integration, which yields very good relative standard deviations.

To demonstrate these ideas, an experiment was conducted using a time resolved ICP-MS signal. The
valve was first loaded with a sample containing a few analytes. Then the valve was switched allowing a
contiguous carrier rinse stream to push the sample toward the plasma for analysis. The resulting signal
was then monitored as the sample was introduced into the plasma and then washed away. This was
repeated again but this time using a segmented carrier rinse stream. The differences are highlighted in
Figure 9.

Figure 9: Benefits of Segmented Carrier Rinse Stream

As illustrated in the top of Figure 9, the signal rise and decay due to the contiguous flow shows long
signal transients and a less than ideal region for integration. Moreover, the washout is very slow and
inefficient. In contrast, the bottom of Figure 9 shows that with a segmented stream, very sharp
transients are achieved along with a very flat extended region for integration. The washout is efficient
and the signal reaches baseline in a very short period of time. This complete study, as well as many
other application notes, is available on the CETAC website2.

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3.5 Time Savings Leads to Increased Efficiency

Contract laboratories are continuously under pressure to increase their efficiencies to remain
competitive. As costs rise, efficiencies have to increase to compensate. Because several steps of the
analysis can be done in parallel with the CETAC ASXpress® Plus Rapid Sample Introduction System,
typically half or more of the analysis time can be saved. Integration schemes are not manipulated to
achieve the time savings; only flush, delay, and rinse timings are adjusted with the ASXpress® Plus
system. A simple timing diagram is shown below in Figure 10 to illustrate this point.

Figure 10: ICP Timing Diagram

A case study was conducted to look at the overall benefits of this type of discrete sample introduction.
Autosampler movement, sample uptake, stabilization delay, integration, and rinse were all performed sequentially
and added up to 80 seconds of total analysis time for each sample. With the ASXpress® Plus, this analysis time was
cut to 30 seconds per sample. This is an overall analysis time savings of 62.5%.

Calls for rerun cause a tremendous amount of time to be spent locating the original samples and preparing
them for analysis, in addition to the normal production load. It was found that before the ASXpress® Plus was used,
approximately 9,000 samples were run across a particular ICP in the laboratory in a one month period. Also, during
this time, there were more than 6% calls for rerun due to QC failure. After the ASXpress® Plus was implemented,
around 20,000 samples were run across the same ICP in a one month period and there were fewer than 2% calls
for rerun. This means that the throughput more than doubled and the calls for rerun were reduced by two-thirds.

The reason that there were drastically fewer reruns with the ASXpress® Plus is that instrument drift is reduced.
More samples can be run in a given period of time and the instrument is exposed to the matrix only during
integration. This means that more QC samples pass for a given period of time and more samples can be run before
recalibration or standardization has to be performed.

Production labs have to continuously strive to improve process efficiency to stay competitive and
profitable. A group of production laboratories in the United States performed a study in which cost and
profit data was studied over a twenty-year period. It was found that labor and non-labor costs increased

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by 3% and 2.5% respectively per year over this period of time. During that same period of time,
productivity efficiencies were observed to increase by 6% per year. If only the costs are considered, then
there is a terminally negative effect on the overall profitability of the laboratory. It is only due to the
increases in efficiencies that the profitability is protected. Without these efficiency increases, the
business is no longer sustainable. Data from the study is outlined in Figure 11 below.

Increased Efficiency Saves the Industry!

Figure 11: Effects of Increased Efficiencies to Profitability

3.6 Data Quality

Trimming time off of the analytical method is only useful if the original data quality is not compromised.
To demonstrate that accuracy and precision is preserved with the use of the ASXpress® Plus system, a
live production sample rack was utilized to compare the data quality from a traditionally plumbed ICP to
one in which an ASXpress® Plus system was incorporated. The analytical results for some additive and
wear metal elements from the two sample introduction setups are plotted in Figure 12.

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Figure 12: Original Datta Quality is Preserved
P

If therre is perfect agreement

a beetween the daata obtained with the trad ditional ICP seetup and thatt
obtained with the ASXp Xpress® Plus syystem, then the
t lines abovve would have a slope of eexactly 1.0, an nd
the R2 corrrelation coeffficients would be 1.0. In th
he plots show wn below in FFigure 13, origginal data was
taken on a standard traditionally plumbed ICP. ThatT data set was then run n on the samee instrument after
it was ASXXpress® Plus enabled.
e Additionally, the data set was run again on n a different IC CP that was aalso
ASXpress® ® Plus enabled. Because th he data agree es so well, it iss somewhat d
difficult to seee that there aare
actually tw
wo lines plottted on each graph.
g As can be seen, sloppes and correelation coefficcients are all vvery
close to 1.0 demonstraating how goo od the agreem ment is. This m method used
d three replicaates and all RRSD
values we ere less than 1%.
1

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Figure 13: Reproducibility Data

The method
m used tot generate the data in Figgure 12 meas ured two rep plicates and to
otal analysis ttime
was cut down to less than 30 secon
nds per sample from an oriiginal analysiss time that ap pproached on ne
minute. This
T cut the prroduction timme in half whille preserving the original ddata. The datta shown in Fiigure
13 was ge
enerated fromm a three repllicate method me was also reeduced by half.
d in which thee analysis tim

4. ASXp
press® Plu
us Functio
onality

4.1 Physiccal Connectivvity

The ASXprress® Plus sysstem is easy tot install. The electronics mmodule (EM) is the hub of all the
communications for th his system, wh hich is firmwaare (FW) and not softwaree (SW) driven. The OEM
communication line th hat would havve connected directly to thhe autosampler in a traditiional arrangement
instead co
onnects to the OEM port on o the back off the EM. Anoother commu unication line goes from th
he EM
to the hosst computer sos that the CEETAC Xpress Configuration
C n software too ol can commu unicate on a
separate COM
C port. Th
his tool is onlyy used to send the timing parameters tto the FW in tthe EM, and ccan
be removved during operation. Thesse two communication linees can either be USB or RSS-232 serial caables.
A connecttion is made between
b the EM and the autosampler
a tto control autosampler movement. Thee
valve pummp module (V VPM) also con nnects to the EM. The VPM M is engineereed such that it can easily fiit
next to th a spray chamber in orde
he nebulizer and er to be able tto minimize tubing lengthss and maximize
the overall method effficiency. A sch hematic of this connectivitty is shown beelow in Figuree 14 below.

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Figure 14: Connectivityy Schematic

4.2 Xpress Configuration Software Tool

As pre
eviously menttioned, the ASXpress® Pluss is a firmwarre-driven systtem. It is unlikke other offerings
on the maarket which are SW driven n. The differen
nce lies in thee fact that thee ASXpress® PPlus only usess a
SW tool to
o download thet timing parameters to thet FW insidee of the EM. A After that, botth the user an
nd
the OEM SW only see an a autosampler, and do no ot need to knnow that therre is a valve syystem in the mix.
This makees it very simp
ple to implem
ment into a prroduction lab .

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Figure 15: Xpress Configuration Tool

The screen shot in Figure 15 shows the CETAC Xpress Configuration Tool. It is simple to load the timing
parameters to the FW with a click of the “Save Configuration to ASXpress+” button. After the timing
parameters are saved to the FW during installation, this SW tool no longer needs to remain open. The
system just responds to the OEM commands and user input through the OEM SW as if it were just an
autosampler. The EM interprets commands from the OEM SW and instructs the autosampler to behave
according to the timing parameters that have been saved to the FW. For particularly difficult samples,
the Extra Loop Rinse functionality very quickly and efficiently removes any trace of the previous sample
from the flow path. It allows rinse to be used to wash out the entire flow path in a matter of seconds
just before loading the next sample in the queue into the loop.

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4.3 Hardw
ware

The siix-port injection valve is co onstructed fro

om inert and durable polyyphenylene su ulphide (PPS)
which proovides for a loong service liffe and low cosst of operatioon. Maintenance is simple and quick
consistingg of taking the
e valve apart periodically and
a ensuring that it is freee from debris.. The valve is self-
cleaninng, anti-clogging, and is cleearly labeled and color cod ded for quick error
proof connections.
c Since PPS is aan inert yet hard material, it is ideally suited
for the
e mechanical actuation
a thaat is needed ffor this appliccation. In conttrast,
softer materials succh as Teflon® PTFE producee shavings insside the valvee,
which canc cause cloogs or can we ar grooves in n the valve surfaces resulting in
internaal leakage.

Figure 16. Injection

I Valve
e

Similaarly, the vacuu

um pump andd loops are made
m from ineert materials. These fluoro
opolymer loop ps
made from m FEP and PFFA are rugged ding effective washout chaaracteristics. TThe wetted p
d while provid parts
of the high flow durable vacuum puump are consttructed from PTFE and FFPPM.

5. Data
a Analysiss
The number one goal of oil analysis productiion laboratorries is to returrn quality datta and
maintenance recomme endations to the customerr within the sshortest amou unt of time possible. It is o
often
guaranteeed to the custtomer that re esults will be returned
r to t hem within 224 hours of th
he laboratory
receiving the samples. After the anaalytical resultts are generatted in the lab boratory, theyy are sent off to
the data analysis
a team
m (DA) for inte erpretation. The
T more quicckly the laborratory can gen nerate this daata
and send it to the DA department,
d the
t faster the e customer geets the results and act upo on the inform mation
that they receive. Also, it is importaant to reiteratte that if DA ddoes not agreee with the daata generated d,
then the laboratory mu ust re-run the e sample(s) inn question. Thhis is a very tiime consumin ng and labor
intensive process and the
t single mo ost inefficientt step in a prooduction labooratory. The sample(s) musst be
found, preepared for an
nother round of analysis an nd then put inn the front off the queue so that they caan be
processedd within the guaranteed
g tu
urn-around-time. The CETA AC equipmen nt highlighted here serves to
help the laboratory gett the correct information and a recommeendations out to the custo omer in the
minimum amount of tiime.

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6. Conclusion
ICP samples constitute virtually every sample that enters the oil analysis laboratory. With the CETAC
APS-1650, these samples can be prepared in a fully automated and efficient manner. With the CETAC
ASXpress® Plus Rapid Sample Introduction System coupled with an ASX-1400 stirring autosampler, the
same quality data is generated from these samples; it is just generated in a fraction of the original time.
At very modest price points, these solutions can be easily implemented into any oil analysis laboratory.

About CETAC Technologies

In 1986, CETAC Technologies began operations in Omaha, NE by focusing on the front end of
inductively coupled plasma atomic emission spectroscopy (ICP-AES) instrumentation with the ultrasonic
nebulizer. The first autosampler was built in 1993, and currently there are more than 25,000
autosamplers in testing laboratories around the world. CETAC began focusing on the in-service oil
market in 2006, quickly becoming the world leader in sample introduction for this application. By
focusing on process flow improvement, CETAC has been able to develop products from sample
preparation devices to analysis acceleration equipment helping contract laboratories increase efficiency.

References

[1] ASTM D 5185-09

[2] http://www.cetac.com/literature/application_notes.asp #asxpress

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 Achieving Labour Excellence in Maintenance
and Lubrication
A Strategy to Enhance Bottom Line

Alejandro Meza

The lack of a formal human resource development plan to achieve excellence in performance that
still exists, even in some leader companies, particularly for lubrication‐related functions and
responsibilities, leads to poor performance work. Then it is important to review, first of all if there is a
formal HR program and if it is fully implemented in the industrial maintenance structure, to ensure that
the team works with high performance standards.

Also, it is critical to provide the employee with technology and optimized procedures, to achieve
high operational standards. This material introduces the importance of integrating HR development
with, technology and optimized scheduling and procedures to have a maintenance/lubrication team that
do “the right things right the first time”, that is Labour excellence.

Resources to Achieve Labour Excellence

Three elements can be appointed as critical to have a reliable and efficient work:

• Complete, Standardized and optimized scheduling and procedures

• Appropriate Tools and Technology: Hardware ( lube room, modifications, etc.) and software
(managerial system)

• Qualified Labour force at different org. levels from managerial functions to the field
personnel such as Lube Techs and Mechanics

Now, some characteristics of a qualified individual can be:

1. Self‐motivation and positive attitude

2. Right Competencies (Knowledge / Skills)

• Educational Background

• Training / Certification

• Experience

3. Understands what has to be done, the expected results and executes accordingly

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 In order to ensure that the right person is doing the right job right in maintenance, it is necessary
the existence of a formal HR strategy implemented that supports the hiring, motivation and
development of the individuals. A HR strategy can be summarized as follows:

1. Organizational Chart well defined

2. Formal hiring procedures

3. Complete and updated job descriptions

4. Development Plan

a) Training and certification

b) Formal mechanism for performance appraisal and feedback

c) Progression plan according to knowledge, experience and performance

d) Compensation and rewarding

Here it is convenient to focus on the development plan which is the main subject to be discussed.

a) The first element of the list is Training and Certification.

A quick definition of training is “the process of learning the skills to do a particular job or activity”.
The attributes of a successful training program can be mentioned as follows:

• Based on required competencies (knowledge / skills)

• Developmental, that means, it is progressive, motivational and focused to support a

qualification / certification

• Provides the technical knowledge for the core functions to be developed

• Balanced: classroom vs. Field (on‐the‐job)

• Connects technical concepts with real practices

• Includes safety and environmental issues, as well as social responsibility, among other elements

• The person understands the way the job has to be done and the expected results

• Measurable

On the other hand, two quick definitions of Certification are: 1‐ to say in a formal or official way,
usually in writing, that something is true or correct; 2‐ giving a written testimony, or certificate. So,
“training certification” can be described as a “written or official testimony that the knowledge acquired
is true or correct according to requirements”.

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Attributes:

• Focused to develop required technical competencies

• Assessment of kowledge / skills
• Theoretical and / or practical
• Certification:
o Formal/Oficial: given by a recognized institution or body
o Internal: managed internally by the company itself (also referred as internal
qualification)
o Expiration time
A brief description of attributes for the other elements of the Development Plan are as follows:

b) Formal mechanism for performance appraisal and feedback.

It should be part of the HR program; also it is a positive managerial skill. Attributes are:

• Periodic / predetermined appraisal and feedback: it may happen once or twice a year

• Following a consistent and known procedure of the organization

• Frequent informal feedback is also welcomed

c) Progression Plan according to knowledge, experience and performance

• Opportunity to grow in the same function / area / organization – long term vision: the principles
are applicable to practically all function in the organization, but specifically for the Lube Techs,
sometimes there is no expectancy to grow and develop in the same type of function, and the
expectation is only to move to other functions, which carries out dissatisfaction with the
lubrication activities, compromising the quality of work

• Job description for every stage – existing two or more developmental stages in the same
function (e.g. Lube Tech Jr, Lube Tech Sr.) , each stager is defined by a Job description indicating
the responsabilities, skills and specific training required.

d) Compensation and rewarding

• According to development: each developmental stage in the carrier deserves a recognition that
can be expressed in salary or other benefits

• Competitive with other similar positions: a specific drawback existing in some companies
particularly with the function of Lube Tech, is that is considered a less qualified function when
compared for instance to mechanics or electricians. That is a misunderstanding from the
management and the HR area, that leads to a lower salaries and poor recognition of the
function.

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 • Prizes: individual or group contribution prizes motivate implementation of improvements,
development of the team and satisfaction with the work done.

Up to here it has been reviewed some key requirements to develop a high performance team; if
you, reader identify that there are opportunities for improvement in your organization or team,
a natural question can be how to implement better practices? Following there is a summary of
elements to consider in the enhancement Labour excellence.

Please notice that it needs a holistic plan that embraces the three elements mentioned at the
beginning of this material: optimized scheduling and procedures; Appropriate Tools and
Technology; qualified Labour force. It should not be expected that a good developmental
program can assure becoming a high performance team. All the necessary resourses have to be
included. See next page. Please notice that the elements are not described necessary in a
chronological sequence.

The result of implementing /renewing a combine strategy considering human , technological

and procedural resources, will lead to invigorate the performance of Maintenance / Lubrication
team giving the following results:

 Right job, right, the first time!

 Improved bottom‐line!

Scheduling
Implementation / Improvement Elements Technology Labour
& Procedures
1. Assessment on the current status vs. the
Optimum Reference State
* * *
2. Define a plan involving HR, Maintenance, Top
Management, Internal Communications
* * *
3. Asset inventory & definition of best
maintenance practices and procedures
* *
4. Scheduling and balanced routes *
5. Resources required (Labour, technology,
hardware, software...)
* * *
6. Investment: budget for training and
development , time, support from HR * * *
department and management commitment
7. Definition/update of org chart and jobs
descriptions (skills, knowledge, training)
*
8. Assessment of current qualification /
competencies level
*
9. Plan to close gaps *
10. Competitive developmental program (Lube
Techs, Mechanics, Electricians...)
*
11. Use references such as: ISO 18436, ICML
certification model
*

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Advanced Gas Turbine Reliability Issues and
Management
Noria’s 14th Annual Conference & Exhibition
Reliable Plant 2013

16th -18th April 2013

Hilton Columbus Downtown
OHIO USA

S. Nadeem Ahmed
Sr. Power Plants Engineer
Six Sigma MBB
nadeemasyed @ gmail.com
+92-333-3057489
 Outline of Presentation
– Gas Turbine Technology Development
– Understanding the Gas Turbine Base line level Data
through RAMS .
– Life cycle analysis of Gas Turbine
– Gas Turbine Plant Maintenance Program
– Level I , II and III assessment for Gas Turbines , replicas
– Predicting the remaining life of the Gas Turbine Plant
– Comparing the work-scope on the Gas Turbine Planned
Vs Actual
– Conclusions

146
Single Shaft Gas Turbine

147
 Gas Turbine Applications

• Aero Engines
– Turbofan ,Turbo shaft ,Turbo Prop
• Power Plants
– CCGTPP 1MVA-400MVA
– Power Generation
• Domestic Power , Oil Fields etc
• Mechanical Drives
– Oil Fields , Ships , LNGs etc
• Military Applications

148
 Performance Expectations
• Aero Gas Turbine .
– Higher Time On wing .
– Lower In Flight Shut-Down Rate.
– Minimum Cost Per Flying Hour .
– Lower Shop Visit Rate .
– EGT Margin Retention .
– Lower Specific Fuel Consumption .
• Gas Turbine Power Plants .
– Minimum Shut Down Rate / Trips
– Minimum Operating Cost Per Kw-Hr
– Minimum Maintenance Cost / Hr
Operation.
– Optimum Heat Rate Performance.
– Lower Specific Fuel Consumption .
149
 Trends
- Higher Turbine Inlet Temperatures
– Introduction Single Crystals Blade technology
– More Stable In-Conel Alloys , Higher creep resistance
– Metal Cooling , Turbine and Compressors Active Clearance
control Systems
– Film / Steam Cooling
– 3D Aero Design for Compressors / turbines
– TBC on Rotating Parts
– Capital Cost of Equipment
– We are seeing the introduction of Aero Engine Blade
Design and Cooling Technology in Industrial Machines
– Advanced Condition Monitoring ( DMS Module )
150
 Aero-derivative Gas Turbines

Rolls Royce Aero Trent Rolls Royce Industrial Trent

151
 Aero-derivative Gas Turbines
General Electric LM6000

152
 Aero-derivative Gas Turbines
Multi Shaft Gas Turbine
• ISO Powers :
– Trent – 53 MW (Triple Shaft)
– LM6000 – 48 MW (Twin Shaft)
– LMS100 – 100 MW (Triple Shaft Hybrid) [A new development]
• Features:
– Variable speed (Triple shaft bigger speed range)
– Aero-derivative
– High efficiency

Fuel Exhaust

Combustor

LP HP HP LP PT
Air Intake

Load

Intercooler
for LMS 100
153 LP-PT of a LM6000
 Aero-derivative Gas Turbines
LMS 100: Combining the Best of Both Worlds

154
LNG – QG Example

155
 LNG Train Developments
12 new technologies;
DMR, APX, Split PMR, Split MR

10
4 stage C3 Hybrid
new kettles GT > 100MW
El-St
Mtpa LNG production

8
gas turbines
air cooling

6 Aero GT’s
scale-up
C3/MR process
4

0
ALGE BLNG MLNG WEL MLNG NLNG OLNG MLNG WEL NLNG SLNG QG-4 PLNG NLNG 10+LNG gFLNG gFLNG
Satu 1,2&3 Dua 1,2&3 1,2&3 Tiga 4&5 4,5&6 1&2 7+ Small Large
(Hammefest)
scale-up large GTs improved arctic all el floating
new tanks axial compr’s technology effects paral. facilities

156
Gas turbine Materials Development

157
Improvement Trend in Turbine Buckets

158
Improvement Trend in Turbine Buckets

159
Reliability , Availability , Maintainability &
Safety , Risk

160
Reliability Asset Management Process for
Gas Turbine Plants
Design & Construct Optimization Operate/Maintain
Design Procure Strategies Routine Mtce Turnaround Mtce

Construct Commission Operate Work ID Work ID

Plan Plan
Equipment Specific
Strategy Analysis Equipment Schedule Schedule
Functional/ Maintenance Strategy Plans
Execute Execute
Criticality
Analysis Turnaround Strategy Equipment Document Document
and/or Performance
Risk Based Spare Parts Strategy
Data
Inspection
Training Strategy

Eliminate Root Cause Select Prioritize Based Data Analysis

Leverage
System Failure What to On Business to Determine
Learnings
Other
Defect Analysis Work on Impact Stake
Sites Defect Elimination

161
 Using Criticality Analysis

High criticality - requires thorough reliability analysis.

Frequency of Failure

5+

4
Medium criticality - Failure Modes and Effects Analysis.
Low criticality - generic strategies.
ity
al

3
tic
ri
C
g
sin

2
ea
cr
In

10 20 30 40 50 Equipment
Business Impact Strategy Analysis
(Consequence of Failure)

High Criticality Maintenance Strategy

Different criticality levels
Functional/
Alert Criticality require different analysis Turnaround Strategy
Criticality
and different tactics
Analysis
Medium Criticality Spare Parts Strategy
in each strategy area
Low Criticality Training Strategy

162
 Using Criticality Analysis
Frequency of Failure

High criticality - requires thorough reliability analysis.

5+

Medium criticality - Failure Modes and Effects Analysis.

ity
al

3
tic

Low criticality - generic strategies.

ri
C
g
sin

2
ea
cr
In

10 20 30 40 50

Business Impact
(Consequence of Failure)

Equipment
Strategy Analysis
Maintenance Strategy
Functional/ Specific
Criticality The combination of these
Analysis
Turnaround Strategy
strategies form the Equipment
and/or Specific Equipment Plan Plans
Risk Based Spare Parts Strategy (SEP)
Inspection or SEP
Training Strategy

163
Life Cycle and Failure Understanding

164
 Life Cycle Operating Cost

Gas Turbine Plant Life cycle

Equipment Life Cycle (say 20years)

10% of Life Cycle (2 years) ~ 88% of Life Cycle (~ 18 years) ~ 2%

Decommissioning
Commissioning

Disposal
Feasibility

Procurement

Operation
Approval

Detail Design
Idea Creation

Preliminary Design

Construction

Profits come from this stage of the

life cycle, and are maximised when
operating
165 costs are minimised.
 Basic Numbers
• Capital Cost of Equipment
– $ per Kw – New Plant Basic Configuration Will Cost on the
region 350-450 USD / KW
– Obviously this applies to Plant 100MW and above a small CHP
plant will cost upto 850USD / KW
– Therefore 400MW -140MUSD to build basic plant
(Equipment)
• Fuel Cost
– The Biggest is Fuel 70% Cost ,
– Take a 400 MW Plant 1( one ) Eff. Point can reduce operational
cost by $20M ( USD )
– Scope of supply , GT , Waste heat recovery , Standard controls ,
Starting System , Plant Auxiliaries

166
 Some Basic Numbers

• Maintenance Cost
– Basically a large Power Plant will allocate approx
2-2.5US$ / MWHr
– Example 100MW X 4 Blocks = 400MW
– Typically 8000Hrs Operation per year ( 8750Hrs )
– 8000Hrs X 400MW= 6.4MUSD to 8 MUSD per Year,
( Maintenance Budget )

167
 Equipment Degradation Cycle
The part would fail at
these times if
imposed stresses Repair or Replace
were that large
P The P – F Interval
Degradation
Strength (Health/Condition)

F
‘signature’
Impending Failure
X
Smooth Change in X
Running Performance
is Detectable

Load – Stress on Part Failed

0 10 20 30 40 50

Item Age
We must condition monitor frequently enough to detect the onset of
failure so we have time to address the failure before it happens.

168
Reliability of GT Power Plant Over life Cycle

The shape of the system curve is malleable by varying the policies

controlling quality and maintenance!

Quality Control, Replace

Training, Precision Equipment,
Assembly Replace more Mean of
Components Many
Frequency of Frequency
Component of System
Failures

PM, PdM (Condition Monitoring), Precision Systems

Operation
A Single
System
Failures

Time – Age of System

The Maintenance Zones of Equipment Life

169
Maintenance & Reliability Programs
( Based on MSG-3 RCM )

170
 Maintenance & Reliability Programs
Interrelationships In Gas Turbines
REGULATORY
MANUFACTURER AUTHORITY OPERATOR

DESIGN REGULATIONS OPERATIONS & MAINTENANCE

PRIOR TO IN-SERVICE
SERVICE
• FAILURE
DESIGN IMPROVEMENTS
CONSEQUENCES
• FAILURE MODES IMPROVEMENT
INITIAL
• AGE RELIABILITY • Add or delete tasks
MAINTENANCE
CHARACTERISTICS • Adjust Intervals
PROGRAM
• SAFE LIFE LIMITS • Modify Hardware
• SIGNIFICANT ITEMS

POWER PLANT
CERTIFICATION REVISED
MAINTENANCE
PROGRAM

MAINTENANCE MRB RCB

REQUIREMENTS
Reliability
SERVICE • Measure failure frequencies
MODIFICATIONS DIFFICULTY • Measure age
reliability
REPORT
INITIAL relationships
REPETITIVE • React to unanticipated failures
FLEET
STATISTICAL
ANALYSIS

171
 Gas turbine
Life Extension Evaluation and
Recommendations

172
 Gas Turbine information Required for
Performance and CDC Analysis

• Plant operating procedures and operating parameters

• Historical plant operating data
• Detailed drawings of the HRSG , GT , Boilers , Generators
• Details of materials of construction
• Details of boiler and feed-water treatment
• Maintenance history of the HRSG unit
• Records of repairs / replacements
• Inspection reports , Failure investigation reports.
• Relevant report, e.g. life assessment report
• Access to appropriate staff .

173
 Additional information Required for Performance
and CDC Analysis

• Cold , warm and Hot starts History

• Planned outage and Forced Outage Factors
• Planned Maintenance and Unplanned maintenance
• Hours on weekly basis , Budgets
• Variation In Maintenance Budget on Quarterly basis
• Routine and Non Routine ratios for maintenance scopes
• Efficiency of Individual Components
• GT, HRSG , Boilers , Steam turbines , Generators .
• MRR major Repair and Refurbishment Costs
• Day to day maintenance Cost on forced and Planned activity
• Reliability Variation on six monthly basis for
• Plant , Systems , Components and BOP .
• Emissions levels monitoring data
• Instrumentation calibration record .
174
 Gas Turbine Plant Remaining Life Assessment
Stages
Stage I Assessment
• Life Assessment from the review of Available Power Plant data
• Review of plant data, drawings & documentation
• Life estimation for critical components
Stage II Assessment
• Life Assessment from the review of Available Power Plant data
• Review and evaluation of plant operating data and maintenance
/ inspection history.
• Preliminary analysis and component life estimation
Stage III Assessment
• Final Life assessment based on off site testing & Analysis and
recommendations for future inspection and remedial actions
• Complete Risk Assessment / Risk Study
• Evaluation of Risk Based Maintenance Intervals / Inspections
• RCM ( Reliability Centered maintenance ) Audits
175
 Data Requirement for Gas Turbine Power Plant
Reliability Assessment Using a Three Stage Approach

176
Level III Standard Rotor Testing for Gas Turbine

177
Gas Turbine Maintenance & Overhaul

178
 Gas Turbine Maintenance
Inspect Only Components Scheduled Maintenance
No Planned Maintenance required on:
- Standard Inspections CI-HGP-MI
- Casings, rotor and (IGV-) blades
- Components replaced, repaired or upgraded as
- Cleaned and inspected (with OEM) per “R&R program”.
- “R&R” as Extra Work

RBM/CBM (with OEMs only)

- Advanced NDT Inspections
- Operating Data
- Component Improvements
(“extendor kit”)

179
 Plant Availability Determined by GT Maint.
Heavy Industrial Typical Interval (hours)

Inspection Type: Days As it was As it is As agreed Future

Combustion 6 8,000 12,000 16,000 none

Hot Gas Path 12 24,000 24,000 32,000 32,000

Major 30 48,000 48,000 64,000 64,000

GT Availability 343 d/y 346 d/y 349 d/y 351 d/y

Year 1 2 3 4 5 6 8

Inspection Intervals: As it was CI CI HGPI CI CI MI

As it is CI HGPI CI MI

As agreed CI HGPI CI MI

Future 180 HGPI MI

 Plant availability determined by GT Maint.
Heavy Industrial Typical Interval (hours)
Inspection Type Days As it was As it is As agreed Future
Combustion 6 8,000 12,000 16,000 none
Hot Gas Path 12 24,000 24,000 32,000 32,000
Major 30 48,000 48,000 64,000 64,000
Typ. LNG stream days 343 d/y 346 d/y 349 d/y 351 d/y

Aero-derivative Typical Interval (hours)

Inspection Type Days As it was Development Future Wish
Crank Washing 0.5 1,000 2,000 - 4,000 8,000
Borescope 1 4,000 8,000 – 12,000 – 16,000 none
Major 3-4 25,000 32,000 – 40,000 50,000
Typ. LNG stream days 350 d/y

181
 Module Cost Structure & Project Selection
$/EFH
TSO/CSO $/Kw-Hr

Performance Condition WSPG LLP SB/AD

Drivers Thresholds

EM Limits Workscope Technology Project focus-

Creep optimize thresholds
Extend? for best mix of cost
and Performance
PPE Training
EM Review Engineering Reliability
Programs

Scrap/Rework/Labor
182
 Gas Turbine Overhauls / Performance
Integration
• Work-scope Planning Guide
• MTBO for Gas Turbines
• Reliability Considerations
• CESM Commercial Engine Services Memorandum
• Service Bulletins , Modifications etc
• Hard Time Items / Parts
• ON Condition Concept for Modules
• ON Condition Concept
• Cost / Hr of Operation Considerations

183
Rising Average Cost driven by several factors
• Increasing probability of operational events
• Associated secondary damage (increasing material/labor
costs)
• Rising material costs due to exceeding serviceability /
reparability limits for engine components.
• Gas Turbine and associated components Reliability /
Confidence level setting is an important consideration in
Operation and Maintain phase of these Machines .

184
 Understanding key objective?

…Availability optimization
Achieved through:
1. Prevent unscheduled outages (higher Reliability)
2. Reduce outage frequency
• Extend time between inspections (MTBM),
and/or:
• Skip inspections based on previous
assessment
3. Reduce outage duration ( preserving Quality & HSE!)

185
 Lessons Learnt / Conclusion
• Valuable business, focus on availability
• Adopt proactive approach in Maintenance Management
• Train and retain staff, own and supplier
• Networking, user-/supplier meetings and forums
• Customer < ----- > supplier interactions are essential to
overcome the previous learning’s discussed
• Shift to long term agreement is a vehicle of choice
• Secure access to spares and services

186
Questions

187
 Air Seals – An Alternative to Packing
Tom Horner

Packing has been used to seal rotating equipment for years. In fact, it is one of the oldest, if not the
oldest, form of sealing a rotating shaft. However, packing is notorious for damaging shafts, yet it
continues to be widely used in rotating equipment. Packing not only damages equipment, but it also
involves a good amount of maintenance, which takes up valuable time. The other major cost, which can
be minimal depending on the service, is the cost to flush the packing. Packing creates heat via friction
and thus needs to be flushed in order to remain cool. This can be done with water, but in most cases it is
done with the product it is sealing (such as light gas oil in refineries), and this can get very. Nevertheless,
packing is still widely used to seal pumps, agitators, mixers, conveyors and many other products in the
field.

Packing does indeed offer benefits to the user, as it is relatively inexpensive, comes in many
different materials and is a proven solution. It works particularly well in services where the product is
neither dangerous nor valuable, such as vertical pumps in cooling towers. In the end though, packing will
eventually leak and will leak sooner if it is not attended to properly. Packing works thanks to the
pressure asserted by the gland, in essence making it impossible for the product to pass through.
However, the product and the shaft will eventually wear the packing down and thus the gland
continually needs to be tightened in order to maintain the pressure and consequently the seal. The
packing will leak if it is not tighten properly, and it will also fail prematurely if it is over tightened.
Packing is thus in a death spiral, as it can only be tightened so much, before it cannot be tightened any
further and it needs to be replaced.

Mechanical seals are another option for sealing rotating equipment. Mechanical seals have not been
around as long as packing, but certainly are a proven option. This technology became popular after
World War II and has only improved over time. Mechanical seals have made the biggest jump in
innovation and technology when compared to the other sealing methodologies. Mechanical seals are
made up for four components (drive mechanism, primary seal, secondary seal and actuation) and
companies continue to improve on all of these components. Mechanical seals are widely used in all
industries, from pharmaceuticals to oil gas, and are a necessary component in the rotating equipment
industry.

Mechanical seals work great on pumps, compressors, reactors and other critical and precise pieces
of equipment. However, they tend to be very sensitive to system upsets. This is due to the very flat and
extremely small clearance of the two seal faces. These faces are made up of two different materials: one
rotates, while the other is stationary. The seal faces are the primary seal and are the most sensitive part
of the seal. These seals must not touch, but they must also stay inexplicably close. The seal will fail if the
faces rub or if they are pulled apart and therefore why mechanical seals are sensitive to system upsets
and to the environment in which they are installed.

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 One final, and relatively new, alternative to packing are air or gas purged seals. Air seals are a
clearance seal, meaning there are no contacting parts that are critical to sealing, and thus there is
minimal wear. These seals require that the pressure in the seal be greater than the pressure in the
equipment they are sealing. The air or gas is subsequently leaked to the atmosphere as well as into the
product, thus the service needs to be compatible with the sealing media and the equipment needs to be
vented. Air or gas purged seals also rely heavily on the tight clearance between the seal and the shaft,
and as a result can fail and/or become inefficient if that clearance is opened up.

These criteria of course create challenges for an air/gas purged seal, but these seals also come with
a tremendous upside. Air/gas seals are a permanent sealing solution; they do not require tightening or
complex secondary systems. In fact, their only requirement is that the pressure inside of the seal is
greater than the pressure it is sealing against. Therefore, it makes the seal adjustable, for example, you
can turn the pressure up or down if there is a change in the system. These seals are also maintenance
free thanks to the lack of contacting faces or parts, which means that it can run longer than the piece of
equipment it is sealing. Some air seals designs even allow for shaft run-outs and misalignment, making
them very adaptable to various pieces of equipment.

In the end, there is no one size fits all sealing solution for rotating equipment and therefore why
there are so many options. Mechanical seals will always be needed in high speed, high pressure and
highly critical applications, but they require a high level of precision, which makes them unsuitable for a
large number of services in the market. These other services are where packing is normally used,
because packing does not require the level of precision nor is it as delicate as mechanical seals.
Examples of these applications would be screw conveyors, bulk solids, agitators and many others.

This is where air/gas seals are great alternatives to packing, because they can successfully seal the
majority of the applications that packing does. Not only can they seal the same applications, but they do
so with less maintenance, higher mean time between repairs and will not damage your equipment.
Packing will undoubtedly be used in some capacity for the life of rotating equipment, but thanks to new
sealing technologies, such as air/gas seals, they are no longer the only option.

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 Alignment and Installation Factors that Impact
Machine Reliability
Basic Alignment Principles and why Precision Alignment
Flatness and Levelness of Machine Feet and Bases
Alignment Targets

Steve Lochard, Ludeca, Inc.

Precision machinery alignment resolves premature failure and provides an important ingredient in
reliability efforts. As part of the process, measuring and verifying base and machine feet flatness saves
time in the alignment process and helps to reduce overall vibration levels. Finally, it is necessary to
identify the effects of thermal growth and dynamic change on machinery. True targets need to be
established that will provide an important ingredient in machinery reliability. Aligned shafts at running
conditions will lead to lower vibration levels, increased mean time between failures, decreased
maintenance expenditures and increased production. Introducing a formula for thermal growth, hot
alignment checks and machinery dynamic change will be presented.

Basic Alignment Principles and Why Precision Alignment

Shaft alignment is the positioning of the rotational centers of two or more shafts such that they are
co-linear when the machines are under normal operating conditions. Proper shaft alignment is not
dictated by the total indicator reading (TIR) of the coupling hubs or the shafts, but rather by the proper
centers of rotation of the shaft supporting members (the machine bearings). There are two components
of misalignment—angular and offset.

Offset misalignment, sometimes referred to as parallel misalignment, is the distance between the
shaft centers of rotation measured at the plane of power transmission. This is typically measured at the
coupling center. The units for this measurement are mils (where 1 mil = 0.001 in.).

Angular misalignment, sometimes referred to as "gap" or "face," is the difference in the slope of one
shaft, usually the moveable machine, as compared to the slope of the shaft of the other machine,
usually the stationary machine. The units for this measurement are comparable to the measurement of
the slope of a roof (i.e., rise/run). In this case the rise is measured in mils and the run (distance along the
shaft) is measured in inches. The units for angular misalignment are mils/1 in.

As stated, there are two separate alignment conditions that require correction. There are also two
planes of potential misalignment—the horizontal plane (side to side) and the vertical plane (up and
down). Each alignment plane has offset and angular components, so there are actually four alignment

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parameters to be measured and corrected. They are horizontal angularity (HA), horizontal offset (HO),
vertical angularity (VA), and vertical offset (VO).

When shafts are misaligned, forces are generated. These forces can produce great stresses on the
rotating and stationary components. While it is probably true that the coupling will not fail when
exposed to the large stresses as a result of this gross misalignment, the bearings and seals on the
machines that are misaligned will most certainly fail under these conditions. Typically, machine bearings
and seals have small internal clearances and are the recipient of these harmonic forces, not unlike
constant hammering.

Excessive shaft misalignment, say greater than 2 mils for a 3600 rpm machine under normal
operating conditions, can generate large forces that are applied directly to the machine bearings and
cause excessive fatigue and wear of the shaft seals. In extreme cases of shaft misalignment, the bending
stresses applied to the shaft will cause the shaft to fracture and break.

When a piece of machinery is out of alignment, eventually the shaft will become distorted, bend,
and could potentially break. When it becomes distorted, it will often cause excessive vibration inside the
machine, wearing down other parts of the machine. The wear and tear on other parts could cause them
to crack or break, and requiring frequent replacement or repair.

In order to have machinery that runs smoothly, and requires the least amount of repair, it's
important to regularly check for proper shaft alignment. Regularly checks and maintenance on machines
will keep shafts in correct working order.

Precision alignment of shafts is critical because misaligned machines result in vibrations and
premature wear of bearings, seals and couplings. Machines with rotating shafts are designed to run
under optimal conditions. Misalignment will lead to harmful forces, deteriorating the performance of
rotating machinery.

 Reduced vibration levels

 Increased meantime between failures
 Reduced maintenance cost
 Reduced energy consumption
 Increased production quantity and quality

Misaligned machines contribute to huge costs in repair and production loss every year. By
introducing preventive maintenance, including regular alignment control, you minimize the number of
unplanned stops due to machine breakdowns.

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Flatness and Levelness of Machine Feet and Bases (foundation)
Every machine has a foundation whether it concerns a gas turbine in a power plant or a support
bearing in a wind turbine. For a correct alignment a flat and straight foundation is from the upmost
importance. Any deviations will lead to softfoot or other problems which can make a machine alignment
a difficult and time consuming job. A crooked foundation can also lead to stresses in the foundation or
machinery casing.

Besides the flatness alone is the levelness also an important parameter for many foundations. For
these applications it is also possible to measure the flatness against a very accurate level.By performing
flatness measurements before a machine is placed, it is possible to detect and to correct and deviations
before these will lead to complications during the mounting or assembly of the machine.

Large stresses in the foundation are prevented, stresses that on the long term could lead to cracks.
The repair of a cracked foundation is often a radical and time consuming job for which it is not
uncommon that the whole installation has to be dissembled. A job that could easily be prevented.

Alignment Targets
Alignment Targets are the way to compensate for rotating machinery positional change. After
startup, machines grow warmer or colder, undergo thermal gradients, and may suffer dynamic
load shifts.

This may cause their shaft centerlines to move from the position they were in when stopped.
Therefore, a good shaft alignment done when cold and stopped may result in a poor alignment when
the machines are running and under load! Do you need to know if this is happening
to your machines?

Your objective is to find out if your machines move between the stopped condition and the running
condition, in order to establish good alignment targets. The machines can then be misaligned to these
alignment targets when ‘cold’ and stopped to compensate for the measured change.

There are a few ways for determining positional change. They are:

Calculating the changes theoretically from the observed changes in temperature using the
“TLC” method.

Hot Alignment Checks: Checking the difference in the results from two separate rotational readings on
the shafts, both taken stopped, one “cold”, and one right after shutdown “hot”. This is the so-called
“Hot Alignment Check”.

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Measuring Machine Movement Method measures the change with two separate rotational readings
with special brackets mounted on the bearing housings, one taken hot and running, one taken cold and
stopped, using Specialty Brackets.

Monitoring Positional Change with Lasers monitors the change continuously with Lasers.

Calculating using the T x L x C method

The “TLC” method only looks at the theoretical projected growth from changes in temperature.
TLC = T × L × C, where:
T = D in Temperature, L = Length, C = Coefficient of Expansion
NOTE:
 Positional shifts due to dynamic load are not considered.
 Cooling influences of fans, and influences on machine shape of thermal gradients from process
flows are not considered.
 Unless specifically factored in, the expansion or contraction of connected piping will not be
considered.

Doing Hot Alignment Checks

Another way to gather this data is to perform a hot alignment check of the affected piece of
equipment. The procedure for this is relatively simple. The machine is aligned off line and the results of
the alignment are documented (horizontal angularity, horizontal offset, vertical angularity, and vertical
offset). The machine then is placed on line and allowed to reach normal operating conditions. At this
point, the machine is shut down and allowed to stop rotating.

The alignment system is remounted on the machine and the shaft alignment is re-measured and
documented. Now the machine may be aligned hot by re-shimming and repositioning the moveable
machine as quickly as possible. One drawback of this method is that the machine will begin to cool as
soon as it is shut down, adversely affecting the accuracy of the hot alignment check.

If the two sets of alignment readings were documented, a set of cold alignment targets can be
calculated. Alignment results (hot) alignment results (cold) represents the change in the alignment
condition of the machine from cold to hot. The alignment targets for this machine will be the opposite
of the changes in the alignment parameters.

While this is currently a widely used method of hot-aligning machines, it will measure only the
changes in the shaft alignment due solely to the changes in the machines temperatures. Discharge
pressure, shaft torque, multiple machines operating in parallel, electrical loading of a generator, etc.,
also can play a large role in the change in the alignment condition from off line to running. These
changes most often will be seen in the horizontal plane, but could affect the vertical alignment as well.

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 Yet another factor to consider is the location of the machine. If a machine is located indoors in a
controlled environment, the operating characteristics should be relatively constant throughout the year.
A machine that operates outdoors and is exposed to large changes in temperature also could exhibit
extreme changes in its shaft alignment as the temperature changes (as in the change of seasons).

The Measuring Machine Movement Method

 Mount the brackets on the bearing housings of the machines.
 Take a rotational reading when machines are cold and stopped.
 Take another while they are running under load.
 Compare the results. Any difference means positional change may have taken place.
 Specialty brackets can be used with Laser Shaft Alignment Systems

Monitoring Positional Change with Lasers

We monitor with lasers for quality assurance of data, completeness of data, trending of data over
time and full documentation capability.

The Permalign system offers continuous monitoring of machine train positional displacement (e.g.
external pipe forces) and comprehensive monitoring analysis. Typical applications are thermal growth,
foundation settlement and piping strain and overload.

A lasers unique features offer concentric reflected beam technology that is impervious to any
influence on beam movement from heat waves or particles in the path of the beam. Its components are
thermally stable. They will not distort with temperature changes, so the beam will not be moved. The
laser transducer and prism are specifically designed to withstand heat and vibration over time. Permits
you to establish precisely which machine is moving, how much and which way. In the event any bracket
movement occurs, you can determine this from the data collected and trended with Windows® software
and correct for it.

Rotalign Ultra “Live Trend” – Real Time measurement of a machine positional change. The results are
monitored “Live”. The results can be shown on a graph – plot.

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 Alternatives to Traditional Oil Testing Using SEM/EDX
By Susan Benes, Product Marketing Manager ASPEX, an FEI Company

Have you spoken to any of your colleagues lately about their oil testing program? A typical response
you may get is “Yes I do oil testing, but I don’t know how to read the results” or “I am not really sure I
am doing the right testing.” Do these responses sound familiar? It is very likely that they do given the
variety of different testing protocols available, along with the possible combinations of testing that are
recommended by oil testing laboratories. Many of the methodologies existing today for oil testing
provide only one key parameter of diagnostic information such as particle size or chemical composition.
Often one parameter can give clues to what is occurring in an engine or motor, but more often than not
it is inconclusive. To deal with the limited knowledge provided by each test, often labs recommend a
battery of tests to provide a more comprehensive diagnosis. This almost certainly leads to confusion as
to how to interpret the data or even which method to request and how often. What if a complete
diagnosis could be obtained with one test? Better yet, what if this test could be performed by in-house
maintenance technicians and not require an off- site lab with skilled chemists?

In the following discussion we will take a look at current oil testing methods and discuss the advantages
and disadvantages. In addition we will introduce a new way of evaluating wear debris by scanning
electron microscope (SEM) with energy dispersive x-ray (EDX). Finally, a comparison of existing oil
testing method results along with SEM/EDX results will be presented to demonstrate the knowledge
that can be gained by using SEM/EDX.

Review of Current Oil Testing Methods

Testing that is typically recommended by an oil testing laboratory can include numerous physical and
chemical test methods. Often routine oil testing includes atomic emission spectroscopy which could be
inductively coupled argon plasma (ICAP or ICP) or rotating disk electrode (RDE). In addition, testing could
include analytical ferrography or particle counting. Each of these methods serves a critical function in
overall diagnosis of engine wear and can provide a small piece towards solving the entire puzzle that is
wear debris interpretation.

Particle Counters

Let’s first take a look at particle counting methods which can provide a wealth of information on particle
size and shape to your oil testing program. The most common method of particle counting is an optical
method performed either manually (via microscope) or automated. Automated particle counters are
typically of two types, either a white light source or the most common, laser. In the white light source
particle counter a voltage drop is directly proportional to the size of the shadow of the particle thus
reporting particle size. In a laser particle counter this same voltage drop is detected however, with
minimal light scattering from the finely focused laser beam the laser particle counter is slightly more
accurate and sensitive than white light particle counters. Particle counters do have limitations and
unfortunately most assume the particles are perfectly round. Wear debris is rarely perfectly round so

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the assumption has to be managed. As a result, particle counter manufacturers deal with this limitation
differently (via various algorithms or calculations) and report out an equivalent diameter. As a result,
comparing particle size reported across different manufacturers is sometimes difficult or even
inconclusive. In addition, particle counters can experience false positives which are typically a result of
air entrapment or water in the oil3.

Pore blockage is an alternative to particle counters for estimating particle size and shape. There are two
main types of pore blockage instruments that determine particle size based on measuring a change in
either flow decay or differential pressure while holding the other parameter constant. Both methods use
a software algorithm to estimate the particle size in order to report a gradient of particles across a
corresponding ISO standard.

Atomic Emission Spectroscopy

Atomic Emission Spectroscopy (AES) is used to measure the concentrations of typical wear metals like
iron, lead and copper. AES works on the basic principle of quantum physics where by atoms, in an
excited state rapidly loose the energy they have gained by emitting light in the form of energy. This
energy is inversely proportional to the wavelength, so by measuring the amount of light emitted at each
different wavelength (determined by individual atoms), the concentration of each unique atom can be
determined. AES is typically performed using two methods: inductively coupled argon plasma (ICP) or
rotating disk electrode (RDE). In ICP, the excitation state of the atom is created via a high temperature
argon plasma torch which vaporizes the sample, excites and emits light or energy from the atoms. In
RDE, the source creating the higher excitation state uses a high voltage discharge between an electrode
and a rotating carbon disc.

A required consideration with AES technology is that specific particle sizes may not be detectable by
AES, which could lead to incomplete results. For both RDE and ICP the particles must be of the size that
the technology can vaporize completely. If vaporization does not occur, then the concentrations will not
be reported out as part of the overall concentration of the sample. For instance in ICP, no particle larger
than 3 microns will be vaporized by the torch and thus be reported4. For RDE technology, no particle
larger than 8 to 10 microns will be vaporized by the electrode and carbon disc discharge and therefore
not included in the overall reported concentration of metals for that sample4. As a result, comparing the
two methods side by side often yield inconsistent results due to the different particle sizes detected.
When interpreting results from either of these methods, consideration has to be given to the fact that
the methods will miss the chemical composition of larger particles, which often can be the most
detrimental to engines or gearboxes. In addition, AES methods provide “bulk” type analyses, reporting
an overall concentration in the sample but nothing about chemical composition of individual particles.

Ferrography

Ferrography is a technique that takes advantage of the magnetic nature of wear debris particles.
Developed in the mid 1970’s as a predictive maintenance technique, it was initially used to magnetically
precipitate ferrous wear particles from lubricating oils. Today there are two kinds of ferrography
instruments on the market including a direct reading ferrograph and analytical ferrography that uses a
ferrogram slide which is read via an optical microscope (ferroscope).

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Direct reading ferrography [DRF] separates magnetic particles at roughly 5 microns, theoretically
dividing small, benign ferrous particles from large, fatigue-oriented ferrous particles. The DR Ferrograph
provides for analysis of a fluid sample by precipitating particles onto the bottom of a glass tube that is
subjected to a strong magnetic field. This technique can be useful as a screening device for its more
sophisticated sister test – analytical ferrography.

Ferrographic analyses is a two stage process by which the solid debris suspended in oil is separated and
deposited based on chemical makeup onto a glass slide supported over a magnetic field. The varying
strength of the magnetic field causes magnetic (most notably, ferrous) wear debris to precipitate in a
distribution with respect to size and mass over the "ferrogram". Once rinsed and fixed to the substrate,
this ferrogram slide serves as an excellent media for optical analysis of the composite wear particulates
yielding morphology and composition of the particles. While ferrography primarily indicates wear
resulting from iron particles, some copper tin and lead particles may be seen.

Ferrography is truly a science and takes a great amount of skill to interpret the slides and resulting
particle wear. Because the testing is subject to interpretation, results can vary with different analysts
even within the same laboratory. Fibers can cause errors, especially in the direct reading instruments.

SEM/EDX – The Oil Testing Alternative

Confusion often does occur from knowing all of the different methodologies available for wear debris
testing and deciding which method(s) are best for your individual program. What if all the battery of
tests that is typically associated with wear debris analyses could be combined into one analysis?
Historically, SEMs have been known as manual imaging instruments, which require qualified users in
specialized environments. Recent advances in SEM technology have provided more compact, easy to
use instruments applicable to a more industrial setting. The SEM when combined with an EDX detector
has the ability to perform quick quantitative compositional measurements. An SEM can not only
measure and record the size and shape of a wear debris particle; it can also determine the elemental
makeup of the particle, thereby combining the physical and chemical worlds of wear analysis, into one.

An automated SEM/EDX wear debris analysis system uses a single hardware control configuration for
both the SEM and EDX components, making it more compact and robust for industrial wear debris
applications. Simplifying the system even further, the instrument is set up to operate via preprogramed
recipes that allow the user to walk-up to the system load the samples, initiate the run and walk away
only to come back later to sample reports. All
calibration and instrument operation is automated
and does not require the user to manage or even
monitor (see Figure 1).

Utilizing back-scattered electrons (BSE) on an SEM

enables the system to take advantage of the strong
correlation of the average atomic number of the
particles and the BSE signals. Hydrocarbons and

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other particle types with a low average atomic number tend to backscatter fewer electrons than
metallic particles and other particle types with a high average atomic number. Thus in a BSED image,
metallic particles look bright while organics look dark.

One of the main differences between SEM/EDX and traditional methods is in its sample preparation.
Figure 2 illustrates the sample preparation and analysis expectations of the SEM. Ultimately, a small
portion of the oil sample is needed to
prepare a representative sample on a
filter membrane. Once loaded into the
system, instead of capturing a high
resolution image of the frame, these
analyzers move the beam across the full
field through a sequential array of fairly
coarse steps – constantly searching for a
particle of interest and moving to the
next field. A particle is detected when
the contrast intensity level of the particle
exceeds the predefined threshold
background set for each analysis activity.
This particle-sizing sequence initiates a
“rotating 16 chord” algorithm to measure
the particle’s morphological
characteristics. At a 2048 pixel resolution, a
series of chords are drawn across the diameter and through the center of the particle at equal angular
spacing’s. Particle size and shape measurements are then derived from these chords. All variables are
then collected for each unique particle in sequence across the filter. After the particle is detected and

measured, an energy dispersive X-ray spectrum is acquired at the center, perimeter, or along each chord
for every particle detection event. Figure 3 illustrates the dynamic scan and rotating 16 chord algorithm
during the particle measurement and EDX elemental X-ray collection phase. Once the particle is
characterized (size, shape and elemental composition) user-defined rules place them into a “class.” For

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instance, if the user is interested in only high iron samples, a rule can be put in place to classify all
particles with high iron content. Those particles will be then grouped and reported out in the assigned
“class”. If needed, the particles can be relocated and further examined by the operator. The system
provides a customizable reporting tool and automatically generates reports of the analyses. In addition,
a database stores all results of analyses for monitoring long term trends with engine or gearbox wear.

Comparison of Traditional Methods with SEM/EDX Results

Table 1 presents a side by side comparison of the advantages/disadvantages of all of the analytical
methods discussed to this point. While each of the methods described above have their overall

Table 1: Comparison of Various Analytical Methods With SEM/EDX

Particle Analyzer

Coupled Argon

Rotating Disk
Ferrography

Plasma(ICP)
Inductively

SEM/EDX
(RDE)
Feature
Sample Preparation Requirements Yes Yes Yes No Yes
Particle Detection Range (microns) 0.04-2,500 >20 or <20 <3 <8-10 0.2 - 2000
Individual Particle Size and Shape Yes Limited No No Yes
Total Element Chemical Analyses Range No No 38 32 98
Particle Classification by Chemistry No Limited No No Yes
Particle Classification by Morphology and Chemistry Yes Limited No No Yes
Analyses Time (minutes) 5 3 5 3 10 to 30
Ease of Use (1 Easy, 5 Moderate, 10 Difficult) 5 10 5 5 1
Particle Histogram Size Distribution Yes No No No Yes
Automated Trending Yes No No No Yes
advantages, it become very clear that SEM/EDX can provide a user with a comprehensive analysis as
well as more knowledge base in dealing with wear debris. The beauty of the technology is that not only
does it provide size, shape and chemical composition of each and every particle in the sample; it also
allows the user to classify each of those particles based on their chemical composition. This allows
classification of the particles into various “rules or classes” that identify them. So the user can identify
instantaneously if particles are wear debris or just steel alloys, carbon, mineral salts or even fibers. This
makes diagnosing motor wear much easier because there is little to no interpretation needed of the
data. This can be seen even more clearly in a real world example.

In order to demonstrate the power of the knowledge gained from SEM/EDX when compared to other
technologies, real-world samples were collected and tested. Three unique motor oil samples obtained
from a local car dealership were submitted to a nationally known oil testing lab for analyses. For
comparison purposes several methods were chosen for third party testing including ICP, particle
counting via pore blockage and direct reading ferrography. Each sample was subsampled
representatively and also prepared for SEM testing at ASPEXs in-house laboratory in Delmont, PA.
Results from the third party laboratory were received and compiled for comparison to the SEM/EDX
results. It should be noted that the purpose of the data comparisons is to demonstrate the added value

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and benefit of SEM/EDX testing and not evaluate the data from the third party laboratory. The results of
the three samples are discussed below.

Particle Count Results

Table 2 presents the particle count data for both the SEM and pore blockage methods for three samples.
The pore blockage data from the third party laboratory was reported using the ISO 4406 reporting
standard. For all SEM data, the ISO 4406 reporting standard was maintained, but it was also decided to
report particles larger than 2um to provide an additional perspective on the data. In sample 1, the
particle count was fairly comparable between the SEM and pore blockage results. In the second and
Table 2: Comparison of SEM and Pore Blockage Date for Three Samples
Sample 1 Sample 2 Sample 3
4406
Pore Pore Pore
ISO BIN
SEM Blockage SEM Blockage SEM Blockage
>2um 9,226 16,180 3,198
>4um 4,254 5,513 5,898 10,096 912 4,018
>6um 2,228 2,144 2,674 3,926 404 1,562
>14um 296 163 112 299 66 119
>50um 12 7 4 13 0 5
>100um 8 0 0 0 0 0
Note: Data for all samples are normalized to 1ml
third samples, the sizes and counts of the actual particles varied. This could be attributed to sample
representativeness between the two samples that were divided for submission to the lab. While this
seems likely, it could be pointing to some of the differences in the testing methodologies and particle
sizing techniques themselves. As previously mentioned, pore blockage technology does not actually
count individual particles but rather estimate the particles based on either measuring the flow decay
across a membrane or rise in differential pressure. A total number of particles are calculated based on
the differences using a manufacturer determined algorithm. SEM on the other hand, detects, scans and
measures each particle individually, providing size analyses accurate to 0.5um.

In all three samples the largest discrepancies between the two technologies came in the smaller sized
particles. While the ISO standard requires that only particles larger than 4um are reported, the SEM data
could demonstrate the limitations of the pore blockage method as the particles sizes get smaller.
Coincidently, this same range of particle sizes (between 2-4um) would also represent the particles
reported by the ICP results (which we will discuss in the next section).

Chemical Composition Results

Table 3 presents the chemical composition data for all three samples in parts per million or ppm as
reported by the third-party laboratory. It should be noted due to the limitations of ICP, no particles
larger than 3-4 um would be detected in these results. Based on the table, you see in each of the three
samples the majority of the components are salts and minerals such as calcium, phosphorus and
sodium. There is a significant portion of zinc or molybdenum and boron which could be coming from
additives, coatings and possibly some bearing wear. All three samples also showed some iron and

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 Table 3: Metals Results in PPM per Sample via Third-Party Lab

Molybdenum
Phosphorus
Magnesium

Potassium
Chromium
Aluminum

Vanadium
Titanium

Calcium

Sodium
Copper

Barium
Silicon
Nickel

Boron
Silver
Lead

Zinc
Iron

Tin
Sample 1 5 1 0 2 2 0 0 0 0 0 10 97 1796 7 571 700 0 71 135 4
Sample 2 12 5 4 2 0 0 0 0 0 0 8 0 1562 8 643 787 1 3 375 0
Sample 3 14 37 0 3 2 0 0 0 0 0 6 159 1964 9 630 764 15 83 36 5

copper which would indicate motor wear, however metals like aluminum, tin, nickel and chromium
were all but absent.

The key difference with SEM/EDX data is that you not only get the individual particle size and shape, but
the actual particle chemistry for each and every particle detected. The particle chemistries can then be
classified into various “rule classes” which are established based on various metal chemistries. Tables 4
and 5 present the SEM/EDX results of each of the particle counts of all three samples classified by
standard wear debris chemical rule classes. These classes indicate both metallic (Table 4) and non-
metallic (Table 5) rules.

Table 4: Number of Particles Sorted by Rule Classification for Metallic Particles

Non Ferrous Metal

High Alloy Steel

Low Alloy Steel

Zn-Cr Coating

Mn-P Coating
Bronze CuSn

Zn-P Coating
Zn Coating
Cr Coating
16MnCr5

Cr-Ni-Mo

Al-Alloy

Zn Misc
Low Fe
100Cr6

Al2O3

Fe-Cu
Brass
Al-Zn

Steel
Cu

Sn
Cr

Ni
Sample 1 18 70 14 7 1 0 0 3 0 1 8 19 22 30 41 12 53 37 396 10 29 4 0 34
Sample 2 233 733 11 7 3 0 0 2 0 5 2 27 260 386 493 20 359 20 908 10 74 11 0 18
Sample 3 22 64 11 18 7 0 0 0 0 0 1 11 20 21 61 3 29 6 243 0 8 0 0 7

Table 5: Number of Particles Sorted by Rule Classification for Non-Metallic Particles

SiAlCa Mineral

Si-O/Si-C/Si-N
Mineral Fiber
SiAl Mineral

Lubricants

Misc Salts
Ca Misc
High Ca

Mineral

Misc

Sample 1 82 1078 86 84 1694 121 64 151 223 221

Sample 2 9 2707 4 204 354 214 12 975 11 18
Sample 3 24 633 5 41 233 51 7 50 10 13

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Table 6: Results for Sample 2 Showing Classification by Size and Rule Class

>=2 >=4 >=6 >=7 > = 10 > = 14 > = 50

Rule Class
100Cr6 233 466 224 120 72 22 0
16MnCr5 733 1466 766 376 238 86 12
Al2O3 0 0 0 0 0 0 0
Al-Alloy 0 0 0 0 0 0 0
Al-Zn 2 4 2 2 2 0 0
Brass 0 0 0 0 0 0 0
Bronze CuSn 5 10 6 2 2 0 0
Ca Misc 2707 5414 1790 718 316 80 12
Cr 11 22 16 10 6 0 0
Cr Coating 7 14 6 4 4 4 2
Cr-Ni-Mo 3 6 2 2 0 0 0
Cu 2 4 2 0 0 0 0
Fe-Cu 27 54 40 30 26 4 0
High Alloy Steel 260 520 204 82 34 12 2
High Ca 9 18 12 4 4 0 0
Low Alloy Steel 386 772 324 148 82 36 8
Low Fe 493 986 408 190 88 20 4
Lubricants 204 408 114 54 16 2 0
Mineral 354 708 236 122 70 34 20
Mineral Fiber 214 428 226 132 24 8 8
Misc 12 24 12 6 4 4 2
Misc Salts 975 1950 472 190 90 36 16
Mn-P Coating 0 0 0 0 0 0 0
Ni 11 22 2 0 0 0 0
Non Ferrous Metal 18 36 14 8 6 2 2
SiAl Mineral 4 8 6 6 4 0 0
SiAlCa Mineral 11 22 14 12 10 6 2
Si-O/Si-C/Si-N 18 36 26 20 18 8 4
Sn 20 40 8 4 0 0 0
Steel 359 718 388 200 128 40 12
Zn Coating 20 40 12 6 6 0 0
Zn Misc 908 1816 526 220 106 24 6
Zn-Cr Coating 10 20 4 0 0 0 0
Zn-P Coating 74 148 36 6 2 0 0

Table 6 is by far the most powerful form of data collected via SEM/EDX. It allows the user to have not
only particle size and shape of each and every particle, but a chemical classification for each of those
particles. This becomes an invaluable tool for diagnosing motor and engine wear because the user can
consider both the size and chemical composition of the particles to determine what possibly could be
happening inside the engine. For instance in Table 6, a rule for a stainless steel type material or 100Cr6
(first line in Table 6) would be any particle with its highest component as iron greater than 70%, along
with chromium >1 and less than or equal to 3, manganese less than 1%, zinc and chromium less than 5%

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and titanium less than 3%. This along with the second rule classification of 16MnCr5 are both indicators
of stainless steel and would suggest that there is some bearing wear going on especially if you look at
the larger particle sizes. Comparing these results to the ICP data, chromium was not detected in any of
the samples including sample 2. Taking a look at sample 2’s larger particles detected, one can see that
there are various steel (low and high alloy) and stainless steel components (16MnCr5) present at particle
sizes larger than 50um. Wear debris of this size could be indicative of again some significant engine wear
occurring. Taking a look at the smaller size particles in sample 2, one can see not only the stainless
particles, but to a lesser extent a significant amount of tin, nickel and chromium particles which could be
indicative of slight engine wear. These metals were not detected at all in the ICP data for sample 2.

Ferrography

Direct reading ferrography was also performed by the third-party laboratory for each of the three
samples. All three samples were reported as having either light wear (samples 1 and 3) or moderate
(sample 2) wear. No significant or abnormal particles were reported for any of the samples. Ferrous
particles were reported to be between 5-15 microns in size for each of the three samples. Comparing
this to the SEM/EDX data, there are numerous ferrous particles in each of the samples, some as large as
50um in sample 2 (Table 6).

Conclusions

For years, wear debris and oil testing have been performed using the traditional methods such as
ferrography and particle counters in conjunction with ICP or RDE. Information gained from these
technologies has been helpful in diagnosing engine or gearbox wear, however users still struggle with
knowing how to interpret data from the laboratory. An alternative to traditional oil testing is SEM/EDX
which has become so robust that it can now be used by a person with minimal training or a limited
scientific background. SEM/EDX can take the place of two or even three traditional oil testing methods
by allowing the user to report both particle and chemical composition data. The data can then be
segmented based on user defined classes and clear classifications of wear debris particles can be studied
for immediate feedback on gear box or engine conditions. SEM/EDX can also complement your current
oil testing program by providing more intuitive data to diagnose a suspected issue when more
traditional testing raises warning signs, but is not conclusive

Regardless of your testing program, it is important to keep in mind that establishing historical baselines
and running consistent testing protocols will provide historical wear profiles that can provide timely
indicators of the changes in the status and rate of wear.

References

1) Understanding Lubrication Analysis, Jack Poley; Tribology and Lubrication Technology; May
2004.
2) Analytical Ferrography – Make it Work for You, Michael Barrett and Matt McMahon, Insight
Services; Machinery Lubrication.
3) Basic Guide to Particle Counters and Particle Counting, Particle Measuring Systems; 2011.
4) Elemental Analyses, Noria Corporation; 2002.

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 Building the Business Case for Maintenance Planners
Andrew Gager CMRP, CPIM, Principal Consultant
Life Cycle Engineering

Abstract
A good maintenance planner can have a significant impact on the bottom line, yet many companies
don’t pay adequate attention to this role. With 18 percent of a typical maintenance technician’s day
spent looking for parts and 24 to 26 percent walking to and from the job site, almost 50 percent of each
day can be wasted doing non‐value added activity. This paper will address the financial impact of
maintenance planning on an organization and will provide a clear understanding of how to improve this
function and yield better results.

Introduction
The term “world‐class” is thrown around like Scotch Tape, Xerox, and Kleenex. It has lost its true
meaning. Many believe that world‐class is being the best in what you do and how you do it. When I
visited different organizations around the world I used to explain that world‐class meant being in the top
quartile in your industry but it’s more than that now, I believe. I have discovered working in so many
different industries that the best of the best exhibit common fundamental attributes that separate them
from the pack regardless of industry and therefore positioning themselves as true world‐class
organizations. There are eight characteristics that I’ve identified:

 Commitment to safety
 Robust and well‐defined training program
 TPM/Operator Care/Autonomous Care program
 Daily cross‐functional department meetings
 Root Cause Analysis (RCA) as a team effort
 Well‐defined defect elimination process
 Consistent supply chain that incorporates life cycle costing
 Time

Time being the subject of this paper, it amazes me that organizations have time to do things over
but never enough time to do it right the first time. There are many factors that contribute to this but
maintenance planning plays a large role.

What Separates the Best from the Rest?

When it comes to separating typical maintenance practices from those that are considered world‐
class, there are certain areas that the best organizations excel in. The ability to plan and schedule work
that achieves the minimum impact on production or operations is a key factor. The best performing
companies migrate to proactive maintenance activities to realize greater than 65 percent preventive

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maintenance and predictive technology utilization. They establish and consistently achieve a better than
90 percent compliance record.

80 percent or higher in pre‐planned work and exceeding 85 percent overall schedule compliance is
yet another indication of proactive maintenance. For every hour of effective planning, the typical return
is three hours in maintenance activity reduced or an equivalent avoidance in materials and lost
production downtime. Planning has the most profound effect on timely and effective execution of
maintenance work and resources. A solid maintenance planner has direct impact on these numbers.

What Makes a Good Planner?

There are certain common qualities among the best maintenance planners. Experience is a must.
Typically planners are promoted within the trades to a planning position. They have key skills that will
aid them in developing job plans. I would hope it would be intuitive that they read prints as well.
Planners must have the capability to become “super users” of their respective Computer Maintenance
Management System (CMMS). They need to be very comfortable navigating around the system and be
just as comfortable with spreadsheets and word documents. Working well with co‐workers is a must.
I’ve witnessed some very good planners who were not respected because but they didn’t work well with
others. They were reduced to being good clerks. I have never met what I would consider an excellent
planner who wasn’t self‐motivated. Supervisors or managers should never have to ask a planner what
they’re working on. These individuals tend to be the “Get Her Done!” type.

What Do the Numbers Tell Us?

Organizations are in business to make money. There are very few individuals who have any direct
impact on the selling price of their products in the open market. That pricing is determined by supply
and demand. That’s Economics 101. Yet every individual contributes to the cost of producing that
product. That’s called Cost of Goods Sold (COGS). So all things remaining the same, if we reduce the cost
of producing our product in theory, our margins or profits increase.
How can a maintenance planner possibly have an impact on the profit or margin of a company? The
simple answer is to plan maintenance activities. My definition of maintenance activity is defined as the
following:
Successful execution of a planned work order in the safest manner, in the shortest period of
time, that is least disruptive to Operations, at optimal cost.

Here are some things to think about:

 The average maintenance operation experiences 30 to 33 percent waste in their budget

because of poor maintenance practices
 18 percent of the typical maintenance technician’s day is looking for tools or parts
 24 to 26 percent is spent walking to and from the job site
 63 percent of maintenance activity is self‐induced
 Reactive maintenance is three to four times more expensive than planned activity

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 A good maintenance planner will have well‐written job plans with correct sequencing of tasks along
with materials, tools, and safety or other special considerations included in work packs. It is not
uncommon for maintenance organizations to be functioning at less than 20 percent utilization or
“wrench‐time”. As stated before, for every hour of effective planning, the typical return is three hours in
maintenance activity reduced or an equivalent avoidance in materials and lost production downtime.
These costs are directly associated with the cost of producing the product or service. If we can increase
the utilization or wrench‐time of our maintenance group to restore, rebuild and maintain the assets
producing those products and our unscheduled breakdowns decrease then our margins increase
correspondently.

Planned and scheduled work has shown expediential improvements in safety, uncovering hidden
capacity, and costs. Look at the following case study assumptions:
 22 technicians averaging $42.24/hour
 Overtime averages 18 percent with four percent absenteeism and tardiness
 Each person averages three weeks of vacation and five days of sick leave
 Work week is eight hours x five days
 No maintenance planner on staff
 Total available capacity: 45,760 man‐hours
We need to take the vacation and sick leave out of our maximum capacity – 3520 hours. We also
need to include the average absenteeism – 1830 hours. Our available hours are now 40,410 (12% less
than capacity). These are considered uncontrollable loses.

Based on observations, the following are averages for each individual in a typical eight‐hour shift.
These are considered controllable losses (Figure 1).

Controllable Losses (Average Time (Minutes) per Shift))

Personal time 30 2,526
Non-Authorized Breaks 90 7,577
Planning and Instructing 90 7,577
Looking/Waiting for Tools and Materials 60 5,051
Transporting (Personel, materials, tools) 0 0
Crafts Travel Time 45 3,788
Waiting (Instructions, Other Crafts, Supervisor, etc.) 30 2,526
Operational Support 15 1,263
Total Controllable Losses 30,307
Total Losses 35,658

Craft Utilization (Net Available Hours) (WC >65%) 25.00%

Actual Direct (As % of Total Craft-Hours (Payroll) 18.69%

Actual Direct Craft-Hours (Less Total Losses) 10,102

Average Craft Hourly Cost (Actual) $285

Figure 1. Controllable Losses.

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 As you can see, out of the 45,760 available hours only 10,102 are actual direct hours. Notice the
average hourly cost of our technicians now. Average hourly rate is $42.25 but the actual cost to turn
wrenches is $285 per hour. That falls directly to the bottom line. This comes straight from the COGS line
and decreases the opportunity to improve margins or profits.

There are two activities that have the potential to increase wrench‐time by 50 percent: plan
maintenance work and kit planned maintenance work. Let’s look at the numbers after we’ve
implemented planning and kitting into the process (Figure 2). The maintenance techs no longer have to
plan their own jobs (which brings consistency) and they no longer have to spend time looking for parts
or tools because they now are kitted and ready for the planned job.

Controllable Losses (Average Time (Minutes) per Shift))

Personal time 30 2,526
Non-Authorized Breaks 90 7,577
Planning and Instructing 0 0
Looking/Waiting for Tools and Materials 0 0
Transporting (Personel, materials, tools) 0 0
Crafts Travel Time 45 3,788
Waiting (Instructions, Other Crafts, Supervisor, etc.) 30 2,526
Operational Support 15 1,263
Total Controllable Losses 17,679
Total Losses 23,030

Craft Utilization (Net Available Hours) (WC >65%) 56.25%

Actual Direct (As % of Total Craft-Hours (Payroll) 42.05%

Actual Direct Craft-Hours (Less Total Losses) 22,730

Average Craft Hourly Cost (Actual) $127

Figure 2. Controllable Losses after Planning and Kitting.

The results are staggering. Not only did we increase direct labor by 50 percent, we actually improved
it by greater than 100 percent. The average hourly costs were reduced by a whopping 200 percent.
That’s the impact that a maintenance planner can have on an organization.

Summary
The case study exhibited is an actual organization that made the leap of faith to create a position to
plan all maintenance activity. The organization also introduced the kitting process. This resulted in a
significant improvement in both the efficiency and effectiveness of maintenance activities. Furthermore,
there was a direct improvement to the bottom line and a reduction in production cost.

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 I consider a good maintenance planner someone who is self‐motivated and respected; someone
who has the experience and works extremely well with his co‐workers. I also strongly recommend that a
good planner spends 50 percent of their day on the floor. This time is spent scoping jobs, estimating,
gathering information, tools and materials, addressing safety concerns and determining outsourcing or
subcontracting needs. They must talk to the operators and lead technicians to help them develop the
best possible job plan. A professional maintenance planner is not a clerk. They are an integral part of any
world‐class organization and are treated as such. For more information, please contact: Andy Gager at
[email protected].

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Case Studies in Contamination
Control at Mine Sites

Dr. Christian Bauer, Pall Corporation

209
 Contents

• Philosophy of contamination control in mining

– Critical points in process
– Toolbox
• High performance filtration
• Periodic cleanliness monitoring and trending
• Examples
– Dragline gearbox
– Hydraulic shovel
– Point-of-use fuel
• Summary
210
 Surface Mining Process

removal of pit / shelf hauling, crushing, processing

overburden excavation loading milling
on-board fuel
drilling,
blasting on-board hydraulic & lube

• Fuels, lubricants and hydraulic fluids – the "lifeblood" of mining

processes
– Contamination can cause serious "circulatory problems"
• Surface degradation
– Mechanical wear
– Corrosion
• Fluid degradation
– Oxidation, hydrolysis, polymerization
– Additive precipitation
– Productivity and reliability are directly related to fluid cleanliness
• Properly selected filtration / separation technology is critical
211
 Contamination Control in Mining

• Contamination in hydraulic fluids, lubricants and fuel

– Dust and dirt from the environment
– Internally generated contamination:
• Wear debris from normal or abnormal wear of system components
(pumps, bearings, valves, seals, etc.)
• Fluid degradation products
(e.g. precipitated additives due to water ingression)
– Will lead to accelerated wear of system components, e.g.
• Control valves (stiction) – hydraulic systems
• Bearings (fatigue wear) – lubrication systems
• Gears (fatigue wear) – lubrication systems
• Pumps (abrasive wear) – hydraulic and lubrication systems
• Fuel injector nozzles (abrasive wear) – fuel injection systems
– Controlling contamination is critical to a mine site’s reliability and
productivity
212
 Cleanliness Requirements for
Surface Mining Applications

• Clearances/tolerances of critical machine components

determine cleanliness requirements
– Fuel supply chain / On-board fuel injection system
• Critical components: Fuel injectors (nozzles, plungers)
– OEM requirement: 18/16/13 ISO 4406 cleanliness code for EUI
< 12/9/6 ISO 4406 cleanliness code for HPCR
– On-board hydraulic & lube systems
• Critical components: Hydraulic cylinders
Directional valves
Gear/piston pumps

213
 High Performance Filter Element Construction

• In-to-out flow path

– Reduced chance of cross-contamination during change-out
• Advanced technology filtration medium pack
– High filtration efficiency
– Long service life
– Reliable, consistent performance
– Low energy requirement
– Resistance to severe operating conditions
• Coreless / cageless design
– Lighter, environmentally friendly filter element
– Reduced disposal costs
214
 Periodic Fluid Cleanliness Monitoring and Trending

• Essential part of Predictive Maintenance practices

– Allows operators to measure and track fluid system “health”
• Specify requirements as dictated by fluid system components
– What is the critical component?
– How clean is clean enough?
• Establish and define “normal”
– Deviations from “normal” indicative of changes
– Ability to take proactive steps to avoid unscheduled down time and
costs associated with parts repair/replacement
• Requires sampling and sample analyses
– Bottle samples and laboratory analyses
• ISO 4406 cleanliness code
• Contamination type and morphology
– On-line measurement of fluid cleanliness levels
215
 Laboratory Fluid Analyses and Reporting

• Microscopy
– Contamination type and
morphology
• ISO 4406 Cleanliness Code
• Water content
– Karl Fischer
– % Saturation
• Viscosity
• Conductivity
• Total Acid Number
• Chemical elemental
composition
216
 Fluid Sampling Methods
Comparison of on-line counting and off-line counting
4 µm(c)
Off-line counting Source: Tampere University of Technology, Finland

6 µm(c)
ISO Code

14 µm(c)

4 11 18 Theoretical

ISO Code – On-line counting

• At higher contamination levels (higher ISO codes) there is little difference
between the two methods
• As the fluid gets cleaner, the difference between the two methods increases
dramatically
217
 Automatic Particle Counters
Laser Light Beam

Flow

Flow

Blocked Light Photo Detector

Method Units Operation Benefits Limitations

Automatic Number Off-line; Sensitive to silt,
Particle per mL; Fast and fluid opacity,
Count Cleanliness On-line Repeatable water, air, additives
code and emulsions

218
 Mesh Blockage Devices
Calibrated mesh filter (X µm)
Flow

Flow
ΔP

Method Units Operation Benefits Limitations

Not affected by
Mesh Cleanliness Off-line, fluid opacity, free Only two particle
Blockage Code On-line water or air in size ranges
fluid sample

219
 Case Study: Mining Dragline Gearboxes

• Multiple (30+) reduction gearboxes for manipulation and propulsion

mechanisms
• Challenges for gear lubrication
– High load
– High stress
• Variable speed
• Reverse motion
– Extreme climate
– High contamination ingression
• Gear lubricants
– High viscosity (680 to more than 1,000 cSt)
– Typically formulated with extreme-pressure additive packages
• Anti-wear
• Anti-foam
• Rust inhibition
• Anti-oxidative
220
 Dragline Gearboxes – Contamination Challenge

• Lubricant change-out / top-off common practice to control

cleanliness levels
– ISO 4406 Cleanliness Codes exceeding --/21/18 not unusual
– Often, fluid is too contaminated to be evaluated
– Typically, no filtration installed
• Primarily particulate contamination
– Environmentally ingressed
– Internally generated
• Effects of contamination:
– Component wear
• Gears
• Bearings
– Scheduled gearbox overhauls every five years Typical contamination
from a dragline reduction
• Cost in excess of $500,000
gearbox without filtration
• Up to four days downtime
221
 Draglines Gearboxes – Installed Filtration Skid

• Filter elements rated β ≥ 1,000 at 12 µm(c)

– Installed in a kidney-loop arrangement on gearbox
• Sized to achieve one turnover every thirty minutes
• Data collection and monitoring
– Fluid sampling upstream of filter assembly over a period of seven months
– Documentation of ISO 4406 Cleanliness Code

Filtration skid installed on swing gearbox

222
 Dragline Gearbox Filtration – Cleanliness Data

• On average, four filter elements were necessary to achieve

initial clean-up, over a period of two months.
• After stabilization, filter element service life observed to
average longer than three months.
223
 Hydraulic Shovels Return Line Filtration

• Hydraulic Systems on Hydraulic Shovels

– Implement (Manipulation)
– Swing
– Travel
• ISO VG 46 hydraulic fluid
• Typically installed filtration rated at
10 µm nominal
– Change-out per maintenance intervals
• Typically observed fluid cleanliness levels
per ISO 4406: 21/18/16

224
 Hydraulic Filter Upgrade

• Upgraded original filter elements with high-efficiency,

stress-resistant filter elements
– 7 x 12 µm(c) rated filter elements
• Filter element by-pass setting 22 psid
– 40% lower clean differential pressure
– More filtration area
– But: Twice the price (per filter element)

225
 Filter Upgrade (cont'd)

• Serviced filter elements (500 hrs) still had more than

50% residual service life
– Determined in accordance with ISO 16889 (multi-pass test)
– Allowed extension of change-out to 1000 hrs
• Annual cost benefit to operator: > $4,700
– Reduced operational costs by $4,500
• Due to lower clean differential pressure and fewer change-outs
– Reduced disposal costs by $200
– Cost savings for fewer maintenance man hours not included
• Improved fluid ISO code from 21/18/16 to 15/13/10
226
Mining Fuel Supply Chain

227
 Australian Iron Ore Mine – Application Description

• Surface mine Diesel fuel "point-of-use" filling station

– Incoming fuel cleanliness typically ISO 4406: 19/17/11
– Target fuel cleanliness at dispensing nozzle ISO 4406:
16/14/11
filter assembly
used for testing

Point-of-Use (POU) filling station

40" filter housings circled in red
228
 Australian Iron Ore Mine – Results
• 40" pleated filter elements with glass fiber filtration media
– Filtration grade 5 µm(c)
– Single-pass filtration
– Flow rate up to 300 L/min (80 gpm)
– Field service life: 1 month

Sampling location ISO 4406 Cleanliness Code

Upstream POU
19/17/11
filter assembly
Downstream POU filter assembly 13/7/1

Target cleanliness level: 16/14/11

229
 Summary

• Contamination control is essential to reliability and

profitability of mining operations
• Cleanliness requirements are dictated by the most sensitive
component in the process
• Properly selected filtration is instrumental for achieving
required levels of fluid system cleanliness
• Periodic condition monitoring and trending needed for
predictive maintenance

• It works!
230
Questions

231
Case Study: DuPont Louisville
Refrigeration Machine Failure

232
 Speaker Introduction

• Brian Blyth – Reliability Engineer at DuPont Louisville

• B.S. Mechanical Engineering – Purdue University West Lafayette, IN

• API 510 Certification - 2010

• Machinery Lubrication Analyst (MLA) Level 1 Certification – 2011

• Vibration Analysis I (ISO Category II) from Technical Associates of Charlotte

• DuPont Six Sigma Green Belt

233
 Introduction

• January 2012 one of 4 refrigeration systems at the DuPont Louisville site is shut down
from a high vibration alarm.

• Through troubleshooting the issue was discovered to be a journal bearing in the gearbox.

• RFCA led to several improvements for failed refrigeration machine, these improvements
were leveraged across the site.

• Shortened FMEA+ process was used post failure in proactive maintenance effort.

• Failure exposed dated predictive maintenance program, information had become obsolete
and incorrect practices in use.

234
Diagram of 27 Refrigeration Machine

Water Water Brine Brine

Supply Return Supply Return

27a C V 1

Hot Gas Brine Cooler

Condenser Evaporator

27b C V 2

235
27 Machine - Photos

236
27 Machine - Photos

237
27 Machine - Photos

238
27 Machine - Photos

239
 27 Machine Specifics

Motor: Baldor Reliance 2500 hp, 3570 RPM

Gearbox: Nuttall Speed Increaser, SU 1023-8H, Gear Box Ratio 1.698:1, Output speed of
6062

Compressor: York M526A, 4 stage centrifugal compressor

Suction Pressure and Temperature : 2 – 4 psig, -18 to -24 °C

Discharge Pressure and Temperature : 110-120 psig, 140-150 °F

240
Lubrication System Diagram – Gearbox and Electric Motor

Shaft
Driven Oil
Pump

Electric Motor

Gearbox

Aux Oil
Pump

241
Lubrication System Diagram – 27 Machine Compressor

242
 Vibration Probes

Monitoring Point Alarm Setting Shutdown Setting

Compressor Axial Thrust Forward 5 mil 10 mil
Compressor Axial Thrust Reverse 17 mil 22 mil
Compressor Discharge Bearing (x/y) 1.5 mil 1.8 mil
Compressor Suction Bearing (x/y) 1.5 mil 1.8 mil
Gearbox Low Speed Pump End (x/y) 3.5 mil 5 mil
Gearbox Low Speed Motor Shaftend (x/y) 3.5 mil 5 mil
Gearbox High Speed Motor Shaftend (x/y) 2.5 mil 5 mil
Gearbox High Speed Comp End (x/y) 2.5 mil 5 mil

243
 Discovering the failure…

- In January 2012 the Low Speed Gearbox Motor was operating in alarm and in two
instances the system shut down.

- Operation alerted engineering to the issue, additional vibration analysis using portable
accelerometer was conducted. Visually, it is obvious the equipment vibration had
increased.

- The equipment was not configured correctly in our vibration database. Parameters for
equipment were not in existence, so it was difficult to pin point the issue.

- A re-alignment of the motor to gearbox was completed and the vibration did not improve.

244
Independent Vibration Analysis Results

245
 It’s been how long….?

- A contractor was called in to assess the condition of our Bentley Nevada vibration
monitoring system. Issues were discovered.

-System had not been PM’d in over 13 years (Vendor suggestion was to PM annually
for critical equipment).

-Alarm points had drifted.

-Physical connections were loose in cabinet.

-Contractor identified gap voltage issue on bearing that was giving alarm.

246
 Shutdown of Machine and Resulting Carnage

- Decision was made to turn down production rates so a physical inspection of the gearbox
could be performed.

- The top half of the gearbox was removed…

247
Shutdown of Machine and Resulting Damage

248
Shutdown of Machine and Resulting Damage

249
Shutdown of Machine and Resulting Damage

250
 RCFA

- Multi disciplinary team was established consisting of Brian Blyth (Reliability Engineer),
Refrigeration Contract Operator, Rotating Equipment Expert, Area Engineer.

- Used the “Why Tree” format for the RCFA, starting on the topline with physical evidence
then asking “why” or “how” could the evidence be produced?

- Process drove down to a root systemic, human and physical causes for incident.

251
RCFA – Top Event and Physical Evidence

- False reading has an “x” because the vendor came and verified the vibration
probes were functioning properly in this instance.

252
 RCFA – Continuation of “Why Tree”

Vibration
increased

Bearing
Misalignment Oil is
X
of motor / X
contaminated /
damage due
to lack of
gearbox shaft low viscosity
lubrication

Attempted Not likely, oil

alignment did has been Aux pump not
Main Lube Oil
not reduce changed running when
Pump not
vibration levels. yearly.. lubrication is
supplying oil.
needed.

Reverse
Failure of Aux pump fails Hand switch for
X
pump / X
Level in sump
X
Back pressure rotation of Low oil Cold oil trips motor was
coupling.
insufficient valve failure. compressor
system
X
pressure Aux pump on
to run when
motor is turned turned off
switch fails. high amperage. prematurely or
off.
left in wrong
Lufikin position.
Sightglass Human - Disc System - Gap
inspected main New back Pressure
showed harge valve voltage Physical - Discharge Install heater in
pump and pressure valve switch was This is a
appropriate oil between two measurement check valve failure sump
found no installed. function tested hypothesis
level. compressor / alarm not in with A side running. (complete) Systemic - Validation
issues. and worked.
was not closed. place of correct operation of
main and aux oil pump.

Systemic - No
PM or check
of valve
functionality

253
 Evidence Supporting RCFA Findings

- In March 2011, contract operator remembered an unexpected shutdown of the “B”

refrigeration machine while “A” side was still in operation. Failure of check valve between
the two machines allowed a reverse flow through “B” :

27a C V 1

27b C V 2

- Check valve had been annually rebuilt. Practice had been removed and records indicated
valve had not been checked since 2009.

254
 Evidence Supporting RCFA Findings

- Main Oil Pump for Gearbox and Motor will only

pump oil when rotating in designed direction.

- Auxiliary Oil Pump did not respond in time to

prevent dry running of bearings in gearbox.

- Initial damage was likely not as severe as seen

in pictures, but over time without knowledge and
intervention the problem deteriorated.

255
 Evidence Supporting RCFA Findings

- Contract operator of #27 machine recalled that in the spring of 2011 after an unexpected
shutdown he was forced to run the Auxiliary Lube Oil Pump in addition to the Main Oil
Pump to maintain pressure on the system.

- Trying to troubleshoot the issue he decided that it would be best to replace the Main Oil
Pump as it seemed to be the problem.

- After change of the Main Oil Pump, the problem persisted and he decided to continue to
run with the Auxiliary Pump on.

- The likely cause for the issue was the reverse rotation damaged the bearings, increasing
the gap for the oil to flow through and lowering the back pressure of the system.

256
 RCFA Conclusions

- Corrective actions are aimed at mitigating a future occurrence of the various contributing
factors.

Contributing Factor Action PPR Status

Failure to recognize initial Install gap voltage measurements T Boyle Active

bearing failure and alarms, pending approval of
capital dollars.
Failure to recognize initial Periodic oil analysis B Blyth Complete
bearing failure
Potential failure of Auxiliary Functional testing of temperature, T Boyle Complete
pump to function during pressure and PLC for Aux pump.
reverse rotation.
Failure of check valve to Annual removal and testing of check B Blyth Complete
prevent reverse flow and valve for functionality
reverse rotation.

257
 Oil Analysis Issues

- What about oil analysis? Why didn’t we see large quantities of tin, antimony or copper?

- Site practice was to sample the oil annually before all the oil was changed.

- Quantity of oil is 12 gallons and 1 oil change per year was historic practice.

- Annual oil analysis is not frequent enough to capture equipment issues.

- Proper oil analysis techniques along with monthly vibration monitoring can be a powerful
predictive tool to pin point issues.

258
 Oil Analysis Improvements

- Primary analysis point is the approximate midline of the oil level in the gearbox. The
gearbox serves as the “reservoir” for the lubrication system. This site will be sampled
quarterly.

- The secondary point is in the return line for the electric motor. This site will be sampled in
the event of elevated metals or contaminates from the primary point. Sampling here will
aid in determining the source of the contamination.

259
Lubrication System Diagram – Gearbox and Electric Motor

Shaft
Driven Oil
Pump

Electric Motor

Gearbox

Secondary
Primary Aux Oil
Pump

260
 Failure Modes and Effects Analysis (FMEA+)

- FMEA+ technique was used to identify additional equipment or maintenance risks in and
effort to proactively mitigate potential failures.
FMEA+
PROBABILITY
REF # EQUIPMENT OR ELEMENT FAILURE CAUSE EFFECT DOWNTIME (YRS) PROPOSED PPM TASK
Failure of lubrication system / poor quality of
1.1 Electric Motor Bearing failure in electric motor lubrication, excessive vibration in system System S/D 1W 0.2 Vibration and Oil Analysis
Visual ispection of motor windings and motor
Failure of electrical component of current signature analysis performed on 5 yr
1.2 Electric Motor motor, i.e windings Winding contamination, rotor bar failure, etc. System S/D 2W 0.2 interval.

1.3 Electric Motor Shaft seal failure Contaminated oil, excessive vibration Oil leak 1W 0.2 Oil Analysis

1.4 Electric Motor Main Shaft Failure High torque, contaminated oil, inbalance. System S/D 2W 0.2 Vibration and Oil Analysis
Improper backlash, excessive vibration, worn
2.1 Gearbox Gear Failure teeth from age, broken teeth. System S/D 4W 0.1 Vibration Analysis, QA/QC documentation
Failure of lubrication system / poor quality of
2.2 Gearbox Bearing failure of gearbox lubrication, excessive vibration in system System S/D 1W 0.5 Vibration and Oil Analysis
Excessive torque, wear from bearing Babbitt,
2.3 Gearbox Shaft failure imbalance System S/D 6W 0.1 Vibration and Oil Analysis
Gears become worn, power not supplied
3.1 Lubrication System Main Oil Pump Failure when called upon, reverse rotation. System S/D 1W 0.1 Vibration and Oil Analysis

261
 What Did This Cost?

- $150,000 in repair costs: Repairs to gearbox, electric motor, contract services and
associated maintenance labor.

- 16 day outage: troubleshooting, repairs and reinstallation. Fortunately no impact to

production.

262
 Applications for Other Areas of the Plant

- #25 Machine: Single stage centrifugal compressor. Separate lube oil systems for
the compressor and the gearbox, no system for motor. Sample points established
in the gearbox (reservoir) and at the compressor thrust bearing (reservoir)

- #28 Machine: 2 Twin Screw Compressors, oil analysis points added, similar to #27
machine.

- -52 Machine: Two systems consisting of a high and low stage compressor each.
Similar set up – oil system for motor and gearbox, another for compressor.
Establish primary and secondary sample points for differentiation in samples, if
needed.

- In each case the historical practice had been to sample the oil then put all new oil
in system. Now we sample oil quarterly and take appropriate action based on
analysis. We no longer perform time based oil changes.

263
 Resulting Changes to Vibration Program

- Issues with #27 Machine shed light on some of the configuration issues with our
equipment in our vibration program.

- Across the board, bearing information was incorrect. Some equipment had not been
configured at all and correct ratios for gears were missing.

- 182 machines were reconfigured over a 6 month period. Alarms are now more credible.
The amount of machines in “red” was ~30 in Jan 2012 and is now in the 4-8 range. This
was accomplished by setting appropriate alarm conditions based on operating speeds and
equipment configurations.

- When equipment comes back in “red”, it is now viewed as important whereas before
there was some uncertainty around it’s credibility.

264
Vibration After Repairs

Before

After

265
 Growth Plot of Refrigeration Machines

- Plot to show that our efforts to improve reliability have been working, we are expanding on
those efforts.

266
267
 Growth Plot

- MTBF has increased from 55 to 191days. A 347% improvement.

268
 In Conclusion

- Single failure at site, resulting actions and analysis were leveraged through out different
areas of the site to improve reliability.

- Failure exposed critical systems that needed a PM.

- Site predictive maintenance programs had become less effective over time and needed to
be reconfigured.

- Evolving from time based to condition based intervention using oil analysis data will
deliver significant savings.

269
 Changing Maintenance Professionals
from
Parts Replacers to Diagnosticians
My name is Dale Constantine and I am the Maintenance Manager for STEP Energy Services an oil field
service company head quartered in Calgary Alberta Canada and we service oil wells throughout the western Canada
oil field basin and I would like to thank you all for allowing me to present here today.

STEP Energy Services uses specialized mobile equipment that is transported on the regular roadways to the
well site and may be there for one day or several days or even weeks but one thing that is consistent is that it must
function without interruption. An interruption in service on an active oil well can cost several thousand to millions of
dollars all at the expense of the service company!

I have worked the greater part of my career as an automotive technician specializing in fuel injection and
electronics. After some 16 years I changed gears and went to work in the resource industry for an open pit gold and
copper mine and had my eyes opened. I quickly learned that PM stood for post-mortem and not preventative
maintenance. After five years I came to the Alberta's oil field and found it no better there except they had more money
to waste so the repeat failures happened with increase regularity.

Today I would like to start the dialogue focusing on how to turn years of creating parts changers into
diagnosticians. I will start with What is a parts changer and What is a diagnostician and define them as I see them
today. Then I would like to give Evidence in the Industry about how this effects both the people and the industry and
lastly I would like to focus on How to address the problem. If there is time I would love to take your Questions and
get your feedback.

i) What is a parts changer?

These are well meaning maintenance professionals that are well versed in being able to replace parts quickly.
They are very good at putting out fires but have very little time to investigate because of it. They are always needed for
the next failure because it always seems like just when you get a breather another system goes down.

Typically they are quick to respond to any root cause questions but do so without full knowledge of what
actually took place. They are prone to knee jerk reactions and decisions and these highly sought after professionals
have a diploma from the "school of hard knocks". This parts changer would love to delve into the problems more but
time, tools and the culture to do so are missing.

ii) What is a diagnostician?

Well these elusive maintenance professionals look not at the equipment that is broken but at the how and why
it broke. They look at what was it designed for and why did it fail so soon knowing full well that the original designer did
not create it to fail too quickly. They are always looking for the elusive root cause and uses all tools at their disposal.
and they are always learning, testing and disassembling failed parts. They are the one with the last failed part pulled
apart on their bench cleaning it, measuring and inspecting the damage and because of this is able to diagnose a
majority of failures easily and correctly. If you find one make sure you pen them in because others will try and steal
them away for they are indeed rare.

They are constantly reading and studying. They are the ones that will be suggesting programs and root causes
and new tool purchases so they can avert the next failure and will continue to do so until they are frustrated with lack of
commitment by management at which time will jump the fence and run away to seemingly better pastures.

270
iii) Evidence in the industry.
Is there proof of the problem? If there are parts changers out there and diagnosticians are rare then we should
have some evidence of this.

Training not completed.

Apprentices are the future. They are the next maintenance professional to take over the reins from those of us
who have made a career out of keeping things running. At STEP Energy Services 100% of the apprentices that applied
during our start up year 2012 did not have their schooling done even though they had all their bench time in. Some had
several years extra time but the companies they worked for convinced them to put off the schooling so they could
continue changing out parts.

How can we train these professionals about vibration analysis, oil sample reading or root cause investigations
when we cannot even get them through the very basic of schooling!

Void of tradesman
Today in Canada we have the largest void seen in years estimated to be as high as 30%. There are fewer and
fewer trade professionals to carry the load and those in the program have a good chance of never actually completing
all their schooling. How can these professionals ever get to the place in their career where they can have the skills to
evaluate the failures if they are not enough tradesman to perform the work let alone teach and train.

"Financial Post Sept 12, 2012 - Reported Statistics Canada that 24% of Canadian companies were unable to find "the
right talent" to fill positions available.

Not focusing on the problem.

One apprentice we hired had spent the last 5 years changing out drop boxes for two separate large oil field
companies. These drop boxes are large simplistic transfer cases that direct drive shaft torque either to the rear wheels
or to the hydraulic pumps. In the interview I asked him if he could think of one major contributing factor to all the
failures. His quick reply was "the oil".

It was either not there, burnt or dirty. The answer was right there but he continued to change out drop boxes
as directed. I am happy to say that this apprentice was hired and today is a certified heavy duty equipment technician/
diagnostician.

Celebrating the wrong task.

Parts changers are congratulated on the speed of which they replaced the failed component but the problem is
that they have gotten so fast because they have done it multiple times. Repeat failure after repeat failure and nobody
hangs their head but instead they are proud of the fact they are so quick about it. The part suppliers have been asked
for help in addressing this problem and what is their answer? They are glad to help by stocking your repeat failed part
on the shelf in multiples!

We have to money to do it wrong.

Recently while visiting a friends shop I noticed a pallet of about 8 new hydraulic motors worth about 5,000$
each. I asked what they were for and he informed me that they failed often. They only had 28 motors in use in the fleet
and about only half working at any given time but they had a failure a month where someone had to go to the field and
change it out.
When I asked if he could guess why he said. "The oil might be dirty!?"
So I asked if they had an oil sample program he was quick to reply "yes".
So I asked if they had a report of the hydraulic oil.
He said they only did engine oil.
While continuing to look around I noticed a pallet of new pumps. You can guess that the pumps were failing with the
sample regularity!

Large amounts of components are changed out at the end users cost and original suppliers have little warranty
because no one can prove the root cause.

271
Wrong upgrades are done.
It is common to find repeat failed items or components replaced or upgraded without full thought of the failure.
They are often replaced with a bigger is better one because the old component or part must not have been able to take
the load. Recently one of our critical oil field components had some bolts shear off a guide. The engineer that designed
the component came up with a rather hasty repair of drilling out and installing bigger bolts but when asked why the
bolts sheared in the first place they could not produce an answer.

Replacing the component with bigger is not the answer but its done all the time. With all the tools for
calculating everything from service run time to bolt yield we continue to ignore their use and knee jerk an update of
bigger is better.

Tools are not used.

In the maintenance industry we do not have to search long before finding a maintenance system or program.
There are many both good and bad, designed by some of the brightest minds possible and they are all dependant on
the end caretaker to put the muscle to the plan. There is little or no use of predictive maintenance or reliability systems.
These items might be available at the management level but not at the wrench level.

Recently I queried several suppliers in the Alberta oilfield about how many service companies have vibration
analysis as part of their maintenance plan. The answer was none! Why is it that the number one none intrusive
inspection tool we have at our disposal is not used? I would guess that parts changers have no need of them. Again
the same thing goes for thermal imaging. It is seen more as a fad and a tool to spot deer in the fields at night than to
find an excessive case flow without tearing anything apart.

There is an inability to perform diagnostic trouble shooting where there is no smoking gun. If it is not broken I
have no idea how to fix it. Recently we had an oil field rig flagged with high in copper in the hydraulics oil sample report
but still running without issue. When the original equipment manufacturer was contacted to locate the problem we were
told that it would take at lease a month just to diagnose it. Why? Because there was no part failing off the truck or being
dragged down the road by its hoses. Lets wait until it fails then we will know where the source is. Thats crazy but
accepted in the industry.

Unearned trust
We have this insane belief that the OEM has designed, tested and has proven all builds and systems and does
not require the end user/ maintainer involvement to make it better when in fact lots of equipment is meant to make it
out the door just past warranty. Without a life timeline how can we say there is a failure? Maybe that hydraulic motor
was only expected to last a month but it was a good month!

All fun aside we are taking about a problem that is costing us 1.2% of our GDP every year and there is no end
in site!

Evidence in, jury has come in with a verdict. There is overwhelming evidence to prove the existence of parts
changers in the industry even though there might be some diagnosticians out there.

272
iii) How to address the problem.
I believe there are three main areas but I also am fully aware that there are many more but this is a start.

a.) Comprehensive maintenance system

b.) Training
c.) Culture

a.) Comprehensive maintenance system

Comprehensive, predictive, preventative, reliability procedural based maintenance system is usually driven by
three different influences.
1.) Government regulations that demand by threat of charges that certain tasks and inspections are to
be carried out. We comply, usually against our will but comply none the less. These regulations take on many forms
and might be tank inspections, procedure testing or annual exams.

2.) Warranty based maintenance where in-order to maintain certain warranty coverage we must
perform again certain tasks such as oil changes, inspections and or adjustments. These are driven by the component
manufacturer and we have the choice to or not to but must be willing to take on the financial risk for none compliance.

3.) Learned maintenance is the one area we pay for over and over again but rarely learn from. This is
money on the floor just waiting for us to bend over with little effort and scoop it up.

Free money
The maintenance system mainly needs to focus on the 3.) learned maintenance as the other two just require
monitor and stoic execution. The maintenance system must be a living breathing document that constantly morphs and
changes to the feedback of all who are involved but more so from the end maintenance professional who is tasked to
put the actions to the words.

For example: If our maintenance professionals have come to understand from previous failures that a certain
bolt comes loose on a particular coupler and needs to be wired and checked periodically to eliminate down time does
you maintenance program capture this? How does it get from the floor to the paper and get there in a timely fashion.
This is a task that has been earned so lets get our value out of it instead of hearing the maintenance professionals
gearing up mumbling under their breath about "here we go again"!

Here is a suggestion. All maintenance tasks in the system must be issued to a work order and the procedural task
check sheet that goes with it printed off from a central location. These check sheets are not to be photo copied but
printed fresh each time.

Say the maintenance professional performing the task notices that something needs to be changed or
captured such as that loose bolt. They complete the task sheet as normal but the new concept is written in red on the
form and when it is received in administration for filing the red triggers that that form is to be scanned and forwarded to
the maintenance manager, investigated and updated on the check sheet. The next time it is printed off the new task is
listed. This may sound like a very simplistic system but you must ask yourself how are you closing the loop to these
learned nuggets and is there buy in from all involved? This makes the maintenance professional directly responsible
and if is "here we go again" they cannot point the responsibility elsewhere.

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The big picture
Having day to day feedback is good but an annual or bi-annual review needs to be done. This would included
as many of the maintenance team as possible. This meeting is not done over the tailgate but in a formal maintenance
format with a timely agenda. You need to keep focused on the review and not a nonproductive complaining session. If
there are parts of the system that are not working the answer is going to come out the very people at the meeting so it
is important that the entire team understand that this meeting attendance is not optional. The maintenance system
involves the entire organization and not just the maintenance group. Every department influences the outcome and the
sooner we recognize this the better off the system will work.

In this type of meeting the greater picture can be conveyed. Here is where reliability centred procedural
maintenance is introduced and their input on how to move forward with some ideas. Instead of micro managing their
every move lets give them the grand picture and see how they can achieve it.

Example: At STEP Energy Services we have a standard that every hydraulic suction line be equipped with either a wye
strainer or scrubber made by One Eye Magnetic Filtration. It is not good enough to follow all our maintenance
professionals around and point out where the magnetic filter needs to be installed. Instead we take them to the main
distribution centre in Calgary, Alberta where the magnetic filters are built and have them build some and read some of
the investigations that line the walls there. Now they get the big picture. We now have professionals not only willingly
adding them to the hydraulic system but on every type of fluid we pump and getting amazing results.

Write it down
The maintenance system in place should slowly over time move to more procedural based maintenance. It is
the norm that one maintenance professional will teach another but it should not be assumed that this is acceptable
where huge losses and injury could result! A story told over and over again changes. How else do fishermen actually
catch the big one?

Procedures not written down and passed on from one professional to another is how it has been done for
years but the cost and risk has grown significantly over the years. In a time where safety is taking a larger role and a
larger chunk of the bottom line maintenance has to streamline and reduce and eliminate costly mistakes.

I recently asked one of our maintenance professionals how he learned to change oil in a highway tractor
engine worth some thirty thousand dollars. He told me another professional showed him. That does beg to ask two
questions.
1.) Was everything taught and caught?
2.) How do we react to a change in the verbal procedure?

Work at this task slowly instead of charging in and burning out on another program that does work or "isn't in
touch with reality." Do small procedures first to get the framework down pat then do the higher risk ones that present
the greatest return on investment.

Just one more question

Investigations have got to be the most rewarding part of a maintenance system but we need to pick and chose
your investigation files carefully or that is all you will being doing. Every shortcoming has a story. Sometimes it is very
quick and painless where say a seal was leaking and during its removal it was found that a piece of string wrapped
around the shaft damaging it but others may require a more in-depth investigation that may include many professionals
inside the company and out. All maintenance professionals need to be coached on evidence retention and root cause
=fact finding.

Lets face it the maintenance team is there to keep things turning and to do so utilizing many different means
and an investigation will take them away from this vital task. Given the depth of the investigation their involvement
needs to be evaluated. Small investigations that are 4 hours or less are easily handed by the maintenance professional
and brings that feeling of ownership but if the time is more than then have them do a portion then take the investigation
to another level handle by a third party or a manager.

The investigation is given a number and the recommendations are reviewed within the team and acted on as
decided. If the maintenance system is effected then update the check sheet so next time it is printed off for a related
task the new recommendations can be included thus capturing the hard work.

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b.) Training
Training has got to be the most talked about topic amongst maintenance professionals but poorly executed by
them and those that manage them. Training has to be viewed by the whole organization as a tool and a cost for both
moulding the maintenance professional and retaining them as well. There has to be a budget and a plan!

The budget is pretty straight forward. A monetary amount based on the professional's qualifications. Such as a
second year apprentice might have a five hundred dollar budget where a journeyman may have two thousand. Every
company is different and the outlay of monies can be easily tied to their continued employment within the company. If
they leave the company before a certain agreed upon time then they are responsible to repay.

The plan
The plan is where those monies spent on training come to life. Would it be fair to say that a journeyman
millwright or industrial mechanic that has had their journeyman's ticket for three years but has not taken any classes or
formal training since to be three years behind the curve? Of course! The maintenance industry as a whole changes so
fast and new ideas, concepts and components enter the arena daily how can we all keep up?

Make it a standard that every maintenance professional is in some sort of course. The apprentices already are
by means of the government program but how about paying for their tuition and or books based on their final passing
percentage. The higher the percentage the more they get back. The average passing grade in the industry is 70%. I
am not sure I would want my doctor to have a 30% error factor while performing a heart transplant so why expect
anything less from our maintenance professional? The management needs to take an active engagement with their
apprentices knowing where they are in their journey to tradesman status and how the company can be part of that
journey. Yes this might take some work rather than leaving it up to the government to produce a tradesman.

So how do you plan the rest of the maintenance team's training? Do you in in the local suppliers and have
them put on seal and bearing training courses and let them emphasize their product and the pizza they bought for
lunch. Lets not kid ourselves that is not training! This is a cheap way out and this minuscule product familiarization is
expected and should be normal. Management needs to be actively engaged with each and everyone on the
maintenance team and discuss their career path. Call in the HR department for assistance if need be but you need to
get involved!

That does not mean that we give them an end of the year review just before the yearly raises come out and
asked them the dreary question "where do you see yourself in a year from now?" and as they look back at you
considering that feared question but not willing to give the true answer of "not working here!" they will give some
quickly made up answer of what they think you want to hear. The only way to know what they want, need and how that
fits into the company's needs is to have continuous open dialogue.

In Calgary Alberta you will find many manufacturers of the most sophisticated state of the art oil field
equipment and this equipment heavy relies on hydraulics to make them come alive. Yet I have not found one
fabrication professional with the certification from IFPS (International Fluid Power Society) for Connector and
Conductor. These professionals are assembling equipment that can fail uncontrollably with unfavourable results and
nobody has the proof of training to assemble the very conveyance components that they count on! Sorry a one hour
tour of the hose crimper and fitting bins is not even close to being enough. Management needs and it is demanded of
to take control and doing their job!

Add it to the PM
Companies value seasoned maintenance professionals that know their equipment and are able to keep the
wheels turning. Again they all learn from the experiences they encounter in doing their day to day job. Why not collect,
learn and discuss those adventures and mould the required training so that all maintenance professionals and
company as a whole would gain? Create an environment where this wisdom is collected, discussed and passed on. Is
it regular meeting, all be it short, where a discussion is around those victories or learned opportunities? Unfortunately
you cannot discuss what you have not collected so management must be constantly on the watch and recording these
or create a means they can be reported. They then need to be added to that awesome PM program you have so the
next time a maintenance item comes up that one of the maintenance professionals was responsible for getting into the
PM program they will start to see the ownership of the program.

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What are they Reading?
Management needs to search out and purchase periodicals, newsletters and similar magazines that will keep
the maintenance team on the edge of whats new. If you do not fill the magazine rack in the lunchroom, they will. How
surprised will a maintenance professional be when a trade magazine shows up in his home mailbox at the expense of
the very company they work for! How about enrolling all maintenance professionals that are working with hydraulics
with Hydraulic Supermarket or the Noria newsletter then discussing the latest trends as a team?

Here is a challenge right out of the General Motors Technician Guild program. Ask from each one of your
maintenance professionals ten questions along with the answer. These questions are all based on the knowledge that
they consider everyone on the team should know and what they are reading. It might range from an oil type or quantity
in a component to a chain type to a math question about horse power. You will gain an understanding of your
maintenance team and what they expect everyone to know and what they do not know.

Assemble these questions, and add some from management, into ten ten question exams. Give these out one
per month. Skip December and July. Then have a rewards dinner. Make a big deal out of it. Offer only so many awards
and or incentives to discourage cheat or collusion. If there are a finite amount of awards then only some many can be
given out. Arrange for tie breakers. After each monthly exam has been submitted discuss the answers so training can
go on all year long. Take it to a higher level and perform a hands on competition. Why should this type of learning stop
as soon as we leave school. If it works there it will work even better in the work environment because you can tie it to
their pay check!

All these take time and and active engagement of whats going on and whats needed. Its not easy but the
rewards are well worth it.

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c.) Culture

This is by far the most important point. If you leave here with nothing more than a desire to focus and change
your culture then I will have succeeded! Yes it is scary to think that all these maintenance programs involve the entire
organization.
In the Reliability World 2005 Conference, John S Mitchell states:
". ...that everyone in the organization is responsible for reliability; for without it, the plant will fail and the
enterprise will not succeed."

Thats an incredible statement. He goes on:

"The philosophy that everyone in the organization is responsible for the machine reliability (and therefore the
company's ultimate success) is frequently not understood (or even believed)..."

I truly believe we need to start right here.

Everyone has to buy in.

The HR department must hire for the culture first then the qualification second. If you hire someone with great
skills but has no desire to better themselves to learn predictive and preventative maintenance skills then the fight is on
and we all loose.

In the interview stage it is easy to burrow down and find if there is a frustration with the short comings in their
present work experience where they know they can work smarter. Maybe where they work now they voice the
concerns of repeat failures that they have been involved with but did not have fertile ground to work with and went
blindly replacing parts knowing there was a better way.The HR dept needs to be aware of the standard of everyone
goes to school so their hiring discussion includes this. To that frustrated professional watch their eyes light up when
you start to discuss PM systems, oil sampling, thermal imaging, vibration analysis and root cause fact finding. HR is
definitely part of the reliability of the machine.

Whats in a name?
Sparky, E-Tech, mechanic, the wrench, Mr Fixit. These are all names we have all heard used to call the men
and women that keep the machines going. Make a culture change. A deliberate change. A change where these
caretakers are called for what they are and are going to be: Maintenance professionals. Mechanical professionals,
Electrical professionals. Some of these professionals have spent four to five years of their lives and invested loads of
their own money to be a tradesman and the first thing we call them is something they are not. Haven't we learned that
if you want someone to think better of themselves you must first recognize them as such. Management must make a
constant effort to adhere to the name changes in both spoken and written reports within the company.

In the oil field industry some have changed the name of the field hands from roughnecks and rig pigs to field
professionals. The first thing that was noticed was they greater feeling of self worth and were more engaged in their
career. "If they call me a professional then I should act like one. Then I must inspire to be one". Look what happened
when Apple called their tablet an iPad! Wording is everything.. It needs to work through your culture and there are
many other areas I am sure you can rename to indicate a more profession response.
Couple of examples:
PM was called post-mortem. Call it predictive or preventative maintenance.
A close call where something was caught before it failed is called an intervention.
Words like upgrades, root cause, post failure strategies and investigations need to be used routinely. This
creates that culture that we want to be a part of. It has its own lingo just like Starbucks. Management is definitely part of
the reliability of the machine.

It's my Decision!?
Build into and expect decisions to be made by the maintenance professional. Working blindly and routinely
from all procedural based maintenance creates mindless robots and if they don't agree with the procedure it will not be
fully completed as required. Why not let the maintenance professional decide when an oil replacement is to take
place? This of course would be done by reviewing the last oil sample report and check thermal scans and vibration
reports but the final answer should come from the professional not mandated by some time based form. Reliability
centred maintenance for sure but driven by the professional's ability to investigate and feel a sense of being part of the
whole.

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 Remember back to that great maintenance system we built with a feedback loop to close and capture the
learned maintenance items. That comes directly by empowering the maintenance professional to change the monster.
They have the choice to put a concern to ink and have it become part of the whole answer. It is hard not to complete a
task when you yourself wrote it! Along with this feedback loop add annual or biannual reviews where the maintenance
professional is given equal say into the program as everyone one else around the table.

As well remember we want these caretakers to be actively involved in root cause fact finding, evidence capture, post
failure strategy programs and building a complete living breathing maintenance system. The maintenance professional
is definitely part of the reliability of the machine.

Wasn't that a Party!

Over the many years we have focused on the ability of the maintenance professional to quickly react to a
failure and celebrated their ability to perform superhuman feats to get the broken mechanical system working again. In
doing so we have totally missed the fact that the reason we are fixing something is because we have failed to do our
job. This is Munchausen syndrome by proxy where the parent induces a disease or symptoms of one in a child only to
be the one to later heal that child thus becoming the hero. We know what we need to do but failed to do so only later
replacing the broken part to a heroes welcome. Are we not celebrating the wrong thing here?!

Here is a suggestion. We need to thank those that get in there and perform these tasks of great measure but
do so but with very little fan fare. We need to bring attention to the failure and immediately investigate for all the know
reasons previously stated. We need to hang our heads because there was a maintenance related failure. So where
should we celebrate?

Celebrate all interventions. This is where through the use of predictive and preventative measures a near miss
or good catch was performed. An example would be a contaminated oil sample and a professional found in their
investigation a damaged seal allowing the oil to become contaminated. The seal was replaced, oil changed and
nothing happened. Yes you will have to toot your own horn but if you do not then who will? If a big deal was made of
this and less of the quick broken part replacement then doesn't that change to view point of the maintenance
professional? Wont they want to be the hero. Sure we all do we just need to make sure we are making heroes out of
the right events and right people.

Also lets celebrate all schooling certifications, passing grades and advancements. How many times does an
apprentice return back to work and nobody even knows why they were away let alone how they did in their schooling.
Is it important to them? Of course! Then lets celebrate this. We need to be deliberate and consistent. Emails and
posters should be common place within the company as part of the culture of celebrating these advancements and this
will create more respect from both operations and within maintenance as a whole. Remember everyone is in a class of
some sort. There should be all kinds of celebrations all year.

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 Maintenance is a really great novel. What makes a good novel? Its one that has a great
conflict in it whether is man against nature, man against man and so on.

Maintenance is man against machine! So who will win? Is the machine going to demand our
attention on its own unsafe time table or are we going to call the shots? We are writing our own
book right now. I already know how I want mine to end. How is that? Quite simply: I win!

Its up to us. Write your own novel with your own ending.

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 Complete Guide to Starting a Lubrication Program
Jeremy Wright, Noria Corporation

For those who have been thrust into a position as a lube champion but don’t know where to begin,
this session will discuss how to kick-start your lubrication program to ensure future success. From
quality lubricants and lubrication to metrics and analysis, contamination control, and people and
training, discover all the key components that go into creating an effective lube program.

The first step in this long journey is training and education. There are several ways to entrench
yourself in the world of machinery lubrication. Taking a course, reading books, subscribing to
newsletters, and obtaining the proper certifications are a few good action items to focus on. Having a
grasp on terminology and vocabulary will give you a great head start. Another thing gleamed from these
resources is an idea of what “best practice” or the “Optimum Reference State” (ORS) really is for this
machinery. At the point where you armed with just enough knowledge to be dangerous, it’s time to
start formulating a plan.

This plan should be put in writing and it should contain a baseline of current practices. Think of it as
an assessment where current practices are identified and critiqued against the new knowledge of ORS.
Now that there is a current state and ORS identified, a gap can be acknowledged. Having knowledge of
these gaps will help drive future decisions on where to spend time, money and energy.

The Assessment
Many people have the wrong perception of a lubrication assessment. It is not simply a list of
machines accompanied by a lubricant recommendation. Rather, it is a comprehensive snapshot of the
many facets that contribute to the program as a whole. The real benefit in the assessment comes from
that fact that a holistic approach is often the only way to reap substantial benefits from program
implementation. This holistic approach includes considerations for the following:

 Lube standards, consolidation, and procurement

 Lube storage and handling
 Oil sampling techniques
 Contamination control
 Training, skill development, and certification
 Lubricant analysis
 Lubrication/relubrication standards and best practices
 Program management
 Procedures and guidelines
 Program goals and metrics
 Safety and disposal guidelines and best practices
 Continuous improvement

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 The assessment should outline in detail for each of these areas;

 Current practice – a virtual snap shot of current operations. Including pictures in the
assessment is a great way to portray current practices.
 Best practice or ORS – the prescribed state of machine configuration, operating
conditions and maintenance activities required to achieve and sustain specific reliability
objectives.
 Gap Analysis between current practice and best practice. (This later is the basis for
action items)

Once the assessment has been completed in these key areas a much more broad valuation can be
done. Take a step back and try to evaluate the strengths, weaknesses, opportunities, and threats.

Based on this assessment and the SWOT analysis a comprehensive plan of attack can be developed.
The plan should focus on the tasks that are easiest, cheapest, and have the most impact. These tasks are
often referred to as the “low hanging fruit”. Once the low hanging fruit is identified the next step is to
design for best practice. The design phase is where that in depth training and knowledge becomes
very useful.

As an example, If particle contamination is observed as being the low hanging fruit during the
assessment, the design phase would outline the steps to take to mitigate the threat that particle
contamination poses towards machine reliability. This would include ingression and exclusion practices
such as breathers, seals, filters, etc.

The third phase of the process is to implement the design. In the example this would be the
purchase and installation of the breathers, filters, seals, etc. This is where lots of companies get hung up
in the program as they are not familiar with all the offerings in the market and tend to make poor
choices during the hardware selection.

The fourth phase is to manage the change, continuously improve, and find a way to measure the
outcome of the design. In our example this would be the use of oil analysis and particle counting to
determine if the design and implementation succeeded.

The process is then re-benchmarked. New opportunities become the next lowest hanging fruit. It
becomes a never ending cycle whereby the plant is always focused on the opportunities that provide the
greatest return for the smallest investment in time, energy, and money all while monitoring past
changes and reevaluating.

Starting a lubrication program is a daunting task. Most organizations (after getting a glimpse of the
road ahead) drop the ball before the game ever starts. In almost every case the simple task of
conducting a comprehensive lubrication survey can be enough to get that ball rolling and (assuming it’s
done correctly) ensure that it is rolling in the right direction.

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 Degradation and Regeneration of
Ester Based Fluids
EHC System filled-for-life

Steffen D. Nyman, C.C.Jensen Inc.

The need for power is constantly increasing, along with requirements for precision, reliability, longer
lifecycles and lower consumption. On top of that, the demand for stability in the electric grid has
increased vastly the last 50 years.

All of these factors have forced manufactures to optimize the turbine

control systems, the so-called Electro Hydraulic Control (EHC) system
which governs the steam supply in steam turbines
and air supply in gas turbines.

There are basically two ways to improve the response time of the
control system:

1. High hydraulic pressure and very precise valves

2. High flow rates and large valves EHC fluid before and
after conditioning

The first solution operates at higher pressures and makes use of relatively low flow rates and small
fluid volumes. An example could be 1600 psi (110 bar) and 400 gallon of fluid (1500 liter).

The second option incorporates larger valves and higher flow rates. While this requires larger fluid
volumes, the system operates at lower pressure and uses less sensitive valves, e.g. 2000 gal of fluid
(7,500 liter) and 600 psi (40 bar).

Due to the potential fire hazard associated with fluid leaking onto a hot surface e.g. a steam pipe,
the EHC system fluid has to be fire-resistant or at least fire-retardant. EHC fluids could be based on
synthetic oils, glycols or esters. Often the type of EHC fluid will be dictated by the insurance company.

For many EHC systems today, esters are the only fluids approved, so this paper will focus on ester
based fluids.

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 Ester is generated from an acid and an alcoh
hol or a phenool group.
n
The threee organic commponents (R ) determine the chemical aand physical
properties of the fluid.. The most co
ommonly used
d ester for EH
HC fluid is bassed
on Tri-Aryyl phosphate ester.

Phosphate ester has a high self-igniition temperaature above 11,000°F (540°C

C)
extinguish. Kn
and the ability to self-e nown brands include Fyrquuel, Pyrogard
d,
EcoSafe, etc.
e

The makin
ng of ester is called esteriffication and produces
p wateer as by-prod
duct. For phossphate ester:

Phosp
phoric acid + alcohol → Ph
hosphate este
er + water

The Prroblem
Unforttunately, the esterificationn process is re
eversible if thhe ester based
d fluid comess in contact w
with
water. This is referred to as hydrolyysis:

Ester + water → accid + alcohol

The higher
h the waater content and
a temperatture, the fasteer the ester w will break dow
wn by hydrolyysis.
The resultting acid builtt up (increasinng AN value) will rapidly ddegrade the fluid and decreease the visco
osity
and resisttivity. This willl cause acid corrosion
c of sensitive
s serv o-valves and other system
m components.

Conseque
ences of EHC system fluid degradation and contamiination

• Acid, gel and sludge/varnishh formation

• Valve sticking or blocking
• Reduced lubriccity and film strength
s
• Corrosion, erosion and abraasion wear
• Reduced fluid resistivity
• So
oot generatio on (entrained air)
• Sh
hort fluid life

esult is poor EHC

The re E system re
eliability and reduced turbbine availabiliity.

The reeliability of th
he EHC system
m is vital for the operationn of the turbinne, so avoidin ng failures witth
proper maaintenance iss absolutely essential. Este er based fluidss are also quiite costly to replace ($30 – $50
per gal orr 6 – 10 Euro per
p liter).

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 Water and acid are not the only contaminants which can degrade the EHC fluid and components.
Since the dynamic oil film and fine clearances in servo-valves are less than 5 microns, even the finest silt
particles and sludge/varnish deposits from fluid degradation can hinder proper operation. Fine particles
get trapped in clearances between the valve plunger and housing. This abrasive wear is known as seizing
or grinding. This can result in wear rates that are a thousand times greater than anticipated by the valve
manufacturer.

Therefore, it only makes sense to use very fine filtration (3-5 micron) for maintaining the EHC fluid.

Four types of contamination

Acid Water Particles Varnish

Recommendations

Fluid analysis/test Max. performance limit Comments

Viscosity +/- 10% of new fluid Degradation by hydrolysis will decrease

viscosity

Acidity (AN) 0.25 mg KOH/g Water and hydrolysis will increase AN vastly

Water 750 ppm For high accuracy, ask for water content in
ppm and not percent (Karl Fischer titration)

Particle count ISO 16/14/11 Sensitive servo-valves require fine filtration

(3 – 5 micron)

Mineral oil content 30 ml/l Mineral oil impairs the fire-resistance

MPC membrane patch MPC ΔE = 30 MPC shows soot, varnish and sludge. Ultra
Centrifuge and RULER tests can also be used

Resistivity Minimum 50 MΩm or Low resistivity combined with high chlorine

5 Giga-Ohm-cm content (>50 ppm) is known to cause electro-
kinetic wear of servo-valves

Air release 10 minutes A poor air release will result in soot built up
(micro-dieseling effect)

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 Most turbine manufactures understand these issues and have incorporated a fluid conditioning unit
into the EHC system. This EHC conditioning unit often includes an acid reducing system followed by
filters with fine filtration rates. Frequent oil analysis can verify that the system is up to the task of
keeping the acid number, the resistivity and particle count etc. at the recommended levels (see
table above).

Many acid scrubbing systems still use Fuller’s Earth since its ability to reduce acid content is well
known and it is also the cheapest to use. However, Fuller’s Earth will form metal soap deposits and is
known to reduce the fluids ability to release air.

When the fluid’s air release property is reduced, more air will be entrained in the fluid. This will
result in adiabatic compression of the air bubbles and soot built up, referred to as micro-dieseling. Soot
has a huge effect on degradation of the fluid and therefore the useful life. Unfortunately, soot is so fine
that it will not show as an increase in particle count when looking at 4, 6 and 14 micron levels. The best
way to detect micro-dieseling is with a membrane patch colorimetric test (MPC) that uses a 0.4 – 0.8
micron patch to show the black carbon deposits. MPC will also show sludge/varnish.

Photo of MPC patch showing soot from micro-dieseling in EHC system

The MPC ΔE value is 79, while fluid cleanliness according to ISO 4406:99 is 15/13/9
The particle counter cannot see the soot particles.

How to control micro-dieseling:

• Avoid use of constant volume pumps with pressure reduction valve - use frequency controlled
pumps instead
• Use fluid with good air release properties and test it every 3 months
• Beware of suction line leaks
• Optimize the system and tank design:
- Install return lines as far away from pump suction line as possible
- Return lines need to be installed below the oil level to avoid splashing
- Minimize turbulence in the return lines and use a diffuser in the tank
- Keep the air in the head space dry and clean
- Protect the suction line by baffles and perforated plates/wire screens to improve the air
release in the tank (see drawing below from Noria Corporation)

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Source: Noria Corporation

The Solution

Water removal
Since ester based fluid is hygroscopic and has a very high saturation point at normal operation
temperature (phosphate ester ~ 4,000 ppm or 0.4% water), it is rare to find free and emulsified water in
EHC systems. If free water is present, it will separate out and remain on top of the ester. This is opposite
of water contamination in a typical hydraulic system utilizing mineral based oils where free water sinks
to the bottom of the tank. This is because ester based fluids have a density higher than that of water,
while mineral oil has a lower density than water.

While water is difficult to remove from the EHC fluid, it can be done by desorption, vacuum
dehydrator, molecular sieve absorption or tank head space management. To avoid water entering the
EHC system it is recommended to use desiccant breathers, bladders or purging dry air into the tank
head space.

Cases describing water removal by absorption and desorption can be found on page 6 forward.

EHC conditioning units including acid reduction

A high acid number is often the condemning factor and reason for replacing ester fluid. In some
power plants, the EHC fluid seems to last for decades with the acidity remaining around 0.2 mg KOH/g

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while other plants struggle to keep the acidity level below 0.5 mg KOH/g. Although the fluid life is
influenced by many factors well trained maintenance personnel who are familiar with esters and best
practice fluid storage, handling and sampling procedures can significantly increase the fluid life.

As mentioned earlier, the acid reduction system contains some sort of acid absorption media. This
can be Fuller’s Earth, beads of activated alumina or ion exchange resins. Acid absorption media based on
active ion exchange resins are more effective in lowering the acid number than Fuller’s Earth and
activated alumina, especially on older, degraded phosphate ester with elevated acid numbers (AN above
0.5). Furthermore, ion exchange resins do not leave metal soaps in the fluid nor do they harm the air
release. The ion exchange resins do release some moisture, but when used in combination with some
kind of water removal method and 3 micron fine filtration, such a unit can maintain the EHC fluid
properties and even restore the resistivity.

There are EHC conditioning units available in the market which can remove all four contaminant;
acidity, particles, sludge/varnish and water with one compact unit. Sized for 600 gal EHC fluid the price
range would typically be $7,000 – $14,000.

If sized and maintained correctly an EHC conditioning unit should be able to keep acidity low and the
other parameters in check for many years.

Here follows three case studies, all with similar goals.

Case studies - overall goals

 Improve EHC system reliability
 Increase phosphate ester life, by removing water, acids and degradation products
 Extend component life, by avoiding acid corrosion and particle wear (abrasion)

Approach
 Install offline ion exchange unit to reduce the acidity
 Install offline depth fine filter (3 micron) to remove metal soaps, sludge/varnish and particles
 Install a method of water removal (desorption and absorption by molecular sieve beads)

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Principle drawing of offline filter in
nstallation (kiidney-loop)

EHC conditioning unit installedd offline

Case 1, USSA, EHC syste

em on steam turbine

400 gal (1,500 L) off Fyrquel EHCC fluid was de

egraded and ccondemned to be replaced
d. The phosph
hate
ester fluid
d was out of spec
s on the fo
ollowing paraameters:

Test Saample Date Ju

uly 27, 2011 Recomm
mended limitt

Acidity (A
AN) 0.7
77 mg KOH/gg 0.25 mggKOH/g

Water 1,3
300 ppm 750 ppm
m

Particle Count 5 - 10 micron: 160,664

1 5 - 10 m
micron: 9,7000

Resistivityy 3 G-Ohm-cm Min. 5 G-Ohm-cm

It wass agreed to install a three-in-one EHC coonditioning uunit incorporaating ion exch
hange resin beeads
for acidityy reduction an
nd 3 micron filtration
f to re
emove particlles and sludge/varnish. Iniitially, the tesst did
not incorp porate water removal equipment. This was addresseed with a molecular sieve insert after the
acidity de
ecreased.

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 After only 5 days in operation, the acidity was cut in half. The first ion exchange insert and filter
were replaced after 1 month, resulting in reduced AN and particle count Sept. 1st. The acidity was now
at a safe level, below 0.25 mgKOH/g.

Test Sample Aug. 2, 2011 Sample Sept. 1, 2011

First ion exchange insert and filter Second ion exchange insert and filter

Acidity (AN) 0.4 mg KOH/g 0.21 mg KOH/g

Water 1,300 ppm 1,400 ppm

Particle Count 5 – 10 micron: 149,772 5 – 10 micron: 110,060

Resistivity 3 G-Ohm-cm 7 G-Ohm-cm

After an additional month of operation, a molecular sieve insert was added to the EHC unit and the
water content was reduced by ~50%. After 6 months the sample showed that the EHC fluid was in great
shape and back within recommended specifications: AN = 0.1, 800 ppm water, 7 G-Ohm-cm The particle
count was still too high, but that will come down with continuous 3 micron offline filtration.

Test Sample Oct. 3, 2011 Sample Jan. 23, 2012

Molecular sieve and filter Third ion exchange insert and filter

Acidity (AN) 0.16 mg KOH/g 0.10 mg KOH/g

Water 700 ppm 800 ppm

Particle Count 5 – 10 micron: 192,136 5 – 10 micron: 60,308

Resistivity 5 G-Ohm-cm 7 G-Ohm-cm

Conclusion case 1
This first case shows how effective the combination of ion exchange media and fine filtration works.
The molecular sieve insert also did a fine job in lowering the water content in the hygroscopic phosphate
ester fluid.

The compact EHC conditioning unit used here is suitable for EHC systems up to roughly 600 gal
(2,300 liter). Prices range depending on options/add-ons: $7,000 - $14,000

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See photos of used inserts below.

The photos above show the first used insert being replaced after 1 month.

The brown color on the 3 micron depth filter comes from particles and sludge/varnish removed from
the fluid. The filter insert is fitted in series with a bag containing ion exchange resins (alternatively filled
with molecular sieve beads). In the photo on the right, the ion exchange resin beads have expanded due
to saturation.

Case 2, Spain, EHC system on steam turbine

Reducing water content by desorption.

1,000 Liter (265 gal) of Repsol Commander EHC phosphate ester fluid with
very high water content. The acidity was increasing rapidly so action had to be
taken immediately.

A mobile CJCTM D30 Desorber unit was brought in to dry the EHC fluid.
In just 2 weeks, the water content was reduced from 1,289 ppm to 275 ppm
with the D30 Desorber.

The CJCTM D30 Desorber is installed offline on the EHC system tank and
dehumidifies the ester fluid by means of dry air.

The water contaminated EHC fluid is pumped through a pre-heater into the
Desorber chamber where it meets a counter flow of dry, cold air. The humidity in the EHC fluid is
desorbed into the air which gets saturated before leaving the Desorber chamber. The dry ester fluid is

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cooled through the heat exchanger and pumped back to the EHC system tank. The air in the Desorber is
cooled and dried so it can be re-circulated back to the Desorber chamber, drying more EHC fluid.

Working principle of the CJCTM D30 Desorber

Air

Electri Desorpt
ion Oil Supply
cal
Heat
Exchan
Inlet
Hum
Cyclo

id
Outl
et
Level

Wat
er

Dischar
ge

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Below. Analysis report before and after the CJCTM D30 Desorber was installed (in Spanish)

Case 3, Belgium, EHC system on large steam turbine

EHC system with 2,000 liter (530 gal) of Total Hydransafe. The phosphate ester was heavily degraded
with the acidity at 0.9 mgKOH/g.

In July 2010, an offline four-in-one EHC conditioning unit was installed. The continuously operating
unit utilized two bags containing ion exchange resins, two bags with molecular sieve beads and two
depth media filter inserts (3 micron absolute) in three separate filter housings in series.

After four weeks of operation, the acidity decreased from AN = 0.9 to AN = 0.29 and continued to
decrease reaching the acidity level of 0.09 mgKOH/g after 6 months of operation – as good as new
phosphate ester fluid. The water level was reduced from above 1,000 ppm to 139 ppm in the same
period of time.

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First photo shows the CJCTM EHC conditioner unit, HDU 3*27/54 on a tank.
Second photo is the used bags containing saturated ion exchange resins.

EHC fluid maintenance summary

So, can the EHC system be filled-for-life?

If properly maintained, the ester based fluid can last 15 – 20 years in operation, but it will need to be
monitored and kept within specs.

Best practice:

• It is important to set targets for contamination levels and measure them monthly/quarterly
(viscosity, acidity, water content, particle counts, soot/sludge/varnish by MPC patch test, mineral
oil content, resistivity, wear metals, etc.). See recommendations in table page 3.

• Since ester degrades by hydrolysis, rapidly increasing the acidity, water should be kept out of the
system and below 750 ppm in the fluid

• Avoid ingression. The tank should have effective desiccant air breathers that remove both fine
particles and moisture. Purging dry air into the tank head space is also a good solution to keep
contaminants out

• Removal of water: Water can be removed from ester by molecular sieve beads, desorption and
vacuum dehydration. Maintaining low water level by purging dry air into the tank head space

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 • Acidity, particle and sludge/varnish contamination can be maintained and reduced by installing an
EHC conditioning unit which includes acid reduction and fine depth media filtration
(3 micron). While different acid absorption media can be used, ion exchange resins are the most
effective, leaving no metal soap deposits behind nor impairing the air release property of the fluid

• Entrained air due to poor air release, tank design or leaks on the suction side of the pump will
result in micro-dieseling and soot built up. Membrane patch tests (MPC) will show the severity and
whether action needs to be taken to solve the problem

• Awareness training of maintenance/operation staff is key to success. Use best practices for storage,
handling and make-up fluid as well as fluid sampling

Presentations about EHC fluid basics, degradation and conditioning are available on request.

About the author

Steffen Nyman earned his Mechanical Engineering degree in 1996 with specialty in power
generation. He was in technical sales for three and a half years before he realized that training was his
calling. For more than 12 years, he has been responsible for developing and conducting technical
training and documentation for sales, service and technical staff at multiple corporations. Steffen is a
certified ICML Machinery Lubrication Technician (I+II) and Lubrication Analyst (I) as well as 4-MAT
trainer in adult teaching skills. He has worked as Corporate Trainer for C.C.JENSEN since 2004,
conducting hundreds of customized seminars in understanding oil maintenance including oil filtration
technologies for the Marine, Mining, Power, Off-Shore and Wind industries.

References:

• Maintenance practice for steam turbine control fire resistant fluids,

George Staniewski, Ontario Power Generation
• Managing the health of fire resistant steam turbine electro hydraulic control oils,
Ken Brown, Utility Service Associates
• Phosphate ester technical note – low resistivity, Forsythe Technology Inc.
• Phosphate ester degradation, Bart Fonch, C.C.JENSEN Benelux
• Practical case studies, Axel Wegner, C.C.JENSEN Inc.
• Tank design, Noria Corporation

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 Creating Mixed Model Value Streams
Practical Lean Techniques for Building to Demand

Kevin J. Duggan, Founder

Institute for Operational Excellence

In today’s factories, operations are often complex, with multiple product flows, varying cycle times,
custom products, changing customer demand, and many other challenges. Implementing a lean flow in
these challenging environments is often thought to be too difficult to attempt, but with the advanced
concepts and techniques of mixed model value streams, it is possible to overcome these obstacles while
creating flow, not pull, through the operation.

Creating Mixed Model Value Streams

To solve the complexities of today’s manufacturing environments, we use a ten-step process that
teaches organizations how to create flow in their operations. By applying this ten-step process,
companies learn how to create what are known as a mixed model value streams, which are value
streams capable of producing a mix of parts or part variations through the same value stream at the pull
of the customer.

To do this, we will need to create product families, develop a takt time, see if our equipment can
support the takt time, determine an interval, calculate balance charts for each product, balance flow for
the mix, create standard work for the mix, create pitch at the pacemaker, schedule the mix at the
pacemaker, and determine how we will deal with changes in demand.

Connecting Upstream Processes to the Pacemaker

Once an organization has created a mixed model pacemaker, the next step is to connect it to the
upstream, or shared, processes that supply the pacemaker. Often, this is done by adding supermarkets
upstream, which involve more inventory and greater lead times than a system based on flow.

By utilizing the techniques of sequenced FIFO, offset scheduling, and guaranteed turnaround times,
organization can learn how to create flow, not pull, through their upstream processes, shortening lead
times and reducing inventories even more.

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 An ABS Group Company

Reliability Services Systems & Technology Strategy & Process

Effective Maintenance Master Planning

Presented by: Mike Greenholtz for Reliable Plant

April 18, 2013

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A Fully Integrated Global EAM Service Provider
An ABS Group Company
 Overview
ABS Group of Companies
ABS Group is a wholly-
owned subsidiary of the
American Bureau of Shipping ABS Group strives to be the global leader in mitigating risk, improving safety
(ABS). enhancing quality and minimizing adverse environmental impact.
Founded in 1862 to serve as
the non-profit American
Classification Society, ABS is
the leading classification, Safety, Risk & Reliability Services Management Catastrophe
certification, and verification Integrity and Systems & Systems Certification Risk Modeling
firm in the world for marine Performance Technology
shipping, offshore, and Management Strategy & Process
onshore industries. Services

MARKETS WE SERVE
OIL & GAS AEROSPACE BIOTECHNOLOGY
MARITIME AUTOMOTIVE PHARMACEUTICALS
RENEWABLE ENERGY MANUFACTURING INSURANCE
GOVERNMENT ENERGY REINSURANCE
NUCLEAR MARINE FINANCIAL
Protection of life, property and the environment
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A Fully Integrated Global EAM Service Provider [2]
An ABS Group Company
Overview
ABS Consulting Services
Sustained Managed Optimized Achieved
SAFETY RISK INTEGRITY PERFORMANCE

Supporting Both Providing Total Risk Supporting Asset Integrity Maximizing Operational &
Occupational & Analysis Needs Needs Business Performance
Process Safety Needs
• Safety Management • Natural Hazards • Project Quality • EAM
Systems – Hurricane, Earthquake, Management (PQM) • Reliability &
• HSE Support Services Wind Damage • Procurement Inspection Maintenance Mgmt.
• PSM Audits – Financial Impact • Inspection Mgmt. • Project Mgmt. &
Assessments
• PSA, PHA • Risk Based Inspection Technical Staffing
• Operating Hazards
• Safety Culture • Mechanical Integrity • Operational Excellence
– PRA, QRA, PHA
Assessments • Engineering Verification & Performance Mgmt.
• Manmade Hazards
• Incident Investigation • Vendor/Supply Chain • Training & Competency
– Security Threat
• Root Cause Analysis Audits Assurance
& Vulnerability
– Facility Siting
– Blast & Explosion
Modeling

298
A Fully Integrated Global EAM Service Provider [3]
An ABS Group Company
Introduction to EAM
Importance of Asset Management
• A relatively modest investment can yield substantial Return on
Investment gains and productivity yield increases
• Keeping pace with asset management is now an essential
strategy for maintaining competitiveness (asset management
impacts the bottom line!)
• Total Participation from all operation groups is imperative for
a high performing reliability and maintenance program
• It’s our responsibility to minimize the risk for the assets we
manage (not only cost, but more importantly, safety, quality,
regulatory, and environmental)

299
A Fully Integrated Global EAM Service Provider [4]
An ABS Group Company
Introduction to EAM
EAM – The Big Picture Definition
Enterprise Asset Management
• Whole life optimal management of the physical assets of an
organization to maximize value
• Covers design, construction, commissioning, operations,
maintenance and decommissioning/replacement of plant,
equipment and facilities
• “Enterprise" refers to the management of the assets across
departments, locations, facilities and business units
• Managing assets across the facility, organizations will improve
utilization and performance

300
A Fully Integrated Global EAM Service Provider [5]
An ABS Group Company
Introduction to EAM
Critical Success Factors

Program Solutions
(OE, RCM, TPM, WCM)

Standardized Workflow
Processes

Optimized CMMS
Database Configuration

301
A Fully Integrated Global EAM Service Provider [6]
An ABS Group Company
Introduction to EAM
Maintenance Excellence Strategy Foundation

302
A Fully Integrated Global EAM Service Provider [7]
An ABS Group Company
Introduction to EAM
EAM Strategy Drivers
65 Participants / 1,300 (+) Plants / 463,000 (+) Employees
*ARC Advisory Group 2010 EAM and Field Service Mgt 09

Other 15%

Knowledge Transfer 57%

Sharing Best Practices 62%

Corporate Social Responsibility 62%

Reduce Energy Costs 65%

Calibration for Quality or Yield 74%

Safety & Risk Management 86%

Extend Asset Longevity 91%

Cost Control for labor & Parts 92%

Improve uptime 95%

0% 20% 40% 60% 80% 100%

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A Fully Integrated Global EAM Service Provider [8]
An ABS Group Company
Introduction to EAM : CMMS Functionality and Utilization
Asset Hierarchy & Field Tagging
Facility

Department
within the
Asset Hierarchies should be configured to
Facility provide quick drilldown functionality in order
System to locate/identify Assets and Spare Parts
within the
Department
Asset List
within the
System
Sub-Assembly
EQ #1 - Tablet Counter
within the
EQ #2 - Filling Machine Asset
EQ #3 - Cotton Inserter
EQ #4 - Capping Machine
Spare Parts
(Bill of Materials)
EQ #5 - Bottle Labeler
Assets should be clearly/properly within the
EQ #6 - Case Filler Sub-Assembly
tagged in the field to ensure the Motor
correct data is being captured and Coupling

the correct equipment is being Gearbox

…
inspected or repaired
304
A Fully Integrated Global EAM Service Provider [9]
An ABS Group Company
Introduction to EAM: Reliability Based Maintenance
Asset Criticality Ranking

305
A Fully Integrated Global EAM Service Provider [ 10 ]
An ABS Group Company
Introduction to EAM: Workflow Processes
Simplified CMMS Workflow Process

Finish
Service Coordination

WSERV Work Order Review

Waiting Services
COMP
Completed

Start PM Generation

WASGN
Waiting Assignment
Work Order Generation Planning Work Order Scheduling Work Order Execution
WO WO
WAPPR Review WPLAN WASGN ASSGN Review
Waiting Approval Waiting Planning Waiting Assignment Assigned
Fabrication Coordination

WFAB
Waiting Fabrication
Work Order Review

CAN Material Procurement

Canceled
WMATL
Waiting Material

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A Fully Integrated Global EAM Service Provider [ 11 ]
An ABS Group Company
Asset Management Master Planning
Developing a World Class Program

My Wyeth experience…

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A Fully Integrated Global EAM Service Provider [ 12 ]
An ABS Group Company
Asset Management Master Planning
Program Drivers

• New Product Launches

• The “Billion Dollar Club”

• Compliance

• Operational Excellence

• Cost Competiveness

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A Fully Integrated Global EAM Service Provider [ 13 ]
An ABS Group Company
 Asset Management Master Planning
The “Reliability Imperative”
Vaccine Shortage Study Exposes Nation's
Shortage forces cutback in 'Patchwork' System; Many Doctors Scrambling
infant vaccine To Help Children Get Necessary Shots

Wednesday, March 3, 2004 Posted:

1624 GMT (12:24 AM HKT)

WASHINGTON (Reuters) - Health

officials asked doctors to further
ScienceDaily (Feb. 5, 2003) - ANN ARBOR, MI - An
reduce the number of vaccine
ongoing national shortage of a vaccine that
doses given to protect infants
prevents meningitis and pneumonia in children
against meningitis and deadly blood
has left doctors scrambling to provide even the
infections, in order to stretch out a
minimum number of shots, and has exposed
short supply.
gaps in the nation's "patchwork" vaccine system,
the first-ever in-depth study of the problem
finds…
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A Fully Integrated Global EAM Service Provider [ 14 ]
An ABS Group Company
Asset Management Master Planning
Maintenance Excellence Value Proposition

To provide a competitive advantage by establishing and applying

Best Practices to improve Facility and Asset Reliability, Operating
Life, and Efficiency in the most cost effective manner possible.

Total Maintenance Cost

EN 15341: E4 = (%)
Product Transformation Cost

310
A Fully Integrated Global EAM Service Provider [ 15 ]
An ABS Group Company
Asset Management Master Planning
Impact of Asset Management on OEE

311
A Fully Integrated Global EAM Service Provider [ 16 ]
An ABS Group Company
Asset Management Master Planning
Value Proposition: OEE Improvement Example
The impact to throughput for a 1% increase in OEE is

Plant Doses Dollars

Tablets Site 81.7 Million $2.5 Million

Liquids Site 14 Million $0.4 million

OSD Site 57.3 Million $0.8 Million

Total impact to throughput for 10% increase in OEE at each plant is

valued at:
$37 Million:
Based on 2012 Production Budget and the actual YTD through June
2012 financials
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A Fully Integrated Global EAM Service Provider
An ABS Group Company
Beginning with an EAM Assessment
DMAIC Approach
Define
Asset Management Maturity Continuum
Define the progressive levels of Asset Management Performance
Measure
Current State Assessment
Measure where you are on the Maturity Continuum
Analyze
Asset Management Master Plan Development
Analyze your assessment and develop the path forward to achieve Maintenance Excellence
Improve
Implementation Models for Maintenance Excellence
Improve your success with proven Asset Management Master Plan Models
Control
Maintenance Excellence Governance Model
Control your improvements by measuring and sustaining success
313
A Fully Integrated Global EAM Service Provider [ 18 ]
An ABS Group Company
EAM Assessment
Seven Elements of EAM

EAM
Maintenance CMMS Metrics
Planning
& Work Organizational Functionality Inventory &
&
Reliability Management Readiness & Management Performance
Scheduling
Strategy Utilization Improvement

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A Fully Integrated Global EAM Service Provider [ 19 ]
An ABS Group Company
EAM Assessment
Maturity Continuum Progression
Don’t just fix it, improve it
Measure & fix
Reliability Enterprise
Performance Measures

Fix it BEFORE it fails Predictive

Alignment
Eliminate Defects
(shared vision)
Planned Predict Improve Precision
Integration
Fix it AFTER it fails Plan Redesign (Supply, Operations,
Plan
Schedule Engineering)
Value Focus
Reactive Schedule
Coordinate Differentiation
Coordinate (System Performance)
Defer Alliances
Maintenance

Overlapping Defined Roles & Cross Trained /

People “Fire Fighting” Heroes
Responsibilities
Role Based Training
Responsibilities Bench Strength

Planning Materials & Kitting Materials & Monitoring Technician Total Productive
Processes Limited Development
Inventory Management Scheduling Technicians Work Execution Maintenance

CMMS PM CMMS Planning & CMMS Scheduling & CMMS Automated CMMS Lifecycle Cost
Systems Management Inventory Management Robust Reporting Work Generation Tracking

Electronic Document Mobile Handheld Barcoding & RFID

Technology Limited Utilization
Management Systems
Predictive Technologies
Devices Utilization

Minimal Performance Leading & Lagging Continuous Organizational Metrics

Governance Tracking
Lagging Indicators
Indicators Improvement Efforts Aligned

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A Fully Integrated Global EAM Service Provider [ 20 ]
An ABS Group Company
EAM Assessment
Reactive State
Improve & sustain
Don’t just fix it, improve it
Measure & fix
Reliability Enterprise
Performance Measures

Fix it BEFORE it fails Predictive

Alignment
Eliminate Defects
(shared vision)
Planned Predict Improve Precision
Integration
Fix it AFTER it fails Plan Redesign (Supply, Operations,
Plan
Schedule Engineering)
Value Focus
Reactive Schedule
Coordinate Differentiation
Bad Coordinate Good ROI (System Performance)
Defer High CM/PM Ratio Alliances
Maintenance Plan on the fly
Expediting Parts
Stock-Outs
Overlapping Defined Roles & Cross Trained /
People “Fire Fighting” Heroes Extended Outages
Responsibilities
Role Based Training
Responsibilities Bench Strength
Hurry & fix it fast
NoPlanning
time to Materials
analyze failures
& Kitting Materials & Monitoring Technician Total Productive
Processes Limited Development Impacting Production
Inventory Management Scheduling Technicians Work Execution Maintenance
Rework
CMMS PM CMMS Planning & CMMS Scheduling & CMMS Automated CMMS Lifecycle Cost
Systems Management Inventory Management Robust Reporting Work Generation Tracking

Electronic Document Mobile Handheld Barcoding & RFID

Technology Limited Utilization
Management Systems
Predictive Technologies
Devices Utilization

Minimal Performance Leading & Lagging Continuous Organizational Metrics

Governance Tracking
Lagging Indicators
Indicators Improvement Efforts Aligned

316
A Fully Integrated Global EAM Service Provider [ 21 ]
An ABS Group Company
EAM Assessment
Planned State
Improve & sustain
Don’t just fix it, improve it
Measure & fix
Reliability Enterprise
Performance Measures

Fix it BEFORE it fails Predictive

Alignment
Eliminate Defects
(shared vision)
Planned Predict Improve Precision
Integration
Fix it AFTER it fails Plan Redesign (Supply, Operations,
Plan
Schedule Engineering)
Value Focus
Reactive Schedule
Coordinate Differentiation
Bad Coordinate Good ROI (System Performance)
Defer High CM/PM Ratio Planning Inventory OptimizationAlliances
Maintenance Plan on the fly Scheduling Labor Utilization
Expediting Parts Material Reservations Wrench Time
Stock-Outs
Overlapping Material Planning DefinedContractor
Roles & Costs Cross Trained /
People “Fire Fighting” Heroes Extended Outages
Responsibilities
Role Based
Less Training
Costly Repairs Availability/uptime
Responsibilities Bench Strength
Hurry & fix it fast Less Operational Impact Overtime
NoPlanning
time to Materials
analyze failures
& Kitting Materials & Monitoring Technician Total Productive
Processes Limited Development Impacting Production
Inventory Management Scheduling Technicians Work Execution Maintenance
Rework
CMMS PM CMMS Planning & CMMS Scheduling & CMMS Automated CMMS Lifecycle Cost
Systems Management Inventory Management Robust Reporting Work Generation Tracking

Electronic Document Mobile Handheld Barcoding & RFID

Technology Limited Utilization
Management Systems
Predictive Technologies
Devices Utilization

Minimal Performance Leading & Lagging Continuous Organizational Metrics

Governance Tracking
Lagging Indicators
Indicators Improvement Efforts Aligned

317
A Fully Integrated Global EAM Service Provider [ 22 ]
An ABS Group Company
EAM Assessment
Predictive State
Don’t just fix it, improve it
Measure & fix
Reliability Enterprise
Performance Measures

Fix it BEFORE it fails Predictive

Alignment
Eliminate Defects
(shared vision)
Planned Predict Improve Precision
Integration
Fix it AFTER it fails Plan Redesign (Supply, Operations,
Plan
Schedule Engineering)
Value Focus
Reactive Schedule
Coordinate Differentiation
Bad Coordinate Good ROI (System Performance)
Defer High CM/PM Ratio Planning Inventory Optimization
Alliances
Maintenance Plan on the fly Scheduling Labor Utilization
Expediting Parts Material Reservations Wrench On Time
Stock-Outs
Overlapping Material Planning Defined Roles & Costs Cross Trained /
Contractor
People “Fire Fighting” Heroes Extended Outages
Responsibilities
Role Based
Less Training
Costly Repairs Availability/uptime
Responsibilities Bench Strength
Hurry & fix it fast Less Operational Impact Overtime
No Planning
time to analyze
Materialsfailures
& Trending
Kitting & Data
Materials & Analysis
Monitoring Technician Total Productive
Processes Limited Development Impacting Production Non-intrusive
Inventory Management Scheduling Technicians
Maintenance
Work Execution Maintenance
Rework Measurement
CMMS PM CMMS Planning & CMMS Scheduling & CMMS Automated CMMS Lifecycle Cost
Systems Management Inventory Management Robust Reporting Work Generation Tracking

Electronic Document Mobile Handheld Barcoding & RFID

Technology Limited Utilization
Management Systems
Predictive Technologies
Devices Utilization

Minimal Performance Leading & Lagging Continuous Organizational Metrics

Governance Tracking
Lagging Indicators
Indicators Improvement Efforts Aligned

318
A Fully Integrated Global EAM Service Provider [ 23 ]
An ABS Group Company
EAM Assessment
Reliability State
Don’t just fix it, improve it
Measure & fix
Reliability Enterprise
Performance Measures

Fix it BEFORE it fails Predictive

Alignment
Eliminate Defects
(shared vision)
Planned Predict Improve Precision
Integration
Fix it AFTER it fails Plan Redesign (Supply, Operations,
Plan
Schedule Engineering)
Value Focus
Reactive Schedule
Coordinate Differentiation
Bad Coordinate Good ROI (System Performance)
Defer High CM/PM Ratio Planning Inventory OptimizationAlliances
Maintenance Plan on the fly Scheduling Labor Utilization
Expediting Parts Material Reservations Wrench On Time
Stock-Outs
Overlapping Material Planning Defined Roles & Costs Cross Trained /
Contractor
People “Fire Fighting” Heroes Extended Outages
Responsibilities
Role Based
Less Training
Costly Repairs Availability/uptime
Responsibilities Bench Strength
Hurry & fix it fast Less Operational Impact Overtime
No Planning
time to analyze
Materialsfailures
& Trending
Kitting & Data
Materials & Analysis
MonitoringCapital Life
Technician Total Productive
Processes Limited Development Impacting Production Non-intrusive
Inventory Management Scheduling Technicians
Maintenance COGS
Work Execution Maintenance
Rework Measurement Right First Time Quality
CMMS PM CMMS Planning & Critically
CMMS Driven
Scheduling & PM Optimization
CMMS Automated CMMS Life Cycle Cost
Systems Management Inventory Management
Risk Based
Robust Reporting
TPM
Work Generation Trcking
Design Changes
Electronic Document KPI’s Mobile Handheld Barcoding & RFID
Technology Limited Utilization
Management Systems
Predictive
Root Technologies
Cause Failure Analysis
Devices Utilization
Quality Management
Minimal Performance Capital& Engineering
Leading Lagging Continuous Organizational Metrics
Governance Tracking
Lagging Indicators
Indicators Improvement Efforts Aligned

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A Fully Integrated Global EAM Service Provider [ 24 ]
An ABS Group Company
EAM Assessment
Enterprise State
Improve & sustain
Don’t just fix it, improve it
Measure & fix
Reliability Enterprise
Performance Measures

Fix it BEFORE it fails Predictive

Alignment
Eliminate Defects
(shared vision)
Planned Predict Improve Precision
Integration
Fix it AFTER it fails Plan Redesign (Supply, Operations,
Plan
Schedule Engineering)
Value Focus
Reactive Schedule
Coordinate Differentiation
Bad Coordinate Good ROI (System Performance)
Defer High CM/PM Ratio Planning Inventory OptimizationAlliances
Maintenance Plan on the fly Scheduling Labor Utilization
Expediting Parts Material Reservations Wrench On Time
Stock-Outs
Overlapping Material Planning Defined Roles & Costs Cross Trained /
Contractor
People “Fire Fighting” Heroes Extended Outages
Responsibilities
Role Based
Less Training
Costly Repairs Availability/uptime
Responsibilities Bench Strength
Hurry & fix it fast Less Operational Impact Overtime
No Planning
time to analyze
Materialsfailures
& Trending
Kitting & Data
Materials & Analysis
MonitoringCapital Life
Technician Total Productive
Processes Limited Development Impacting Production Non-intrusive
Inventory Management Scheduling Technicians
Maintenance COGS
Work Execution Maintenance
Rework Measurement Right First Time Quality
CMMS PM CMMS Planning & Critically
CMMS Driven
Scheduling & PM Optimization
CMMS Automated CMMS Life Cycle Cost
Systems Management Inventory Management
Risk Based
Robust Reporting
TPM
Work Generation Trcking
Design Changes Strategic Sourcing
Electronic Document KPI’s Depot Level Stocking
Mobile Handheld Barcoding & RFID
Technology Limited Utilization
Management Systems
Predictive
Root Technologies
Cause Failure Analysis
Devices Utilization
Quality Management
Minimal Performance Capital&Engineering
Leading Lagging Continuous Organizational Metrics
Governance Tracking
Lagging Indicators Center of ExcellenceImprovement Efforts
Indicators Aligned
Enterprise Reliability
Content Sharing
320 Network Supply Chain
A Fully Integrated Global EAM Service Provider [ 25 ]
An ABS Group Company
EAM Assessment
EAM Components / Sub-Components

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A Fully Integrated Global EAM Service Provider [ 26 ]
An ABS Group Company
EAM Assessment
Assessment Component Scoring
Component scoring will be broken down into Leverage Points and Opportunities

*The findings guide the definition of your Current State and are used during the
development of your Asset Management Master Plan
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EAM Assessment
Example of Assessment Results

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An ABS Group Company
EAM Assessment Heat Map
Defining your MMP Opportunities

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A Fully Integrated Global EAM Service Provider [ 29 ]
An ABS Group Company
Asset Management Master Planning
Maturity Continuum Progression
Improve & sustain
Don’t just fix it, improve it
Measure & fix
Reliability Enterprise
Performance Measures

Fix it BEFORE it fails Predictive

Alignment
Eliminate Defects
(shared vision)
Planned Predict Improve Precision
Integration
Fix it AFTER it fails Plan Redesign (Supply, Operations,
Plan
Schedule Engineering)
Value Focus
Reactive Schedule
Coordinate Differentiation
Coordinate (System Performance)
Defer Alliances
Maintenance

People An Asset Responsibilities

“Fire Fighting” Heroes Management
Overlapping
Role Based TrainingMaster Plan Bench
Defined Roles &
Responsibilities is Strength
a
Cross Trained /

Processes documented
Limited Development implementation
Planning Materials & Kitting Materials &
Inventory Management Scheduling Technicians
strategy
Monitoring Technician
Work Execution
to Total
makeProductive
Maintenance

Systems
incremental
CMMS PM
Management
improvements
CMMS Planning &
Inventory Management
CMMS Scheduling &
Robust Reporting
on the Maturity
CMMS Automated
Work Generation
CMMS Lifecycle Cost
Tracking
Continuum Electronic Document Mobile Handheld Barcoding & RFID
Technology Limited Utilization
Management Systems
Predictive Technologies
Devices Utilization

Minimal Performance Leading & Lagging Continuous Organizational Metrics

Governance Tracking
Lagging Indicators
Indicators Improvement Efforts Aligned

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An ABS Group Company
Asset Management Master Planning
Maturity Continuum ROI Opportunities
ROI Opportunities present at each State

Wrench Time 25% 35% 50% 60% 70%

OEE - Availability Factor 80% 85% 90% 95% 98%
Labor Cost Savings 35% 30% 20% 10% 0%
Contractor Cost Savings 35% 30% 20% 10% 0%
Material Cost Savings 20% 15% 10% 5% 0%
Inventory Carrying Cost Savings 20% 15% 10% 5% 0%
Safety Improvement
Quality Improvement

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A Fully Integrated Global EAM Service Provider [ 31 ]
An ABS Group Company
 Asset Management Master Plan Development
AMMP Building Blocks (Example)

PM Asset Spare Part

Technician Skill Autonomous Bench Strength
Phase 4 Optimization
(4th Quartile)
Optimization
Identification
(4th Quartile)
Maintenance Development

PM Lifecycle Cost Process Asset Spare Part Asset Spare Part

PM Program
Phase 3 Optimization
(3rd Quartile)
Tracking
Program
Management
Performance
Monitoring
Identification
(2nd Quartile)
Identification
(3rd Quartile)

Failure Modes PM Planning & Asset Spare Part

KPIs & CMMS MRO Inventory Lubrication
Phase 2 & Effects
Analysis
Optimization
(2nd Quartile)
Reporting
Scheduling
Optimization
Management
Identification
(1st Quartile)
Program

Asset Resource PM Business

Asset Data CMMS MRO MRO Inventory MRO Inventory
Phase 1 Management
Staffing
Standards
Deployment
Prioritization
Optimization
(1st Quartile)
Cost Tracking
Process
Development
Storage Data Standards

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An ABS Group Company
 Asset Management Master Plan Development
AMMP Development
Elements

Components

Sub-Components

PM Asset Spare Part

Technician Skill Autonomous Bench Strength
Optimization Identification
Optimization Maintenance Development
(4th Quartile) (4th Quartile)

PM Lifecycle Cost Process Asset Spare Part Asset Spare Part

PM Program
Asset Management Optimization
(3rd Quartile)
Tracking
Program
Management
Performance
Monitoring
Identification
(2nd Quartile)
Identification
(3rd Quartile)

Master Plan Failure Modes

& Effects
PM
Optimization
KPIs & CMMS
Reporting
Planning &
Scheduling
MRO Inventory
Management
Asset Spare Part
Identification
Lubrication
Program
Analysis (2nd Quartile) Optimization (1st Quartile)

Asset Resource PM Business

Asset Data CMMS MRO MRO Inventory MRO Inventory
Management Deployment Optimization Process
Standards Cost Tracking Storage Data Standards
Staffing Prioritization (1st Quartile) Development

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An ABS Group Company
Asset Management Master Plan Development
AMMP Project Outline

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An ABS Group Company
Launching the Asset Management Master Plan
Readiness for Transition
Leaders Communicate and Engage Stakeholders Along the Continuum
Categories Friends Family Fence Sitters Fighters Foes

 See change as  Committed to  Waiting to be  Committed to  No reason to be

important, but not making change persuaded & making change fail involved in making
Characteristics essential really work convinced changes  Opposed change work
 Help it happen  Make it happen are good
 Let it happen

 Want to succeed  Believers  Neutral  Return to “good  Opposed

 See general  Acceptance of  Spinning wheels old days”  Loss of prestige,
interest advantage need  Looking for signs  Threatened power
 Passive supporters  Self interest in  Blank sheet, antagonists  Fear of significant
Behaviors being involved neutral at best  Silent saboteurs, increase in
or noisy, open and workload
confrontational  Passive opposition
 Active opposition  Behind the scenes

15% of Stakeholders 70% of Stakeholders 15% of Stakeholders

Engage them as change agents Keep them informed and build Ask them what they need to
and champions. their involvement. Continuous enable them to support the
communication - formal and change. Neutralize in early
informal. stages.

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An ABS Group Company
Launching the Asset Management Master Plan
Path Forward

5. Generate Short-Term Wins

• Plan to win
• Create and visibly recognize those wins
• Don’t let up
4. Empower Broad-Based Action
• Remove barriers – leadership, collaboration and
influence
• Encourage risk-taking
3. Develop and Communicate a Vision and Strategy
• Create an expected outcome – problem / opportunity statement
• Develop action plans – e.g. CAPAs from the FMEA or Optimized PMs

2. Create a Guiding Coalition

• Get a sponsor with organizational “clout”
• Identify the key stakeholders - Get them to work together like a team
1. Establish a Sense of Urgency
• Build a case – use data to show reliability problems
• Prioritize based on expected results

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Asset Management Master Planning
Program Benefits

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An ABS Group Company
Asset Management Master Planning Implementation
Communities of Practice

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An ABS Group Company
Asset Management Master Planning Implementation
APQC Framework Model

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Key Elements for Success: Management Controls
KPI Dashboard Example
Global Site Summary
Manufacturing Deviations
Red = Increasing; Yellow = 0-10% Improvement; Green = >10% Improvement
Month
Operating Site
J F M A M J J A S O N D YTD
Site A 1 0 1 1 0 0 0 1 1 2 1 0 8
Site B 18 10 11 12 15 27 20 29 27 29 24 19 241
Site C 18 37 22 17 21 19 24 15 14 18 12 10 227
Site D 22 22 23 21 32 22 15 12 14 16 10 7 216
Site E 20 23 27 16 19 20 17 12 13 8 9 6 190
Maintenance Proactivity (PM/PM +CM)
Red = <65%; Yellow = <75%; Green = >75%
Month
Operating Site
J F M A M J J A S O N D YTD
Site A 69% 79% 78% 74% 91% 78% 61% 76% 86% 77% 86% 83% 78%
Site B 80% 75% 77% 80% 84% 83% 90% 86% 86% 85% 84% 79% 82%
Site C 90% 87% 85% 86% 84% 83% 83% 92% 95% 92% 88% 83% 87%
Site D 53% 58% 64% 56% 58% 58% 57% 61% 75% 78% 79% 81% 65%
Site E 65% 61% 63% 79% 58% 68% 61% 55% 60% 59% 65% 73% 64%
Maintenance Downtime (Hours)
Red = Deteriorating Trend; Yellow = Static Trend; Green = Improving Trend
Month
Operating Site
J F M A M J J A S O N D YTD
Site A 17 16 15 16 22 16 17 19 15 12 13 10 188
Site B 153 209 141 202 150 160 159 230 168 167 145 133 2017
Site C 145 146 141 154 123 124 145 132 109 86 92 90 1487
Site D 123 90 87 67 54 58 60 56 34 37 32 35 733
Site E 339 424 520 264 262 335 211 314 295 286 343 276 3869

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An ABS Group Company
Key Elements for Success: PM Optimization
World Class Maintenance Excellence - Labor Mix

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A Fully Integrated Global EAM Service Provider [ 41 ]
An ABS Group Company
Key Elements for Success: PM Optimization
Genesis PM Optimization Tool

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A Fully Integrated Global EAM Service Provider Back to PMO [ 42 ]
An ABS Group Company
Key Elements for Success: PM Optimization
Task Evaluation Standard Outcome
PM Optimization - Task Evaluation / Recommendation
10% 10%
DELETE
(Non-Value Added)

REASSIGN
20% (Operator Care / Lubrication Route)
30%
REPLACE
(Implementation of PdM)

REVISION
(Upgrade or Improve)

KEEP
(No Modifications Required)
30%
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A Fully Integrated Global EAM Service Provider [ 43 ]
An ABS Group Company
Key Elements for Success: Control Charting
Pilot Project Example
Customer Example

339
A Fully Integrated Global EAM Service Provider [ 44 ]
An ABS Group Company
Key Elements for Success: Performance Trending
Vial Filling Plant Operation
Customer Example

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A Fully Integrated Global EAM Service Provider [ 45 ]
An ABS Group Company
Key Elements for Success: Organizational Readiness
Maintenance Excellence through Reliability Design
Eight Phase Gated Approach (Life Cycle Functions)

Function Phase 1: Phase 2: Phase 3: Phase 4: Phase 5: Phase 6: Phase 7: Phase 8:

Project Concept Design Preliminary Detailed Design Construction Commissioning Qualification & Operations
Stop

Stop

Stop

Stop
Definition Design Validation

Maintenance Team Spare Parts Plan System impact PM Plan CMMS, CCMS Service and
representation assessment developed data entry Support

Maintenance Maintainability Calibration plan Training Training

Philosophy Assessment OEE,
Training Plan performance
Utilities Team Std. Equip. Emergency Spare parts trending,
representation purchases TCO Response purchased, equipment
Analysis Planning baseline vibration histories
signatures, oil
Post-Market sampling
Support
Philosophy
Automation Automation Automation Team Automation Project Approved Approved System Validation Support
Automation Project Project Approach Org Chart Execution Plan Automation Detailed Design Plan
Assessment Functional Specification
cHAZOP
Worksheet Automation Automation Project Specification
Project Schedule – Schedule – Level III Approved Project Approved System
OOM Level I Valve List System Detailed Configuration
Automation Automation System Design Specification Specification
Approved Project
Cost Automation Cost Arch. Dwg – Rev A
Instrument List
Worksheet Worksheet tool System Software
Project Equipment System Architecture Configuration Commissioning
Automation List Dwg(s) Rev 0 Specification Support Plan
Resourcing & Post Project
System Sch. Wiring
Staffing Plan Project Valve List Review (1& 3
Diag(s) Rev 0
Year)
Automation Project Instrument System Panel Layout
Technical Scope of List Dwg(s) Rev 0
Work
System Cable
Automation
Schedule(s)
Automation User Resourcing &
Requirements Staffing Plan : Rev A System Panel
Template Specification(s)
Automation
Automation
Functional
System Arch. Dwg
Specification(s)
- Concept

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A Fully Integrated Global EAM Service Provider [ 46 ]
An ABS Group Company
Key Elements for Success: Reliability Based Maintenance
FMEA Process
Organize Key
Populate FMEA
Stakeholders
Worksheet
(or Team)

Utilize Genesis
PM
Review Worksheet
Identify Equipment Optimization
with Key Stakeholders.
Asset
Revise as needed. Tool

No

Gather baseline
Information – operating
No
performance, failures, Yes
Is Worksheet as Perform Gap Analysis
repair time & costs, etc.
Complete as (current Practices vs.
Possible? best practices) - PM
Optimization

Develop Functional Yes

flows & Prepare
Functional Flow Implement
Diagram Optimized
Is Equipment Maintenance
Redesign Required Program (PM, PdM,
No Operator care)

All Critical
Elements Measure Equipment
Identified? Develop scope & Reliability
Justification For Improvement.
Redesign & Seek Document all work in
Approvals CMMS equipment
history

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A Fully Integrated Global EAM Service Provider [ 47 ]
An ABS Group Company
Key Elements for Success: PM Optimization
Live Life at the Top of the P-F Curve

Life at the Top

• Time to Plan & Schedule
• Parts can be Ordered
• Less Parts On Site
• Less Costly Repairs
• Less Impact on Operations
• Time & Data to Analyze Failure
• Less Rework

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A Fully Integrated Global EAM Service Provider [ 48 ]
An ABS Group Company
Key Elements for Success: Planning and Scheduling
Planning and Scheduling Efficiency
Typical Job Planned On-the-Run
Planning
Activity
Same job if Effectively Planned & Scheduled Work
Activity

Typical Maintenance Craftsman’s Day Reactive WITHOUT Proactive with

Planning & Planning &
Planned & Scheduled vs. On The Run Scheduling Scheduling
Receiving instructions 5% 3%
Obtaining Tools and materials 12% 5%
Travel to and from job (both with and w/o tools and materials) 15% 10%
Coordination Delays 8% 3%
Idle at job site 5% 2%
Late starts and early quits 5% 1%
Authorized breaks and relief 10% 10%
Excess personal time (extra breaks, phone calls, smoke breaks, slow return 5% 1%
from lunch and breaks, etc.)
Sub-Total 65% 35%

Direct actual work accomplished (as a % if whole day) 35% 65%

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A Fully Integrated Global EAM Service Provider [ 49 ]
An ABS Group Company
Key Elements for Success: MRO Supply Chain
MRO Program Critical Spares Analysis
 Critical spares are often time slow moving and may be seen by upper
management as unnecessary. Due to long lead times the risk- reward
analysis is warranted.
 What is the annual use or MDBF ?
 What are the operating requirements ?
 What are the consequences of downtime ?
 What is the critical spare cost including holding cost ?
 How often can the item be repaired ?
 What is the lead time ?
 What is the repair lead time ?

 Analyze the cost of investment (stocking) versus the

consequence (business impact) for Inventory Optimization

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A Fully Integrated Global EAM Service Provider [ 50 ]
An ABS Group Company
Key Elements for Success: Planning and Scheduling
Maintenance Planning Activities
 World Class Planning will serve to eliminate the inherent losses
associated within a Reactive Maintenance organization.
 All non-emergency work such as PM and PdM must have detailed Job
Plans. These Job Plans will include:
 The required materials

 Maintainer craft skill requirements It is essential to have

 Number of maintainers assigned appropriate Planner to
 Tool and equipment requirements Maintainer ratio to avoid
P&S program failures !
 SMART job tasks (i.e. Torque specs)

 LOTO, PPE requirements

 OSHA, DEC, EPA or other Federal & State requirements

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An ABS Group Company
Key Elements for Success: Maximizing Return on Investment
ROI Model - Plant Pharma/Life Sciences

Proactive Labor maintained at > 80%

347
A Fully Integrated Global EAM Service Provider [ 52 ]
An ABS Group Company
Key Elements for Success: Maximizing Return on Investment
ROI Model - Plant Pharma/Life Sciences

Critical Equipment downtime reduction > 40%

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A Fully Integrated Global EAM Service Provider [ 53 ]
An ABS Group Company
Key Elements for Success: Maximizing Return on Investment
ROI Model - Plant Pharma/Life Sciences

85% reduction in downtime; 30% increase in production output; 27% decrease in operating costs

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A Fully Integrated Global EAM Service Provider [ 54 ]
An ABS Group Company
Asset Management Master Planning
Example of Global Deployment Results

• Maintenance Excellence umbrella applied across

different businesses
• Proactive maintenance labor percent was
increased and sustained at >80%
• Manufacturing Investigations relative to Facilities,
Equipment, and Critical Systems reduced by 60%
• Critical production equipment downtime reduced
by >40%

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A Fully Integrated Global EAM Service Provider [ 55 ]
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Asset Management Master Planning
Questions

Contact Information
Mike Greenholtz Quinton GoForth
VP, Reliability Solutions Manager, Reliability Services
[email protected] [email protected]
(914) 393-1501 (810) 397-1360

Genesis Solutions.com - ABS Consulting.com

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A Fully Integrated Global EAM Service Provider [ 56 ]
An ABS Group Company
 Efficientt Real-W
World Contamminatio
on Conttrol of
Hydraaulic Flu
uids
Conddition Mon itoring all ows evalua
ation of staatus of systtem compoonents, fluiid
con dition and leads to im
mplementa ation of Preedictive Ma aintenancee programss

Dan
D Zoller
oup Product Manager Filtter Systems
Gro
oeder Industrries / HYDAC Internationaal
Schro

Contaamination con ntrol is an imp

portant part of
o operating aand maintain ning hydraulicc systems. It sstarts
with the identification and measure ement of the different formms of contam mination. Folloowed by strattegies
to improvve fluid condittion and conssequently exttend life expeectancy of fluiid and equipm ment resulting in
significantt cost savingss. An approacch has to be developed
d forr an efficient, real-world m
method of
controlling and maintaaining acceptaable contamin nation levels..

Types of Contam
mination
Various types of coontamination d power systeems: gaseouss (e.g. air), liquid (e.g. wateer)
n occur in fluid
and solid contaminants. Solid contaamination is subdivided
s intto three grou
ups: extremelyy hard, hard aand
soft particcles. Extreme
ely hard particcles can cause
e substantial damage in fluuid power sysstems if they are
not removved as quicklyy as possible. Preventive measures
m can reduce the ingress of con ntaminants in
systems.

An oftten overlooke ed source forr premature fluid degradattion and conssequent systeem damage iss
heat. Thiss is especially important if the tanks size
e is small andd the fluid doees not have eenough time tto
properly cool
c down.

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 An avverage health
hy human eye e can see item
ms down to appproximatelyy 40 μm (Micrrons) in size. In
compariso 8 μm in size.. Particles thaat cause problems in high performing, h
on, a human hair is 70 to 80 high
pressure hydraulic
h systtems are in th
he range of approximatelyy 5 to 15 μm. 1 μm is equal to 0.001 mm m or
0.000039 Inches.

The objective of th
he ISO 4406:1 ulic fluids. Particle
1999 is to classsify particulaate contaminaants in hydrau
counts are
e determined d cumulativelyy, i.e. > 4 μm,, > 6 μm and > 14 μm, andd coded for eaasy compariso on.
The follow
wing table exp
plains how th
he ISO code iss determined for a particullar fluid samp ple:

Source
es of Conta
amination
The soource for particulate contaamination is often
o found rrelated to thee tank itself; u
un-cleaned taanks
put in use
e (filled with fluid
f without cleaning tankk), dirt added during mainttenance cyclees, tank open to
the enviro
onment and missing
m or low
w quality air breathers
b on ttank. New flu uid is generallly dirtier than
n
what a system, and spe ecific compon nents in the system,
s wouldd require for proper perfo ormance and//or
adequate life expectan ncy. Over time e, pipe scale (rust), pump wear and dirt on rods/cylinders add
contamination to the fluid.
f

Water in the hydraaulic systems can be cause

ed by moisturre from ambieent air, leakagge of cooling
systems or
o process water, leakage of
o seals and chemical
c proccesses such ass combustionn, oxidation and
neutralizaation.

Design issues in the hydraulic syystem can contribute to aiir/gases in hyydraulic fluidss. If the return
n line
is above the a can be mixxed into the ffluid. Incorrecct motor speeeds, unprimed
t fluid level in the tank, air
pumps, su uction lines to
oo small, sucttion lifts too high
h and bloccked inlets aree among otheer reasons forr air
contamination over tim me.

Reliable Plant 2013 – Schroeder/HYDAC

353
Influen
nce of Con
ntaminatiion
In hyd
draulic system
ms, 70 to 90%
% of wear and failure is conntamination rrelated. Only 10 to 30% can be
traced back to misuse, defects or agge. Contamination cannot be stopped, only slowed down!

System efficiency can

c drop by up u to 20% beffore an operaator even deteects a problem, such as
cylinder drift,
d eering, erraticc operation orr slower perfoormance. Oveerall, contamination resultts in
jerky ste
shorter seervice intervals, higher ope erating costs and lost prodductivity.

Hydraaulic component clearance es are critical and require sstrategic filtraation designss to remove
dual hydraulicc componentts are shown in the
damagingg particles. Critical clearancces for individ
table belo
ow:

Particculate contamminants circulating in fluid power system ms cause surfface degradattion through
general mechanical
m weear (abrasion,, erosion, and
d surface fatiggue). This wear causes increasing numb bers
of particle
es to be formed, the resultt being that wear
w increasees if the “chain reaction of wear” is not
properly contained
c (byy reducing contamination). Gaps grow llarger, leakagge oil flows increase in sizee and
operatingg efficiency (e.g. of pumps,, cylinders) de
ecreases.

Free Wate
er causes:

• Corrosion: Corrrosion pits, rough surfaces and releasee of abrasive fflakes into the fluid
• Microbial
M colonization / Baccteria: Odors,, acids, slime,, and health p
problems
• Lo
oss of lubricitty: Free waterr enters contaact loading zoones, allowingg opposing su
urfaces to craash
to
ogether, results in high fricction, wear an
nd seizure
• Additive depleetion: Free waater retains polar additivess

Dissolved Water is resp

ponsible for:

• Faaster oil oxidaation: Accelerrates this form

m of oil degraadation, leadss to oil acidityy, thickening,,
vaarnishes, sluddge & resins
• Reduced Fatigue life: Propaagation of fatiigue cracks inn metals
• Demolition of Ester-based fluids
f and add ditives: Reactting with esteers – hydrolyssis, results in
fo
ormation of acids, gels, and loss of addiitives
Air effects:
• Oil
O oxidation: Mostly
M oxyge
en reacts with
h oil resulting in prematuree degradation
n (oil aging)

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 • Varnish formation (oil aging)
• Cavitation: Formation and collapse of gaseous oil cavities causes decrease in pump efficiency
and damage to pumps
• Noise and increase of temperature result in dynamic operating problems and system stiffness
reduction
• Micro-Diesel-Effect
• Change of viscosity

Real-World Approach to Contamination Control

The real world approach to contamination control involves fluid diagnostics and treatment. The
objective of diagnostics, or Condition Monitoring, is measuring and determining the status of system
components and fluid health to prevent failure, optimize maintenance practices and fluid processing
and/or replacement intervals. It allows moving the maintenance procedure in a plant from a reactive
(failure oriented) to a predictive (status oriented) one.

Reactive maintenance (failure oriented) has high

overall associated costs, mainly due to production failure
and unplanned services. Preventive maintenance (time
oriented) reduces the overall costs by focusing on
scheduled services. These scheduled services might be
premature and not yet needed, adding unnecessarily to
the costs. This is where Condition Monitoring comes in. An
investment in Condition Monitoring equipment allows the
monitoring of equipment and fluid to determine the status
and schedule maintenance accordingly.

Benefits of Condition Monitoring:  Reduced unscheduled downtimes

 Reduced loss of production
 Reduced consequential damage

In a plant setting, Contamination Monitoring involves a Contamination Sensor that measures the
cleanliness of the fluid and determines the corresponding ISO Code along with a Water Sensor that
measures the water concentration of the fluid in % saturation (relative humidity). The diagram below
shows the placement of two sensor combinations placed in a hydraulic system. The one to the left
monitors the fluid condition coming from the pump and detects improper fluid filtration (return filter) or
problems with the pump (wear and tear). The system pump provides the flow for the sensors while the
system is in use.

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355
 On the right, the saame sensor combination
c is shown, but this time in ccombination with an
independent pump. Th his system (Co
ontaminationn Sensor Mod ule) does nott depend on tthe hydraulic
system to
o supply fluid for monitorin
ng, but workss consistently and indepenndently. It mo
onitors the flu
uid in
the tank directly.
d

How to measure
m fluid contaminatio
c on (ISO Code) – Use of Lighht Obscuration principle:

On-lin
ne or portable e particle cou
unters apply the same lightt obscuration
n principle forr measuring
solid particles in hydraulic fluids and
d for determiining the
ISO code.

The fluid passes th

hrough a light barrier. A shadow is
created on the photod diode if a partticle (black) co
omes
between the
t light sourrce and the photo detector. This
shadow causes the ele ectric signal emmitted by the e sensor to
change. This
T change caan be used to o determine th he size of thee
shadow cast by this paarticle and thuus the particlee size to be
determine ed. This proce
edure enable es the cleanlin ness classes
accordingg to ISO 4406::1987, ISO 4406:1999, and d NAS 1638
or SAE ASS 4059 if required, to be acccurately dete ermined.

The “noise” involved in this measurement principle is

extraneouus liquids andd gases which cause the ligght beam to
be interru
upted and thu us be counted d as particles.. Proper fluid conditioningg before particle counting iis
very impoortant (e.g. usse of the Conttamination Se ensor Modulee). The particcle counter shhould be calib
brated
accordingg to ISO 11943 3 (for ISO 440
06:1999).

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 On-line Contamination Sensor: Portable Contamination Sensor:

TCM/CS1000 with display, shown with TMU/FCU1000 shown in field application for
TWS/AS1000 Aqua Sensor, mounted on a instant fluid check. It measures ISO Code and
manifold block with flow control valve. water concentration in % saturation.

The design and efficient operation of hydraulic systems depends on three steps:

1. Assess system requirements: Determine TCL (Target Cleanliness Levels) & current conditions
and evaluate all sources of contamination & current protection in place
2. Recommend optimum components for performance and longevity: High efficiency depth
elements and addition of on/off-line filtration loops & high performance breathers
3. Monitor & Maintain fluid characteristics, cleanliness and water content: Contamination
Monitoring devices & supplement monitoring techniques (lab) and portable off-line and fluid
handling filtration loops

Assess system requirements:

Determine TCL (Target Cleanliness Levels) based on most sensitive system components, system
pressure and environmental conditions. Refer to the table below for guidance. Keep in mind that the
Micron ratings of the filter(s) in the system have a great influence on what ISO Target Levels can be
reached:

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357
 Remark: Use manufacturer’s recommended guidelines for system cleanliness when available

Determine current fluid conditions based on particle contamination levels (ISO Code), fluid water
concentration and fluid health (aging, remaining life and sampling changes over time). Particle
contamination and water concentration can be determined by implementing on-line or portable
monitoring devices (sensors). Fluid testing in lab settings is recommended for oil aging parameters,
fluids chemical composition, how it changes over time and as control measurements.

After evaluating all sources of contamination such as Dirt, Metal Particles, Water, Gases/Air and
Heat, evaluate current protection in place:

• Pressure and return line filters

• Off-line filtration loops (Kidney loop systems)
• Breathers – High integrity and desiccant types
• New oil protection – Treatment, transfer, polishing
• Monitoring (sampling) and change-out schedule

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 Recommend optimum components for performance and longevity:

Use high efficiency depth filter elements for optimized and efficient filtration of hydraulic fluids.
When choosing a filter, and specifically an element, look for:

• High ßx-values
• High ßx-value stability
• High dirt holding capacity
• Low long term pressure drop
• High collapse stability

Bottom Line: Use high quality filters in Filter Carts, Kidney Loop Systems, Pressure/Return Line
Filters, Dehydrators, etc., for best results!

Addition of on-line filtration loops to maintain fluid condition:

 On-line Filtration – Kidney Loop  Dehydration Units: Water,  Filter Coolers: When
Systems: Used for solid particulate gaseous and solid particle heat is a problem.
filtration in fluid transfer and on removal.
tanks/reservoirs.

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359
 All openings on the hydraulic fluid tanks must be covered and high
performance breathers should be added. Air Breathers come in a wide
variety, such as spin-on types for easy replacement, with filler basket and
most importantly, desiccant types for water vapor removal of the outside air
being sucked-in.

Monitor & Maintain fluid characteristics, cleanliness and water content:

Contamination monitoring devices:

 Portable & In-Line Contamination Sensors: Portable Particle counters are ideal for plants with
many small machines or for field service of mobile equipment. Contamination Sensors
permanently installed are perfect for larger, critical systems where constant monitoring is
required.
 Water Content Sensor: Measures water saturation in %. A reading of 100% indicates the
presence of free water in the fluid/system and must be avoided. For fluids in hydraulic tanks
with normal temperature ranges (fluid cooled down) a water saturation below 40% should be
maintained.

Supplement monitoring techniques, like regular fluid sampling and lab

analysis provide additional information beyond contamination:

 Additive depletion
 Contamination > Check in-plant readings
 Water content (ppm) > Check in-plant readings
 Viscosity
 Wear metals
 Trending from periodic sampling

Portable off-Line and fluid handling filtration loops can be used on multiple machines if
contamination levels suddenly rise:

 Fluid Transfer Carts: Solid  Hand-held Filter Unit:  Dehydration Units: Water,
particle removal Solid particle removal gaseous and solid particle
removal

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Fluid Treatmen
T t in Plantt Settings
New fluid,
f delivere
ed by your supplier, is gene erally not cle an enough foor immediate use without prior
filtration and
a treatmen nt. In general,, modern hyd draulic systemms demand flu uid cleanlinesss of ISO
16/14/11. New fluid de elivered in baarrels could be as dirty as IISO 23/21/188. If the fluid is delivered in
na
tanker truuck, the cleannliness might be ISO 20/18/15. The bestt cleanliness llevels can be expected if the
fluid is de
elivered in a mini-containe
m r with an ISO 17/15/13. Evven this fluid is one ISO claass above thee
target cleanliness levels required.

Handling of new fluid in a plantt involves seve eral points off contact betw ween receivin ng and hydrau ulic
reservoir (point of use). At each step in the process, the fluid should be filttered either b by permanen ntly
installed filters
f or by filter carts usin
ng high efficie
ency filter eleements. If thee systems requires ISO
16/14/11 cleanliness le evels, than thhe fluid shouldd be filtered tto ISO 14/12//9 in the fluid
d storage tankk. As
a general rule, the fluidd should be processed
p to target
t level mminus two ISO O levels. This ccan be achievved
by addingg a Kidney Loo op System on the fluid storage tank thaat will polish tthe fluid to reequired ISO leevels:

Filter systems with h dual filters, so called Stagged Filtrationn, is preferred moval of larger
d. It allows rem
particles in the first filtter and smalle n the second ffilter. E.g. a 110 Micron element in the ffirst
er particles in
filter and a 5 Micron element in the om filling-up prematurely and
e second filterr prevent thee first filter fro
allow elem ment change intervals to be b aligned mo ore closely onn both filters. In addition, tthe first filterr can
be equipp ped with a waater absorbingg element if the t fluid has hhigh water co ontent.

Finallyy, the hydrau ulic system resservoir (or hyydraulic syste m itself) shou
uld be monito
ored with
particulatte and water contaminatio
c on sensors, an nd dehydrato rs should be used to main ntain a low waater
saturationn level at all times.

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361
 In many cases, only a single pre essure filter iss used in a hyddraulic circuitt to protect the equipmennt and
to clean the fluid. This one filter is responsible
r foor 100% of th e work and there is no back-up of any kind.
If the filte
er is filled-up, and consequ
uently goes to o by-pass, thee fluid is not ffiltered and th
he system is n
no
longer pro otected. A balanced appro oach would be e adding a Kiddney Loop Syystem on the fluid reservoiir
and, in the best case, a system return filter as we ell.

A Kidnney Loop Systtem is continuously workin ng 24/7 with constant flow w and is not influenced byy
pressure and
a flow variations that arre present in a typically hyydraulic system. Thereforee, the filter wo
orks
very efficiiently in remooving particle
es and ends up in providingg about 75% oof the work (removing of
particles),, while the prressure/system filter now handles abouut 25%.

Summaryy of ideal fluid

d handling con
nfigurations:

 When
W receivin ealed, reliablee connections
ng fluids, insure positive, se
 In
nsure tanks an nd piping/tub bing connections are tight
 Do not allow system (e.g. taank) to be open to atmospphere any lon nger than necessary to make
co
onnections an nd disconnections
 Bag and cap co onnection ports after each h fill or transfeer operation on cart and o
on system sup pply
annd receiving containers.
c
 Saample fluids in
i storage tan nk periodicallyy – anticipatee ingression
 Replace filter elements
e regu
ularly when indicator tripss
 Have transfer filters
f locatedd close to systtem fill point (minimize immpact of ingreession along tthe
path from storrage to criticaal system)
 Se
et up filtration (off-line) to
o achieve the target ISO coode minus two code requirred by the
hyydraulic/lubee system

Contact Inforrmation
 Dan
D Zoller, Group Productt Manager Filtter Systems

DZolle
er@schroede
erindustries.co
om, Cell 1-41
12-290-4749

 Glenn
G Bauern
nfeind, Product Manager Filter System
ms

ell 1-412-995--0175
[email protected], Ce

 Kristine Miku
ulan, Productt Manager Filtter Systems

Kristin
ne.Mikulan@ m, Cell 1-610-577-5082
@hydacusa.com

Sourcce Information
n: HYDAC Inte bach, Germany
ernational, Filter Systems GmbH, Sulzb

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 Environmentally Safe Lubricants in Industry
Mark Miller
RSC Bio Solutions
Terresolve Technologies

Ensuring responsible use of lubricants to avoid environmental damage is an ongoing responsibility.

As operators are working in a variety of industries look to use more environmentally safe fluids, it is
important to understand the benefits and constraints of the various types of biodegradable fluids
available. This paper examines differentiators for all “readily biodegradable” fluids. Only “readily
biodegradable” fluids, which break down quickly when they enter the environment, were considered for
this paper. “Inherently biodegradable” fluids, which require long-term remediation due to
environmental persistence, were not considered. The following is a summary of the types of readily
biodegradable fluids and the results found for each fluid.

Base Fluid Classification

There are four main classifications of environmentally preferable fluids as defined by ISO 6743/4.
They are HETG-vegetable based; HEPG-glycol based; HEES-ester based; and HEPR-PAO and other
synthetic based.

Conventional Vegetable Based Fluids (HETG)

Early work in the field focused on lubricants made from vegetable oils (natural esters or HETG).
Vegetable Based Fluids are readily biodegradable but their performance is most suited to cool and dry
operating conditions. Equipment operators must take care to ensure that such parameter boundaries
are not violated. HETG fluids can typically only withstand operating temperatures under 180°F-200°F.
As a result, Vegetable Based Fluids, when exposed to heat, will oxidize rapidly and therefore will have a
limited life expectancy. Another issue with the Vegetable Based Fluids is that they become unstable
when exposed to wet environments or contaminated with water. These fluids should be utilized in light
duty applications with controlled environments and relatively short change-out intervals.

Synthetic Esters (HEES)

The second phase of bio-development focused on Synthetic Esters (HEES). This classification of
fluids is one of the most common synthetic biodegradables in the market. The strengths and
weaknesses of synthetic esters are also well known and well documented.

Similar to Vegetable Based Fluids, Synthetic Esters are readily biodegradable. Synthetic Esters also
perform well in standardized oxidation tests, which determine the life of the lubricant under test
conditions. When new, clean, cool and dry, Synthetic Esters offer excellent performance.

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 Esters are synthesized by the reaction of a triglyceride (typically vegetable oil) with an acid and an
alcohol. This reaction makes the ester and forms water and heat as by-product. Expressed chemically:

Vegetable Oil + Alcohol + Acid ↔ Synthetic Ester + Water + Heat

The double-headed arrow indicates that the reaction goes both directions. Therefore, when water is
present, the reverse reaction occurs and is known as hydrolysis. This reforms the alcohols, acids and the
triglycerides. In machine service, the acids can cause rust and wear, seal degradation, and corrosion to
yellow metals. Consequently, ester based fluids must be maintained in a cool, dry state to obtain
maximum performance. Consequently, because of harsh production environment (hot, wet, dirty),
Synthetic Esters may not perform as well in some industrial applications, regardless of their
biodegradability characteristics.

Poly Glycol (HEPG)

PAG fluids offer a wide range of performances and characteristics. Chief among them are the ability
to absorb water and the ability to resist flame. This characteristic, however severely limits its use in
some industrial applications since it draws water into the system and can create rust and wear. From a
performance perspective, they are frequently incompatible with conventional materials and need
special seals and filters. In addition, they are incompatible with conventional lubricants and a complete
flush is required to change over. From an environmental perspective, if PAGs enter the environment,
they will disperse in the water reducing the ability to clean up the fluids.

PAO Based Fluids (HEPR)

The remaining classification is the HEPR group. This classification embodies fluids derived from PAO
base stocks, such as the Bio-polyolefin. One distinct advantage of PAO based fluids is that they can be
tailor made to fit specific requirements. These fluids do not hydrolyze (break down when mixed with
water) and, as such, they are much more stable in hot, wet conditions. Bio-polyolefins are typically
compatible with Buna N, Viton, and all common elastomers as well as adhesives used in filters. With
stability, seal compatibility and biodegradability at a high performance level, a drawback is its high price
base versus other fluids.

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Class Type Base Fluid Typical Seal & Hose Water Limitations Application
Performance Compatibility Tolerance

HETG Triglyceride Vegetable Varies Mixed Medium Water, Heat Light Duty,
(Vegetable) Short change
out, low
temperature.

HEPG Poly glycol Glycol Weak Very Poor Miscible Incompatible Fire hazard,
(PAG) with many seal specially
materials. designed
Absorbs system
moisture. Prices
vary

HEES Synthetic Synthetic Mixed Very Poor Very Weak Hydrolyzes in If dry, high
Ester water. Creates performance.
acids.
Expensive.

HEPR PolyOlefin Synthetic Excellent Excellent Excellent Expensive Heavy duty,

and others chance of
contamination

Table 1. Performance of Classes of Environmental Oils

Table 1, above, shows the various performance characteristics of the different classes of
environmental fluids and where each should be utilized. From it, the reader can see the broad
differences among the types.

Based on the extensive findings, we can conclude that biopolyolefin synthetic biodegradable oils
perform best in fluid power industry applications, whereas the other three types of fluids are too weak
to perform well in these very specific applications.

Field Performance
In the past, there have been several well know issues with environmental fluids. As such, many
operators are concerned with their durability and are hesitant to utilize them. In order to demonstrate
that these fluids have improved significantly, 2002 a long-term field environmentally friend fluid trial
was initiated in 2002 with major marine contractor. All performance aspects were recorded and logged
for over 20,000 hours. The central hydraulic system and axillary systems were evaluated. The finding,
over the length of the test, was that the fluid and system performed perfectly, showing no wear,
oxidation, or breakdown of any kind.

As importantly, the contractor was able to reduce operating costs by over $150 thousand per year
by reducing down-time from valve sticking, and reducing fines. Over the long term additional savings
were recognized because they were able to reduce leakage and were able to extend to fluid life to over
twelve years. (See Chart 1 below)

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 Chart 1 Cost savingss on field demo
onstration 200
02.

Since then, several contractors have expanded the use off biodegradab ble products tthroughout their
fleets including, craness, pile drivers, dredgers, workboats
w andd many otherr systems.

Investiing in Bio
odegradab
ble Fluidss
c of petrolleum productts, biodegrad able lubricants cost more than conventtional
Despite the rising cost
products on a per galloon basis. The reason for thhis is they starrt with more expensive baase fluids and
utilize mo
ore expensive e chemistry th
hat will delive
er the performmance requireed without reeducing
environmental benefitts.

e long-term, the initial inve

In the estment is sm
mall when com mpared to thee cost of finess and clean-up in
the case of
o a spill and the
t overall en nvironmental impact. In mmost cases of o oil leaks or sp
pills, major fin
nes
and clean-up costs can n be greatly reeduced or elim
minated by u sing readily b biodegradablee fluids.
Environmentally safe fluids
f do not have to tradee performancce of the equiipment for en nvironmental
responsibbility and can, in fact, incre protect better than
ease overhaul interval timee. The fluids p
conventioonal petroleum oils and can extend macchinery life. FFor example, if an equipmeent superviso or can
increase overhaul
o interval time by even
e one year, they can saave tens of thhousands, if not hundreds of
thousands of dollars.

Readily biodegradaable lubricantts can save time, money a nd protect th he environmeent; however,,
they mustt be properly maintained. Since the keyy to long fluidd life and top--tier performaance is keeping
the fluid clean
c and dryy, proper filtraation is essential. As fluid ppower engineeers consider adopting theese
readily bio
odegradable fluid solution ns, these findiings are cruci al to observee before making the
best choicce.

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366
About The Author

Mark Miller (better known as The Biodegradable Oil Guy) is the Executive Vice President of RSC Bio
Solutions/Terresolve Technologies, a Cleveland-based company that provides non-toxic, biodegradable
lubricating products. Mr. Miller has a B.S. in Chemical Engineering from Tufts University and an M.B.A.
from Manhattan College. He has engineered, sold and marketed lubricants and lubricant additives for
over 30 years.

Founded in 1996 and based in Ohio, Terresolve Technologies, a Cleveland-based company, is

dedicated to providing non-toxic, biodegradable lubricating products that deliver exceptional
performance. Terresolve’s biobased and biodegradable fluids have been extensively proven in the lab
and in the field and are renewable, support the agrarian community, and meet federal guidelines for
environmentally preferable purchasing. For more information about Terresolve, field test results and
all of its environmentally friendly products, visit their web site at www.terresolve.com or call
(800) 661-3558.

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 Expectations vs. Reality
– How well does your filter perform?

Dr. Christian Bauer, Pall Corporation

368
 Introduction

• Two questions:

1. Do we know how well a filter is performing over the

course of its service life?

2. Will a filter close to change-out still adequately protect

the fluid system it is installed in?

369
 Contents

• Filtration performance testing and documentation

– ISO 16889 Multi-pass Test
– SAE ARP 4205 Cyclic Stabilization Test
• Deep dive into test data
– Comparison of different filter elements with
same micron rating
• Summary

370
 Filtration Performance

• As a filter element gets loaded

with particulate contamination, its
filtration efficiency degrades
– Effective channel size distribution
shifts towards a coarser mean channel size,
• Smaller channels tend to load earlier than larger channels due
to the size distribution of typical contaminants in fluid systems
• Filtration performance standards, such as the ISO 16889
multi-pass test, determine the filtration ratio as an average
over the test time

371
 Filtration Ratio (Beta Ratio)
Number of upstream particles x μm(c) and larger
Filtration ratio ßx(c) =
Number of downstream particles x μm(c) and larger

500
1000
particles β5(c)= =2
500
>5µm(c)
1,000
particles
>5µm(c)
1
1000
particle β5(c)= =1,000
1
>5µm(c)

372
 Filtration (Beta) Ratio vs. Particle Size

• It is typical to designate filter performance in terms of a

‘single point’ filter rating, e.g. Beta = 1,000
373
 Multi-pass Performance Test (ISO 16889)

• Quantifies filter element performance in terms of:

– filtration efficiencies (measured as filtration ratios)
– dirt capacity under standardized test conditions
– Differential pressure loading curve
374
Multi-pass Test Report

375
 Deep Dive – Filtration Performance vs. Test Time
downstream ISO 4406
filter βx(c) =1000 βx(c) @ 6 µm(c)
cleanliness code
element @ x µm(c)
10% life 50% life 80% life 10% life 50% life 80% life
A 6.4 941 575 580 16/10/0 16/11/2 16/11/4
B 7.6 785 299 211 16/10/7 17/12/6 17/15/5
C 7.2 1440 440 152 17/10/0 18/12/0 18/13/2

• Data obtained by multi-pass performance testing, in

accordance with ISO 16889, but with ISO FTD test
contaminant
• Filter elements tested had same dimensions and rating
• Upstream ISO 4406 cleanliness code: 22/20/16

376
Number of Critical Size Particles Downstream

377
 Equipment Component Life Extension Chart*

* Reference: Noria Corporation

378
 Cyclic Stabilization Test (SAE ARP 4205)
Flowmeter Downstream
Sample
Test Dust Slurry

Automatic
Particle
Counter
Test Filter
Reservoir
Bypass Valve

Automatic
Variable Upstream
Particle
Speed Pump Sample
Counter

379
 Cyclic Stabilization Test (SAE ARP 4205)
The Cyclic Stabilization Test (CST) is a more recently introduced industry standard
that allows evaluation of the effects of cyclic flow and low contaminant loading
rate, more representative of field conditions, on the performance of filters,
especially hydraulic filters.
How the Test is Performed…
• Multi-pass test stand modified for cyclic
flow (25 % to 100 % of rated flow)
• Filtration ratios are recorded under cyclic
flow conditions
• Contaminant injection is stopped at two
points (2.5% and 80% net filter element
differential pressure)
• Filter is allowed to clean up system to
stabilized cleanliness levels
• Stabilized cleanliness levels (ISO Codes)
are recorded
380
 Deep Dive – Filtration Performance vs. Test Time
downstream ISO 4406
filter βx(c) =1000 βx(c) @ 6 µm(c)
cleanliness code
element @ x µm(c)
10% life 50% life 80% life 10% life 50% life 80% life
A 5.8 3640 1640 807 14/8/1 14/10/0 15/11/3
B 9.9 1140 198 46 14/9/5 16/12/6 18/14/5
C 9.2 1730 125 27 16/9/1 17/12/0 19/15/1

• Data obtained by cyclic flow multi-pass performance

testing, in accordance with SAE ARP 4205
• Filter elements tested had same dimensions and rating
• Upstream ISO 4406 cleanliness code: 21/19/15

381
Number of Critical Size Particles Downstream

382
 Equipment Component Life Extension Chart*

* Reference: Noria Corporation

383
 Summary
• Filtration performance naturally degrades over the service life of a filter element
– Smaller channels tend to load earlier than larger channels due to the size distribution of typical
contaminants in fluid systems
– Release of previously captured particles due to system stresses
• Filter ratings are typically based on an average filtration ratio (β ratio)
– ISO 16889 Multi-pass Test
• New test methods evaluate filter performance under conditions more representative of
field service
– SAE ARP 4205 Cyclic Stabilization Test
• Filter elements with the same micron rating can perform very differently
– Particularly under cyclic flow conditions (e.g. hydraulic systems)
– Design and construction affect how quickly filtration performance degrades
• Filter performance tests provide additional information
– Performance stability, by downstream fluid cleanliness levels
• Useful tool when selecting the right filter for the application

384
Questions

385
1/18/2013

your global specialist

Reliable Plant 2013

Food Grade Lubricants – What you need to know

386
1/18/2013 / Slide 2

How Important is Lubrication?

LUBRICANTS ARE INTEGRAL MACHINE ELEMENTS!

Equipment will not function satisfactorily without adequate

lubrication.

Longterm or lifetime lubrication is the expectation today and

can be achieved by improved machinery design combined
with synthetic lubrication technology.

Inadequate lubrication may result in component failure, lost

production, quality defects, delivery problems, lost
customers and HIGH OPERATING COSTS! $$$

387
1/18/2013 / Slide 3

Agenda

• Terminology – Tribology, NSF 3H-H1-H2 etc, CFIA

• Lubricants – Synthetic vs. Non-Synthetic

• Best practices – Storage, Labelling, Miscibility, etc

• Oil Analysis – How to, Purpose

• ISO 21469 – What you need to know

388
15.02.2013 / Page 4

Terminology

389
1/18/2013 / Slide 5

Tribology

• What is tribology?
• The study of friction, wear, lubrication, and the design of bearings
• The science of interacting surfaces in relative motion.

Mixed friction:
The surfaces are in partial contact.
Wear is usually within acceptable limits.

Boundary friction: Fluid friction:

Highly loaded, slow moving. The surfaces are completely
Wear is excessively high. separated by a lubricating film.
390
1/18/2013 / Slide 6

Food grade lubricants

Certify lubricants for use in the food & pharmaceutical environment

3H: Release Agents (Direct Contact)
H1: Lubricants with possible food contact
H2: Lubricants with no possible food contact
H3: Soluble Oils
Unregistered lubricants may contain excluded ingredients

Lubricants are NOT food ingredients

and should be treated as oil & grease
for handling and personal contact
391
15.02.2013 / Page 7

Lubricants: Mineral vs. Synthetic

392
1/18/2013 / Slide 8

Different Types of base oils

Natural oils Synthetic oils

Vegetable oil Synthetic Hydrocarbon (PAO)

Mineral oil Polyglycol (PG)

White oil Perfluoropolyether (PFPE)

393
1/18/2013 / Slide 9

Oils

Unit of viscosity = centistoke (mm2/s measured at 40°

°C)

32 46 68 100 150 220 320 460 680 1000 1500

Hydraulics

Air line Compressor Gearbox

High speed Medium speed Slow speed

394
1/18/2013 / Slide 10

The Viscosity / Temperature Relationship

Mineral oil
Synthetic Hydrocarbon oil (PAO)
Silicone oil

Temperature

395
1/18/2013 / Slide 11

Test results for Mineral, PAO & Polyglycol gear oils

396
15.02.2013 / Page 12

Best Practices

397
1/18/2013 / Slide 13

O of lubrication – General good practice

X Never mix Food Grade and Non Food Grade Lubricants.

X Keep separate labelled grease guns/oil cans for Food Grade and Non Food Grade oil.

X Do not mix different kinds of lubricants.

X Never use higher viscosity oil, then the required in gear boxes as it could result in heat buildup
and higher energy consumption.

X Please do not judge the type of lubricant based on colour.

Colour is not an indication of a lubricant being good or bad.
Colour does not impart any lubricating properties to a lubricant.

X Do not agitate or stir the lubricant with foreign objects.

X Do not leave unopened containers; replace lids, screw fittings etc immediately.

398
1/18/2013 / Slide 14

Best Practice on Storage

Proper identification

• Color coding ( refer to dispensing, avoiding mistakes )

• Type – brand – internal order code
• Viscosity
• Application point
• Date of reception & of first use

Storage in proper environment

• Clean dedicated luberoom, not outside

• Complete segregation of H1 and Industrial lubricants
• Constant temperature & humidity
• Away from dirt causing production environment
• Use of proper absorbents ( no pellets, sawdust )
• Use of regulatory spill-retention equipment

399
1/18/2013 / Slide 15

General information - miscibility of base oils

400
1/18/2013 / Slide 16

Is it OK to mix greases?

401
1/18/2013 / Slide 17

Oil handling equipment

Dust and Dirt

Water

Scale

Corrosive compounds

Old oil dispensers are an under-rated link

in the machinery reliability chain

A major cause of bearing failure is lubrication contamination!

402
1/18/2013 / Slide 18

Personal Hygiene

The following measures should be closely followed:

• Wash hands regularly - before and after work

• Use sterile gloves and equipment when handling lubricants
• Advise appropriate personnel if spillage(s) occur
• Avoid prolonged and / or repeated contact with skin
• Remove soiled / soaked clothing immediately
• Don’t carry oily rags in pockets
• Dispose of used product / containers according to company / legislative
regulations

For further information,

refer to the Material Safety Data Sheets

403
15.02.2013 / Page 19

Oil Analysis

404
1/18/2013 / Slide 20

Oil Service Life

Parameter
Oil ageing may result in:
• change in viscosity
• reduced corrosion protection
• tendency to pitting formation
• reduction of scuffing load
capacity
• increased wear

The service life of the gear oil can be identified by the

following parameters:
• Change of viscosity
• Neutralisation number NZ or TAN ac. to DIN 51 558,
ASTM D 974
• Water content ac. to Karl- Fischer
• Degradation of additives IR, OES & ICP
spectroscopy
• Amount of wear debris OES & ICP spectroscopy
405
 1/18/2013 / Slide 21

Ensure that hose end is not in pump;

In oil reservoirs take sample from
middle level and not the top or
bottom of the gear box/hydraulic unit
406
 1/18/2013 / Slide 22

Don’t put contaminants into the

sample jar; Take representative
samples only; Use clean sampling
containers and sampling devices only

Flushing of sampling point:

reject the first small oil quantity taken
and use the following oil as sample
to be filled into the sample jar
407
1/18/2013 / Slide 23

Required sample quantity:

approx. 70 ml
(sample container 2/3 to full)
408
1/18/2013 / Slide 24

Oil Service Life

Guideline for Limiting Values for Gear Oil
formulated
limits remarks
gear oils
for known filled-in viscosities a
Viscosity, ∆ν 40 m /s 2
± 10 % ± 20 % limit of 15 % could be forseen
oil change recommended
NZ, mg KOH/g 0,5 - 6 ∆1-2 oil change recommended
Water Content, % < 0,02 < 0,05 - 3 check the system, filtration
Elements
Fe, ppm nn 100 - 1000 check the system, filtration
Cr, ppm nn 10 - 20 check the system, filtration
Pb, ppm nn 20 - 50 check the system, filtration
Cu, ppm nn 50 - 1000 check the system, filtration
Sn, ppm nn 20 - 50 check the system, filtration
Al, ppm nn 20 - 50 check the system, filtration
check the system, filtration
Si, ppm nn 10 -50
silicone is used as anti-foam
if higher concentrations are
Mo, ppm 10 - 2000 10-50
measured, Mo is used as an additive
Mg, ppm 10 - 2000 drop of 20 - 30 % oil change recommended
Zn, % 10- 2000 drop of 20 - 30 % oil change recommended
P, % 10 - 3000 drop of 10 - 20 % oil change recommended
Cleanliness level No requirements -
19/15 check the system, filtration
ISO 4406 15/12

409
15.02.2013 / Page 25

ISO 21469

410
1/18/2013 / Slide 26

What is ISO 21469?

NSF certification restricts it’s scope to the formulation and intended use of the lubricant product.
The individual product is certified.

ISO 21469 considers all aspects of the hygienic manufacture, packaging & storage of lubricants.
The production site is certified to manufacture a specified list of products, there are NO individual
product certificates.

411
1/18/2013 / Slide 27

Summary – Lubrication

• Key to successful lubrication is:

• 1- Getting the right lubricant

• 2- In the right place
• 3- At the right time

• Benefits of correct lubrication supports:

• Safety of the food product

• Reliability of the machines
• Reduced unplanned stoppages
• Increased output

Let all be active in supporting successful lubrication

412
1/18/2013 / Slide 28

Contact Information

413
1/18/2013

your global specialist

Thank you very much.

414
 FRACAS – Anatomy of a Failure
Jim Taylor, CRE, CPE, CPMM

Abstract
One of the most difficult steps in failure analysis in a facility or industrial setting is capturing good
data about the failure. This paper proposes a way to capture and store that data either automatically
or with minimal effort. The data can then be used to support failure analysis and corrective action.

Key Takeaway
If we make an effort and have a plan, we can capture the information needed for good failure
analysis

The Scenario
You work in a small to medium size facility or plant. You’re a Maintenance professional: an Engineer,
a Maintenance Manager, Supervisor, Planner, or Crafts Person. You’d like to do good failure analyses
when you have an equipment failure but you find you just don’t have the right information to do it.

The needed information is available. You just have to develop a plan to capture it. We can define this
information in a number of ways.

Some of you may feel what I’m proposing is unrealistic and undoable. But I think as our SCADA
systems improve, this will become possible and imperative. Not just to find the causes of an individual
failure, but to allow effective reliability engineering to improve machine availability, product quality,
customer service and ultimately profitability.

Event data
The first classification of data we need to collect is information about the event itself. To put the
information in context, let’s look at how the event evolves.

An event occurs
When the event first occurs, it may or may not be observable by the operator. And it may or may not
be recorded by the SCADA. But the operator will eventually observe the event. If he cannot restore the
process himself, he’ll initiate a trouble call. As part of the trouble call, he should capture and report the
complaint code. The complaint code should be picked from a predefined list and should convey what he
observes. The operator also should record any other symptoms’, unusual conditions and what the
machine was doing when it failed. If the operator does not report it, then the dispatcher should request

Reliable Plant 2013 Conference Proceedings |

415
it. It’s important to capture this information along with any narrative connected to it that further
explains the complaint. Then the Craftsperson is dispatched.

Craftsperson arrives
Upon arrival at the site, the Craftsperson will observe and record the as-reported condition, the
symptoms of the failure and will begin troubleshooting. When she has completed diagnosis, she should
record the as-found conditions and capture the failure code. Again, this code should come from a
predefined list and should be amplified by narrative remarks. She should also collect any damaged parts
and protect them from further damage.

The Craftsperson then initiates parts procurement

Logistics delay
Logistics delay is normally thought of as the time required to locate the required parts, including
procurement time and delivery time. The delivery time should end when all parts arrive at the machine.
But it also includes the response time from the time of the trouble call till the Craftsperson arrives at
the site.

Repair & restoration

Once all the parts are on site, the Craftsperson completes the repair. Again, she will capture the
Repair Code and the narrative account of troubleshooting steps taken. She then proceeds with testing
the system. If the test shows a need for further repairs, they should be made and the required
information captured.

Process satisfactory and stable

Once the test is satisfactorily completed and the process is satisfactory and stable, the repair is
considered complete. The operator and the craftsperson should compare notes and add any additional
narrative information. They should be responsible for the completion of the workorder.

Time data
A very important piece of information for FRACAS in particular, and reliability engineering in general,
is the times of, or more precisely, the duration of failure events. Examples are response time, logistics
delay time, and repair time.

Event time
The actual time of the failure may or may not be recordable. The SCADA system may be the best way
to record this. The reaction time of the operator to the failure may not happen until a later time if it is a
hidden failure that does not constitute a single-point-failure. The time between the failure time and the
operator observing the failure is important to capture as it may indicate a need for better measures for
the process that will reduce the reaction time.

| Reliable Plant 2013 Conference Proceedings

416
 After the operator observes the failure and completes his immediate actions to prevent further
damage and loss of quality produce, s)he notifies maintenance. The Notification time is recorded on the
trouble report along with the complaint code and any narrative information. This information is
provided to the craftsperson upon dispatch.

The time of the arrival of the craftsperson at the site is recorded along with any unforeseen delay (for
example, lack of transportation, or time to find specialized tools). This time, along with notification time,
gives the response time of the maintenance department. This time is useful for improving the
response time.

Logistics delay time

If the parts are not immediately available, there will administrative, ordering and delivery time to be
captured. Ideally, you should capture the time the order is placed, the time it’s transmitted to the
vendor (either internal or external), the time the parts arrive on the loading dock and the time the parts
arrive at the job site. From these times you can calculate ordering time, waiting time and delivery time.

Repair & restoration times

Repair and restoration time include the time required to troubleshoot the problem and determine
the parts needed, and the time to perform the repair and test the system after the parts arrive.

So the times that should be captured are the time the craftsperson started diagnosis, the time
diagnosis was complete, the time the repair was started and the time the test was started. The time the
test was satisfactorily completed, and the time the system was back in service and stable.

As found conditions
As found condition include any damaged parts or produce, operating conditions prior to the failure,
and interviews to collect narrative information.

Equipment condition
Operating conditions include thing like RPM, voltage, amperes, power, pressure, speed, etc. many of
these are collected by the SCADA, but you ensure the SCADA keeps a recording that will be preserved in
the case of a failure

Product conditions can provide useful information. How the product was damaged or was out of
specification may point to particular causes.

Narrative observations
In addition, interviewing the operator may reveal useful information. Find out what he observed,
heard, smelled or felt. Did he see any unusual conditions prior to or during the failure?

Interview the craftsperson (after he completes trouble shooting, and possibly repairs). Questions
similar to those asked of the operator will reveal useful information. You should also interview any
bystanders or others who may have information.

Reliable Plant 2013 Conference Proceedings |

417
Physical evidence
Collect all physical evidence. This includes broken parts, damaged product, and anything else that
may be related to the failure.

Will this give us all the information we need to perform an

effective failure analysis?
Lack of good failure analysis means we’ll continue to loose productivity and profitability because
we’ll be fighting same failures over and over. Develop a plan to capture the right information. With the
right information, you can do effective failure analysis.

The key to an effective failure analysis is having the right information

| Reliable Plant 2013 Conference Proceedings

418
FTIR Spectroscopy – A Misunderstood
Lubricant Analyses Tool

Dave Wooton
Wooton-Consulting, Beaverdam, VA USA
[email protected]

Dave Hilligoss
PerkinElmer Instruments, Venice, FL
[email protected]

419

© 2013 Wooton-Consulting – All Right Reserved

 FTIR Spectroscopy

Source
Detector

 IR radiation is passed through a sample. 85

80

• Some of the radiation is absorbed by the 70

4248.07cm-1
3812.33cm-1
3645.27cm-1
2336.65cm-1
1667.31cm-1
1541.54cm-1

sample

Concentration
1744.57cm-1
60 620.67cm-1
4036.88cm-1 1802.26cm-1
1870.33cm-1 943.21cm-1
841.54cm-1
1942.56cm-1

• Some of it is passed through (transmitted). %T

50

3101.82cm-1
1312.08cm-1
1003.33cm-1

1181.47cm-1
1328.30cm-1
1582.96cm-1 1154.48cm-1

The resulting spectrum

40
1371.84cm-1 965.15cm-1
1069.11cm-1

 906.89cm-1
30

Plot of Chemistry vs concentration

3001.33cm-1

• 20 Chemistry
1028.36cm-1

Creating a fingerprint of the sample.

3081.67cm-1 540.29cm-1

• 10 2849.39cm-1

3025.42cm-1 1601.10cm-1
1451.86cm-1 757.15cm-1
2923.83cm-1 1492.95cm-1
3059.64cm-1 699.00cm-1
0
-2
4400 4000 3000 2000 1500 1000 500450
cm-1

420

2
 Vibrational spectroscopy

• Measure the frequencies and intensities of absorption of light by molecular

vibrations
• The vibrational spectrum of a molecular species is an excellent “fingerprint”

• Also sensitive to broadband absorption and scattering (e.g. soot!)

• Not sensitive to: metals, some inorganics, trace components (can measure
tens of ppm but only in favourable conditions; typically 0.1%+)

421
 56
Infrared Spectrum = X,Y data graph
50

45

40

35
Transmittance Spectrum
30
•Peaks point downwards
%T

Amount

25
•Small peaks emphasized
20
%T = 10-abs
15

10

5 Chemistry
-0
-1
4000 3500 3000 2500 2000 1750 1500 1250 1000 750 500
3.6
3.4
3.2
3.0
2.8
Absorbance Spectrum 2.6

•Peaks point upwards 2.4

•Linear with concentration 2.2

2.0
A

1.8
Abs = Log(100/%T) 1.6
Amount

1.4
1.2
1.0
0.8
Chemistry
0.6
0.4

0.2
4000 3500 3000 2500 2000 1750 1500 1250 1000 750 500
cm-1
422
 Concentration
• Beer-Lambert Law
– (also known as Beer’s Law)
– Concentration relationship to peak area (or peak height)
• Absorbance = Constant * pathlength * Concentration
– This relationship is with the Absorbance and not the
Transmittance
– Using the same sample cell – makes the pathlength constant
– Plot measured
absorbance against
concentration
• Straight line for the
calibration

423
 FT-IR Spectrum
New Crankcase Oil

44.0
ZDDP(P=S)
40
Detergent’s
35 1773 Carbonate

30 Succinimide
Succinimide
3648 Dispersant Dispersant 654
25
868
%T 20
Phenolic Antioxidant 1704
15 1158
1230
1169
10
978
1494
5 Detergent’s 1366
Sulfonate ZDDP (P-O-C)
Carbonate
0.2 Detergent
4000.0 3600 3200 2800 2400 2000 1800 1600 1400 1200 1000 800 600.0
cm-1

424
 FT-IR of Gear Oil
Succinimide Dispersant

105.5
104
102
1648
100
98 1706
96 1733 1232 971
1198 1035
94 SIB
1062 815
%T 92
90 Polymethacrylate VII
1112
893
88 1153
Phosphate
86
SIB SIB
84
Phosphate
82

79.5
1771 1700 1600 1500 1400 1300 1200 1100 1000 900 800 738
cm-1
.

425
 New vs In-service Samples
59

55

50

45

40

35

30
%T

25

20

15

10

-0
-1
4000 3500 3000 2500 2000 1750 1500 1250 1000 750 500 450
cm-1
Name Description
rpvot dry cat deo 108 9 5 2012
Cat deo new 9 5 2012

426
 ASTM E2412
• Condition Monitoring of in-service Lubricants
– Water
• What does it see
• Interferences
– Soot Loading
– Oxidation
– Nitration
– Antiwear Components (Phosphate based, typically ZDDP)
– Gasoline
– Diesel (JP-5, JP-8)
– Sulfate by-products
– Ethylene Glycol Coolant

427
 ASTM E2412
3.0

2.8

2.6

Sulfate/Oxidation

Phosphorus Antiwear
2.4

2.2

2.0

Nitration
Oxidation
1.8

1.6
A

1.4
Water

1.2 Soot
1.0

0.8

0.6

0.4

0.2
0.1
4000 3500 3000 2500 2000 1750 1500 1250 1000 750 650
cm-1
Name Description
Spectra of Oils Obtained using the E2412 (JOAP) Method
235PAT65-128_B350-36235-0070
236PAT257-289_B350-36236-0265

428
 Standard Methods
ASTM D02.96.03
FTIR Testing Practices and Techniques Related to In-Service Lubricants

• E2412 Condition Monitoring of in-service Lubricants

• D7214 Oxidation Peak Area Increase

• D7418 Set-Up and Operation of the Instrument

• D7412 Phosphate Antiwear Additives
• D7414 Oxidation
• D7415 Sulfate By-Products
• D7624 Nitration
• D7844 Soot

• D7686-11 a Fixed-Filter Infrared (IR) Instrument

429
 ASTM D2412 Fuel Dilution method

• FT-IR reports fuel as

aromatic area calculation
between 820 – 800 cm-1

• Differences in aromaticity of Aromatics Comparison of Group I, II, & III Base Oils
base oils for reported fuel. 0.379
0.37
Group I
• If aromaticity increases from 0.36
base oil 0.35

– This will be reported as false 0.34 Group II

positive fuel.
0.33
A

• If the fuel has no aromatics 0.32

– This will be reported as a false 0.31

negative 0.30

0.29
Various
Group III ‘s
0.28
0.275

430
 ASTM E2412 Fuel Dilution
Showing the method has serious errors.
FT-IR Fuel Calibration (ULSDF) Using Group III Base Oil and Comparing
a 0% Group I Base Oil containing 0% no diesel fuel.
0.433
15% false positive fuel result due to change in aromaticity

0.42
Group I with 0% ULSDF
0.41

0.40

0.39

A 0.38

0.37

Group III – 7% ULSDF

0.36

0.35
Group III overlay with 0, 1, 3, 5, 7 ULSDF
0.34 Group III – 0% ULSDF
0.334
839.7 835 830 825 820 815 810 805 800 795 790 787.4

431
 D7844-12 Soot
• Soot levels in engine oils rise as soot particles contaminate the oil from
exhaust gas recirculation or a blow-by.

• Interferences
– High levels of water (>5%) will interfere with the soot measurement in
internal combustion engine crankcases. Other interferences include high
levels of sludge or insolubles. These interferences will increase the
measured soot values.
• Reporting units
– 100*absorbance per 0.1 mm pathlength

• High Soot Values

– In samples where the value for soot >150 Abs./0.1mm
• corresponding to approximately >3% soot
– It is necessary to dilute the oil sample with the new oil or mineral spirits prior to
analysis to obtain reliable results.

432
 D7844-12 Soot
2000 cm-1
4.1
4.0

3.5

3.0

2.5
0% Soot
0.5% Soot
A

2.9% Soot9
2.0
4.5% Soot5
6.7% Soot
1.5

1.0

0.5

0.2
4000 3500 3000 2500 2000 1750 1500 1250 1000 750 650
cm-1

433
 Calibration - TGA
• D7843 Soot Abs value can D7844 Soot
be converted to % soot using
a calibration curve 8
y = 0.0212x - 0.2815
7 R² = 0.9849
6

• Measured soot values can 5

be obtained using 4

%soot
3
ThermoGravimetric Analysis 2

(TGA) 1

0
0.00 50.00 100.00 150.00 200.00 250.00 300.00 350.00
-1
• Commercial Soot standards Abs

are also available

434
 D7414-09 Oxidation
• This test method not applicable for ester based oils, including
polyol esters or phosphate esters.

• Interferences
– Esters and carboxylic acids
• Dispersants, viscosity index improvers, pour point depressants, and rust inhibitors
– Oils mixed with any synthetic ester based oil products
– High levels of water contamination and soot will also interfere with the
measurement of oxidation.

• Effects of Oil Formulation

– The compositions of various oil formulations can have an effect on the
results reported for oxidation value, and values from two different oil
formulations should not be compared.
– Results should be interpreted relative to values measured for unused oils
of the same formulation or trended directly from the sample history.

435
 Effects of Oil Formulation
New Diesel Lubricants
Oxidation Region Additive Elemental Analyses
B Mo P Zn Ca Mg
Sample 1 71 79 1559 1645 2623 702
67
Sample 2 0 0 1382 1563 2656 24
Sample 3 5 0 1471 1469 3520 15
65
Sample 4 0 0 1129 1411 3148 12
Sample 5 3 0 1371 1562 3258 23
60

55

50
%T

45
Sample 1
Sample 2
40 Sample 3
Sample 4
Sample 5
35

30

27
1882 1850 1825 1800 1775 1750 1725 1700 1675 1650 1625 1600 1575 1550 1528
cm-1
436
 Is it Oxidation or Additives?
61

55

50

45
1771.4

40
1738.3
35

30
%T

25

20 1705.1

In-service fluid
15

10

0
-1
4000 3500 3000 2500 2000 1500 1000 500 450
cm-1

437
 Is it Oxidation or Additives?
61

55

50

45
1771.4

40
1738.3
35

30
%T

25

20 1705.1

In-service fluid
15 New Fluid

10

0
-1
4000 3500 3000 2500 2000 1500 1000 500 450
cm-1

438
 Is it Oxidation or Additives?
60

55

50

45 1771.4

40
%T

1738.3

35

30 In-service fluid

25

20 1705.1

18
1839 1800 1750 1700 1650 1600 1557
cm-1

439
 Is it Oxidation or Additives?
Note peak width of the in-service fluid has grown
On both sides of the Major peak
60

55

50

45 1771.4

40
%T

1738.3

35

30 In-service fluid
New Fluid

25

20 1705.1

18
1839 1800 1750 1700 1650 1600 1557
cm-1

440
 Severe Base Oil Oxidation

99.8
90
80
70
60
%T
50
40
3414.51
30
20 939.99
1377.66 722.58
10 1710.07 1459.89
2923.82 2854.25
1174.61
4000.0 3600 3200 2800 2400 2000 1800 1600 1400 1200 1000 800 650.0
cm-1

441
 D7624-10 Nitration
• This test method is for petroleum and hydrocarbon-based
lubricants and is not applicable for ester-based oils,
including polyol esters or phosphate esters.
• Interferences
– 6.1 Very high water levels can interfere with the nitration
– measurement.
– 6.2 Conjugated ketones, quinones, unsaturated carboxylic
– acids and carboxylic acid salts (formed due to the reaction of
– acids with overbased oil additives) are also sources of interference.
– 6.3 Some aromatic compounds may interfere as well.

442
 Nitration Calculation
0.36
Nitration
0.35

showing additional olefin chemistry ASTM D7624 Nitration

0.34

0.33

0.32

0.31
A

1631.4

0.30

0.29
1648

0.28 1640.1

0.27

0.26
1690 1680 1660 1640 1620 1600 1586
cm-1

ASTM E2412 Nitration

D7624 Reported Nitration in Abs/cm

Nitration measured in Abs/0.100 mm * 100

E2412: Report value as measured

443
D7412 Phosphate Antiwear Additives

• Antiwear Components
– (Phosphate based, typically ZDDP in crankcase and
hydraulic)
• Chemistries
– ZDDP
– Alkyl-Phosphates
– Alkyl-ThioPhosphates

444
 D7412 Application
P-O-C of ZDDP
94.2

• This method is designed 90

659.41

for crankcase 85 669.08

1229.99 1157.78 865.48

applications
815.03
80
963.41
%T
75

70 In-service Crankcase Lube

• However it is valuable 65

for Hydraulic and gear 60.9

1293.7 1250 1200 1150 1100 1050 1000 950 900 850 800 750 700 650 600 568.1

chemistry as well 44
cm-1

43

In-service Gear Lube

42

41

40

39

38

37
%T

891.99cm-1
36

35

34

33 965.45cm-1

32

31

30 1109.09cm-1
1120 1100 1075 1050 1025 1000 975 950 925 900 875 850 825 816
cm-1

445
 61
Hydraulic – Product Life
60

55
• What is the Expected Life of a
50
3649 cm-1 Fluid
45
• Hydraulic Fluids experience
40 – Oxidation increases
35
– Antioxidant Depletion
– AW depletion
30
%T

25
969 cm-1
• This fluid shows some AW
depletion
20

15
• It shows
10 – minimal oxidation increase
– minimal AO depletion
5

0
-1 46
4000 3500 3000 2500 2000 1500 1000 48
500450
cm-1 44

60.6
42
60.0

59.5
40
59.0

58.5
38
58.0
%T

57.5 36
%T

57.0

56.5 34
56.0

32
55.5

55.0
Phenolic Antioxidant
54.5
30

54.0 Antiwear P-O-C 969 cm-1

53.8
3737 3700 3649c
3650 m-1 3600 3550 3525 28
cm-1

26
25
1216 1200 1100 1000 900 800 747
cm-1

446
 D7415 Sulfate By-Products
• This is the least understood • Interferences
Standard – Esters, polyols, glycols and
– It is the most misused alcohols
– Yields the least information – Most synthetic fluid
• It was originally designed for high – Oxidation by-products –
Sulfur Diesel applications
– Because of these
– Today most are ultra-low diesel
interferences, the low levels
fuel
of sulfate by-products
– Measures the combustion ingress
associated with the use of
of sulfuric acid
low-sulfur fuels for
– The same area is observed C-O
from oxidation, esters and polyol
combustion cannot be
• Today’s application this is
adequately measured.
actually a second oxidation
area

447
Spectral Interpretation Methods

448
 Some General Trends
• Stretching frequencies are higher than corresponding
bending frequencies
– It is easier to bend a bond than to stretch or compress it.

• Bonds to hydrogen have higher stretching

frequencies than those to heavier atoms.

• Triple bonds have higher stretching frequencies than

corresponding double bonds
– which in turn have higher frequencies than single bonds
• except for bonds to hydrogen.

449
 Spectral Regions
• Absorption bands in the 4000 to 1450 cm-1
– usually due to stretching vibrations of diatomic units
– sometimes called the group frequency region

• The complexity in the 1450 to 600 cm-1

– makes it difficult to assign all the absorption bands
• because of the unique patterns found there
– it is often called the fingerprint region.

450
C H H C
C H
C C C
C H H
H H
H
CH2 Asymmetric CH3 Asymmetric
2925 10 cm-1 2960 10 cm-1

C H C H

C C
H
C H
H
CH2 Symmetric CH3 Symmetric
2855 10 cm-1 2870 10 cm-1

451
 C H
C H
C
C
C H H C
CH2 Deformation
~1463 cm-1 CH2 Twist
~1250 cm-1
H
H H H
C
C
C C
C H
C
CH2 Wag H
~1250 cm-1 CH2 Rock
~722 cm-1

452
 Alkane and Alkene

101.7

90

1065.79 794.50
80

70 1271.66 910.27 769.16

1074.85 990.28
965.19
60 1337.76 1045.33
%T 889.78864.51
50 1658.86
Aliphatic C=C C=C-H & C=CH2 wag
40 724.77
CH3 Sym 1404.93
C=C-H
30 1379.50 (CH2)x Rocking
2874.02 CH2 Sym
20 CH3 Asym 3015.49
2860.53 CH3
2957.45 Deformation
2871.39 CH2 Asym 1459.15
10
2924.14 CH2 Deformation 690.36
2.4
4000.0 3600 3200 2800 2400 2000 1800 1600 1400 1200 1000 800 605.0
cm-1

HEPTANE
CIS-2-HEXENE

453

36
 Base Oils
Hydrotreating effects

1604.43

813.31

%T

4000.0 3600 3200 2800 2400 2000 1800 1600 1400 1200 1000 800 600 450.0
cm-1

Group III
Group I
Group IV PAO

454

37
 What is FTIR spectroscopy
Oxidation C=O
59

55
Aromatic C=C
Aromatic CH
50
Succinimide Dispersant

45

40

35
Phenolic OH
30
%T

Aromatic
25 ring
bending
20

15 ZDDP P-O
Oxidation C-O

10
Sulfonate S-O
-(CH2)x-
5 Polymethacrylate VII

-0
-1
4000 3500 3000 2500 2000 1750 1500 1250 1000 750 500
cm-1
CH2, CH3 CH2 CH3

455
 Synthetic Fluids
• The term ‘Synthetic” doesn’t necessarily eliminate
FTIR Spectral analyses

• Often the term synthetic on the sample definition

implies that the FTIR analyses is limited.
5.1
5.0

4.5

4.0

3.5

3.0
A

2.5

2.0

FTIR Spectra of Phosphate 1.5

Synthetic Lube Breakdown

Water for Synthetic Lube

Phosphate Ester - new
Phosphate Ester – In-service

Ester lubricants 1.0

0.5

0.1
4000 3500 3000 2000 1750 1500 1250 1000 750 500 450
cm-1

456
 Group V Fluids
• Ester based
– Type I – Diester
• Mostly used as partial synthetic
– Type II – Polyol ester (POE)
• Jet engine, Compressor, Fire Resistant
• Phosphate Ester
• Fire Resistant, Jet engine
• PolyAlkylene Glycol (PAG)
• Critical Gear, Critical warm gears, Compressor, Fire Resistant, Dry Cleaning
• EcoSafe, UCON
• Silicone
• Very high temperature, very low temperatures, Compressor, Specialty greases
• Alkylated Naphthalenes
• Mobil I
• Alkyl Phthalate
• SpecialtyTurbine

457
 “Synthetic Fluids”
60

55

50

45

40

35

30
%T

25

20

15

10

0
-1
4000 3500 3000 2500 2000 1750 1500 1250 1000 750 500450
cm-1
POE Synthetic Compressor Oil

EP Synthetic - (Partial Synthetic)

Transmission Fluid

Synthetic Motor Oil (Alkylated Naphthalenes /PAO)

Power steering fluid (PAO fluid)

458
 “Synthetic Fluids”
3.9

3.5

3.0

POE Synthetic Compressor Oil

2.5
EP Synthetic - (Partial Synthetic)

Transmission Fluid
2.0
A

Synthetic Motor Oil (Alkylated Naphthalenes /PAO)

1.5 15w40- Synthetic Power steering fluid (PAO fluid)

1.0

0.5

0.0
1888 1800 1750 1700 1650 1600 1550 1506
cm-1

459
 Contamination Example
%T

Transmission contaminated with Grease

Transmission fluid
new grease

4000 3500 3000 2500 2000 1750 1500 1250 1000 750 500 450
cm-1

460
 Contamination Example
%T

Transmission contaminated with Grease

Transmission fluid
new grease

4000 3500 3000 2500 2000 1750 1500 1250 1000 750 500 450
cm-1

 Note if you are using the standard E2412 analyses this contamination is Not
Observed
 No Soot
 No unexpected increase in Oxidation (there is some typical fluid oxidation)
 No Nitration
 No Phosphate AW (actually the AW has already depleted)
 No Sulfate
461
Thank You….Questions??

462
 Getting to Effective Preventive Maintenance
John Crossan, Randy Quick

Even still in today’s world, many plants continue to perform maintenance in a mostly reactive mode
where it seems impossible to find time and staff to get essential PM work done.
This is the work that would let them move to the more reliable, effective and overall better world of
proactive maintenance.

Some typical characteristics of this reactive world are:

• Mechanics spend most of their time responding to trouble calls. Without effective PM
inspections, the first indication of an issue is usually a breakdown of some kind.
• Operators automatically call for maintenance if they have issues which may be
equipment malfunction or simply adjustment. Operators are not expected,
encouraged or trained to be self-sufficient or even to contribute. There is no
structured operator involvement in eliminating issues or making improvement
• Repairs are made in a “Fix and Forget” mode. Permanent follow up repairs to
emergency work seldom occur and unless the event was catastrophic , there is no
analysis or follow up action to prevent future occurrences
• Can’t seem to find time to get PM work done. Typically maintenance personnel are
too busy with repairs or operating issues or “high priority” work, or the equipment is
not available for maintenance when they are.
• Only a small percentage of any scheduled work gets done. Emergency work or poorly
prioritized other work constantly takes precedence. Unscheduled work is always
highly inefficient and basically wastes valuable maintenance resources. Only where
needed work is identified before a crisis then planned and scheduled, can resources
be properly utilized.
• Only maintenance personnel perform equipment care tasks or inspections other than
general equipment cleaning. Again operators are not expected, encouraged or trained
to perform equipment care.

Characteristics of Successful PM Programs

• Committed Personnel and Equipment Time to PM work.

• Ownership of equipment by ALL. All levels of the organization are constantly involved in and
are responsible for equipment care. It is recognized as an essential part of their function.
• Participation Involvement, Education, Training in equipment care by all is expected,
encouraged and there is structure to accomplish this. Daily issues are reviewed and all are
expected to contribute to permanent solutions
• Fair and Equitable. PM work is fairly distributed and all are expected to do their share.

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 • Relevant and Dynamic PMs are constantly adjusted as permanent solutions to problems are
constantly identified.
• PMs become and are maintained Technically Accurate (Through ongoing dynamic
evolution)

Characteristics of Unsuccessful PM Programs

• Developed And Owned? By Technical Elite Not taking advantage of the capability of a large
part of the organization. Sharing in ownership is essential for effective participation by
operators.
• Owned by Maintenance not Production. Production is responsible for production output
only and has no responsibility for ongoing equipment care. Maintenance in many cases
seems to prefer it this way.
• Minority Participation Equipment care is left to the technical elite. Operational involvement
is not encouraged.
• Mandated Too often PM is looked at as simply defining care tasks and essentially
attempting to force people to perform them, with the completed work order being the
requirement rather than effective equipment care. Generally people will not perform tasks
in an excellent manner unless they see that the task truly has value. This value must be
constantly demonstrated and reinforced. Key to this, needed repairs identified by PM
inspection must be made in a timely manner or this perceived value will be lost.
• Unfair Everyone is expected to participate equally in equipment care work. No one is too
busy to not perform their assigned tasks. Ignoring how important this fairness is to all, will
lead to loss of effective participation.
• Not Dynamic Unless there is constant updating PM s will become outdated, will then lose
credibility and can become irrelevant

Key Mechanisms
• Need To Commit Maintenance Personnel And Equipment To PM To Break Reactive Cycle.
This is a “Leap of Faith” the entire organization must make and commit to.
• Commit Daily Operating Personnel Time And Equipment To CIL (Clean Inspect Lube).. This
aids tremendously with maintenance personnel workload and builds essential operator
ownership and capability.(15min is 3% of a shift)
• PMs Developed Initially By Technical Elite But Reviewed And Adjusted Ongoing From Input By
All.
• Ongoing Structured Daily Review of Issues by Operators and Maintenance is the primary
updating, effectiveness improvement, involvement mechanism.
• Planner/ Supervisor/ Lead Reviews Completed PM Work orders With Mechanics. All
completed PM work orders should have some comments on issues found and follow up
work orders from them. Every PM is important. Corrective work orders are planned and
scheduled.
• An Ongoing Structured PM Training, Auditing Mechanism involving maintenance leads,
supervision, technical personnel to build capability and demonstrate importance and value.

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 Grease – Filling the Void
Lisa Wadlington, Business Development Manager
Shell Lubricants

Throughout my territory, I have witnessed such a lack of basic grease knowledge at customer sites
that equipment reliability is sometimes compromised. During this session, I will share with you some of
the most common grease misapplications.

The actual title “Grease – filling the void”, comes from a technology engineer and lube champion
with whom I have the pleasure of working. In January, this engineer told me a story about a piece of
equipment with brass bushings that required grease. The folks working in the area were not happy
about the mess that the grease was making, so they decided to stop greasing the machine. Well, that
fixed the housekeeping issue. But it wasn’t long before they sought out this engineer to show him the
gold flecks that that were all over the rolls. When they confessed what they had done, he told them that
they would now have to “Fill the Void with Grease”. You see the bushing clearances had gone from 20
microns to 150 microns. Nothing but more grease would fill the void. I asked if I could borrow the
phrase. To fill the knowledge void around grease, we will start with the basics.

Objective 1 – School of Grease with the 3 C’s

So Welcome to “The School of Grease” where we begin our study by taking a look at the 3 C’s of
Grease; composition, consistency and compatibility.

My assistants have passed around individual packets of grease. What can be determined about the
grease by visual inspection? Can you identify the consistency? Or the base oil? Do you know where this
grease is used? Why is it red? Does the dye improve offer any performance features? Other than the
color, visually it is difficult to determine the correct application for a particular grease. A good 70% of
the time, I am asked for “some of that red grease, we use it everywhere”. Yet when I ask what the base
oil viscosity is or the thickener type, I receive a blank stare.

What is the single most important characteristic of grease for proper lubrication? Viscosity. It is the
base oil viscosity that lubricates your application. Selecting a base oil that is too heavy can increase heat
and negatively impact power efficiency and equipment life. Selecting a base oil that is too light, and the
oil may not be able to carry the load leading to premature wear and possibly failure.

Composition –There are many definitions of grease. The sponge analogy remains a good one.
Grease is like a sponge filled with water where the sponge is the thickener, water is the oil containing
performance additives. A more technical definition for grease is a lubricant consisting of a fluid
containing property enhancing additives and which has been thickened by a thickening agent to the
required consistency.

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 Consistency – Consistency refers to how stiff a grease is. Greases range in consistency from being
very fluid like oil to almost solid like a brick. The key is in the ratio to thickener to oil. More thickener
creates a stiffer grease and less thickener makes a softer, more fluid grease. It is important to select the
correct consistency for the grease to stay in your application and let the oil do its lubricating job.
Consider the application when choosing consistency, and refer to your OEM manual.

Classifications range from triple aught (000) to grade 6. Lubricating greases having a consistency of
NLGI 0 or softer are fluid at room temperature and are not likely to exhibit good sealing properties. NLGI
5 or stiffer greases primarily exhibit properties of a solid body at a state of rest.

The NLGI-number is useful to evaluate if the product can be expected to behave as a solid body at
room temperature or if it will flow. It is not an indication of the performance characteristics beyond
stiffness. A high NLGI-number is no voucher for excellent sealing properties, shear stability or load
carrying capacity, etc.

How Is Consistency Measured ?

Consistency is determined by dropping a cone with a well defined weight and geometry during a
period of 5 seconds into an equally well defined cup containing the grease that has been prepared i.e.
worked, smoothed and tempered to 25°C.

The penetration of the cone is measured in tenths of millimetres and the value is then translated
into a NLGI-grade. The measurement can be done before or after working but the reported value is
normally that from working 60 strokes.

Compatibility –It is very important to know which thickeners are in your plant. If they are
incompatible, keep them separated and clearly identify their specific use. One common result of mixing
incompatible thickeners is grease softening.

Objective 2 – Are you lean? Proper Storage and Handling

Sealed drums are still capable of breathing moisture in. Best practices for storage and handling
include:

• Store drums under cover in a dry atmosphere

• Store tubes of grease standing upright with caps on top
• Developed Color Code System for each lube family
• Include different symbols for each ISO Viscosity Grade
• Tag equipment
• Label tanks

Grease bleeds oil. That is normal. The oil is what lubricates the application, so oil bleed is desirable.
When grease bleeds in your storeroom, puddles of oil on the shelves are not desirable. The bleed rate
can be controlled through proper storage and usage techniques.

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 In many plants, the electrical department is responsible for greasing electric motors. This practice
ensures motors are not contaminated with the wrong grease.

High Speed Coupling Grease was presenting a challenge for one of my customers. The lube techs
were using the coupling grease for general plant maintenance. The ISO 3200 viscosity and extremely
tacky grease was put in applications that called for a much lighter ISO grade of 220. This customer chose
to lock up the high speed coupling grease and only the lube techs that are responsible for couplings have
access to the locker.

Objective 3 – Pump it up, proper greasing techniques

A discussion of central grease systems and automatic lubers is beyond the scope of today’s talk. But
we will touch on some key points to look for at your plant.

Manual Grease Guns - There is a plant manager that I know who noticed bearings in his critical
equipment were failing prematurely. He reviewed how to properly grease the bearings with his 2 lube
techs. Then he began to watch what the lube techs were actually doing. He noticed one guy pumping
the bearing full of grease while he was talking on the phone. He walked up and tapped him on the
shoulder. The tech had to put his phone down. The plant manager asked him, “How many shots of
grease did you pump into that bearing?”

When the lube tech could not answer, he was told to clean out the bearing and start again. The
plant manager went one step more, and this one is worth remembering for your toolbox meetings. He
had the lube techs meet him with their grease guns. The plant manager supplied a postal scale and solo
cups. He told the lube techs to put 10 shots of grease into a solo cup. Then they weighed the grease in
each cup and the measurements were different. They could visually see the difference and understand
the importance of paying attention. They do a much better job lubricating machinery with grease now. If
you use this for a toolbox meeting, use different models of grease guns for a dramatic visual impact.

Central Grease Systems - Visualize our original definition of grease, a sponge thickener filled with
oil. Now consider, “How do you pump a sponge filled with oil into a central lube system?”

Work with your grease supplier and your automatic system supplier to ensure that you never have
to choose between the best grease for your application or a grease that will pump the length of the
piping. Let me give you an example to illustrate what I mean, and this example is not uncommon. A
plant had over 300 feet of piping from its bulk grease tank to the various lube points on the line. The
plant located the bulk grease tank indoors, so that helped protect against temperature swings. However,
the pipe diameter was only 1” which was a less than optimum diameter. They were actually limited in
their grease selections by which greases would pump through a 1” diameter pipe over 300 feet in winter
(it is still cold inside an unheated mill in winter). If a 1.5” diameter pipe had been installed, more grease
choices would have been available. Grease pumpability is dramatically reduced in winter. Consider using
a minimum 1.5” if pipe lengths are in excess of 200 feet.

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Objective 4 – Head of the class, single point lubrication
You may be using single point lubricators now. There are many different types and many
manufacturers of these devices. We will take a quick look at the performance advantages of the ones
driven by an electric motor. The electro-mechanical single point lubricator is designed to provide
optimal lubrication to greased machinery components such as rolling element bearings. It provides a
reliable alternative to manual lubrication, a superior solution when compared to gas / chemical type
lubricators and an alternative solution where centralized lubrication systems are not practical. These are
great for pumps, electric motors, conveyors and fans / blowers.

• The reusable Electro-Mechancical Drive Unit is designed to last 3-5 years. The drive unit is
purchased once, and the grease cartridge refills as needed.
• The units offer variable settings so grease cartridges last 1,3, 6, and 12 months providing
precise injections of small grease quantities.
• Labor savings. As part of Preventive Maintenance, the units still need to be monitored (red
/ green lights), but the grease points are taken care of allowing maintenance crews to
spend their time elsewhere.
• Safety is improved by locating units away from dangerous places, bringing them in front
of safety cages, and away from high speed equipment. Some units have enough pressure
that they can be remotely mounted up to 10 feet away. The line will need to be primed
initially with the same grease.
• Some single point lubricators are self-diagnosing. The green light blinks when grease is
being properly dispensed. The red light indicates a problem like a clog in the line, low
batteries or high pressure that is preventing grease from reaching the application.

The biggest advantages we have found with these units have to do with the potential issues of
manual greasing. Tactics overcome:

• Lack of labor resources to do the job

• More urgent maintenance task
• Over or under lubrication – set unit once and it is good to go, replace grease cartridges as
needed
• Introduction of contaminants – units have O-ring seals and water proof caps
• Incorrect lubrication
• Potential personal risk – remote mount the units up to 10 feet away

If you are not using them in your plant, consider trying them on your electric motors and some out
of sight, out of mind applications.

Objective 5 – Common Applications

There are three common applications that most plants share and account for more than 80% of all
the grease used at a plant. Choose the proper greases for these applications and sleep better at night.
They are general purpose, electric motor and coupling greases.

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 General Purpose Grease - Most plants have a “go-to” grease, that multi-purpose standby that is
used for bearings, cranes, pumps, just about everywhere in the plant. Lithium thickeners are normally
used as they are the most compatible.

The grease I am most often asked for is THE ONE grease to handle all a plant’s needs. While not
everyone can do it, we have been able to reduce grease inventory to one grease at certain customer
sites. That grease is a full synthetic, PAO base oil, ISO 220, number 2, lithium complex grease. Can we
recommend this for everyone? Certainly not, but if you love the idea of one grease for all your plant
needs, consider synthetics. It will cost a little more per pound, but it will eliminate inventory and the
possibility of cross-contamination.

Electric Motor Grease –The right viscosity is critical for your motors. If you are using an ISO grade
that is too high (and I have seen ISO 680 base oils used in many plants), excessive energy is being
consumed and bearing temperatures are elevated which will reduce grease life by half for every 15 C
you run over 70 C.

If multiple greases are being used in electric motors around the mill, compatibility is of concern. If
lithium or lithium complex is filled on top of polyurea, the grease may soften and lose shear stability.
You would notice the oil leaking out of the unit and possibly leaking into the stator. In many cases, that
motor will fail due to starvation. Sometimes, the leaks are noticed by the lube techs and the opposite
extreme occurs. Maintenance comes along and over-greases because they noticed the oil leak.

High Speed Coupling Grease -Most greases are not designed to resist separation when subjected to
high centripetal acceleration. The base oil and additives separate from the thickener resulting in
leakage. In addition, the thickener accumulates in the gear teeth. This thickener build-up can cause
bearing failures in the drive motors and work rolls. The real key to coupling grease is that it has the
ability to resist centrifugal separation which requires a special blend of chemistry.

Objective 6 – Knowledge Bowl

At this point, we are going to review what we have learned about grease. We will review a series of
grease application questions for you to test your knowledge.

The purpose of today’s talk is for you to be able to take the information and incorporate it at your
plant. Test your own team and find out how much or how little they know about grease. It will only help
you run more efficiently and reliably, while reducing your grease inventory to those products that you
really need. Thank you for your time, and stop by our booth if you would like more information about
any of the topics we discussed today.

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471
472
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475
 How Clean Fluid Can Extend Component Life
and Provide Cost Savings
Eric Miller

The purpose of this presentation is to enlighten plant personnel on the importance of clean fluid. A
system with clean fluid will not only operate better but the components that make up the system will
have extended life thus reducing any chances of lost production and unscheduled down time. Included
in this presentation are the origins of contamination, how contamination is tested for, instructions on
how to properly read a particle count result, setting target ISO Code levels for systems and showing the
relationship between clean fluid and the extended service components will have due to clean fluid.

What can high contamination do to a system?

Over 75% of system failures are a direct result of high contamination. This high contamination can
clog valves, can lead to pump failures and can also lead to internal wear on system components. If not
monitored and no action is taken, a system can fail and the plant must shut the unit down for
maintenance. This unscheduled down time leads to lost production, increased labor cost and pricey
component replacement. In addition frequent fluid replacement, costly fluid disposal and additional
filter change outs are related to high contamination within a system. These issues will also lead to
unscheduled down time and costing the plant money.

What is considered contamination?

Contamination is essentially any foreign matter that has entered the system fluid or has been
generated within the system fluid. This can be dust, dirt, metal shavings, rubber, welding slag, fly ash,
etc. These types of contaminates make their way into the fluid in various ways but all of them have
devastating effects on components.

Where does contamination come from?

There are 3 basic types of contamination: built-in, ingested and generated. Built-in contamination
is considered any contamination that was left within the system after the piece of equipment was
constructed. This could include welding slag, drill turnings, file shavings, dust and various other forms of
debris. Contamination that is considered built-in is not just limited to the contamination that is left
behind from the construction process; it also includes any contamination that was generated during any
maintenance on a piece of equipment. Removing the inspection plates on gearboxes need to be done
carefully otherwise dirt and debris can enter the system and can cause damage later down the road.

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 Ingested contamination occurs under normal operating conditions while the machine is running.
For hydraulic power units, as the system “breathes” it is moving air in and out of the reservoir. This air
movement can carry airborne particles (dust) into the system fluid. Another example could be rubber
making its way into a gearbox on an extruder machine. These process particles can cause major issues
for components.

Lastly, there are generated contaminates. This type of contamination means the piece of
equipment is generating particles from within. This can occur on internal surfaces through corrosion,
mechanical wear and cavitation. This kind of contamination is not limited to the system but can also
include the oil. As the oil breaks down, it has the ability to form contaminates (sludge, varnish, coke,
etc.). Oil contaminates can cause valves to stick and not work properly.

How does contamination get tested?

Understanding the contamination level within a system is vital to the system’s health. Testing the
fluid of a system is the best way to understand the system’s contamination level. There are two
common, but different, ways to test for particles in the fluid. Both tests are called particle counting.
The first kind of particle counter that we will discuss is the pore-blockage particle counter. This
instrument flows oil through a calibrated mesh screen in which a measurement is taken on each side of
the screen to determine the pressure difference. This method is reliable because it does not count
microscopic water droplets or entrained air as a particle. This method does however estimate the size
distribution of particles.

Laser particle counting is the other common method for testing contaminates in oil. It uses a laser
light source and a photocell detector to count particles. When a particle crosses the light source, it
scatters the light on to the photocell detector. There are limitations to this kind of particle counting. It
does have a tendency to count microscopic air bubbles and water droplets as particles. Also, if an oil is
too dark or is emulsified, it will block the laser from passing through the oil.

How do you interpret a particle count reading?

Particle count readings use the ISO 4406:1999 Solid Contamination Code method. This test uses
1mL of test fluid that is ran through a laser particle counter or a pore-blockage particle counter. A three
digit ISO code reading is given as the result based on the number of particles that were counted at 3
different particle sizes, 4, 6 and 14 micron (µ). Each code reading refers to a range of numbers that it
represents. For instance, a 16 ISO Code reading refers to a range of numbers between 320 particles per
milliliter and 640 particles per milliliter. The table below shows the ISO Code values (Scale Number) and
the range of numbers that each value represents. The higher the ISO Code number, the higher the
contamination level. The lower the ISO Code number, the lower the contamination level.

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 The illustration below shows the 3 digit ISO Code
C readingg: XX
representts the 4 micro
on and larger particles per milliliter, YY
representts the 6 micro
on and larger particles per milliliter andd the ZZ
representts the 14 micrron and larger particles pe
er milliliter.

Let’s take
t a look att some examp w can furthe r
ples so that we
understan
nd particle co
ount readings.

Example 1: A particle count waas ran on a sample and thee results

are as folllows: 4 micro on reading waas at 77,452 particles/mL,
p the 6
micron reeading was at 18,236 particcles/mL and the t 14 micronn reading
was at 1,8801 particles//mL. For the 4 micron read ding, the resuult was
77,452 wh hich falls betw
ween 80,000 and 160,000 thus giving uus an ISO
Code of 23. For the 6 micron
m readin
ng, the resultt was 18,236 w which
ween 10,000 and
falls betw a 20,000 thus giving us an a ISO Code oof 21.
And for thhe 14 micron reading, the result was 1,8 801 which fa lls
between 1,300 and 2,5 500 thus givinng us an ISO Code
C of 18. TThe final
reading foor this sample e will be a 23//21/18. This is how most reports
from labs will display the reading.

Example 2: A particle count waas ran on a sample and thee results

are as folllows: 4 micro
on reading waas at 502 partticles/mL, thee 6
micron reeading was at 121 particless/mL and the 14 micron reeading
was at 18 particles/mLL. For the 4 micron
m readingg, the result w
was 502
which falls between 32 20 and 640 th
hus giving us an
a ISO Code oof 16.
For the 6 micron reading, the resultt was 121 which falls betwween 80
and 160 thus giving us an ISO Code of 14. And fo or the 14 miccron reading, the result waas 18 which
falls betw
ween 10 and 202 thus giving us an ISO Co
ode of 11. Thee final readin
ng for this sam
mple will
be a 16/14/11.

Establiishing tarrget ISO Codes

Particcle counts are
e incredibly usseful howeve er in order to get the full benefit of a paarticle count, they
need to be compared to O Code that is establishedd for each systtem. This tarrget ISO Codee is
t a target ISO
done by evaluating
e eacch system to determine what componeents make up p the system. Each component
wn target ISO Code (system
has its ow m pressure can change thee target ISO Co ode). Looking at the systeem as
a whole, the
t target ISO O Code is set based
b off the
e most sensitivve componen nt on the systtem. As you ccan

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see from the chart below, there is many different target ISO Codes that one can set for any given
system. Understanding what components a system has will ensure good targets are set.

In addition to understanding Component Pressure

the components that make up a Pumps <2,000 psi 2,000-3,000 >3,000
system, one needs to understand Fixed Gear 20/18/15 19/17/15 -
that there are other factors and Fixed Piston 19/17/14 18/16/13 17/15/12
conditions that can affect the Fixed Vane 20/18/15 19/17/14 18/16/13
target ISO Code for a system. Some Variable Piston 18/16/13 17/15/13 16/14/12
of these conditions may include Variable Vane 18/16/13 17/15/12 -
how critical the system is to the Valves
plant, ease of maintenance, Cartridge 18/16/13 17/15/12 17/15/12
system/component location, fluid Check Valve 20/18/15 20/18/15 19/17/14
type, is there excessive vibration, Directional (solenoid) 20/18/15 19/17/14 18/16/13
high particle ingression and various Flow Control 19/17/14 18/16/13 18/16/13
other conditions. The target code Pressure Control (modulating) 19/17/14 18/16/13 17/15/12
should be lowered 1 code for each Proportional Cartridge Valve 17/15/12 17/15/12 16/14/11
of the listed conditions (this is just a Proportional Directional 17/15/12 17/15/12 16/14/11
Proportional Flow Control 17/15/12 17/15/12 16/14/11
short list of conditions and many
Proportional Pressure Control 17/15/12 17/15/12 16/14/11
more exist and are plant specific).
Servo Valve 16/14/11 16/14/11 15/13/10
To understand this further, let’s Bearings
look at a couple examples. System Ball Bearing 15/13/10 - -
A runs at 1,000 psi and uses Gearbox (industrial) 17/16/13 - -
standard AW 46 hydraulic fluid. Journal Bearing (high speed) 17/15/12 - -
This system is important but it Journal Bearing (low speed) 17/15/12 - -
won’t shut the line down if it were Roller Bearing 16/14/11 - -
to fail. It has a fixed gear pump Actuators
which has a target ISO Code of Cylinders 17/15/12 16/14/11 15/13/10
20/18/15 and two proportional Vane Motors 20/18/15 19/17/14 18/16/13
Axial Piston Motors 19/17/14 18/16/13 17/15/12
directional valves that have a target
Gear Motors 20/18/14 19/17/13 18/16/13
ISO Code of 17/15/12. Because the
Radial Piston Motors 20/18/15 19/17/14 18/16/13
valves are the most sensitive
Test Stands, Hydrostatic
components on the system, the
Test Stands 15/13/10 15/13/10 15/13/10
target ISO Code for this system will
Hydrostatic Transmissions 17/15/13 16/14/11 16/14/11
be set at a 17/15/12.
Hy-Pro Filtration, Target ISO Codes, www.hyprofiltration.com
The following is another example of setting a target ISO Code for a system. System B runs at 3,100
psi with water glycol fluid. This system is a critical system to the plant. The system components are a
fixed vane pump with a target ISO Code of 18/16/13 at that pressure, a check valve with a target ISO
Code of 19/17/14 at that pressure and a directional (solenoid) valve with a target ISO Code of 18/16/13
at that pressure. The most sensitive component on that system has a target ISO Code of 18/16/13
however because it uses water glycol fluid we adjust the target down one code to a 17/15/12. In

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addition, this is a very critical machine so we will adjust the code down one more to a 16/14/11 target.
These target ISO Codes are the goals that need to be achieved for each system so that failure does
not occur.

Now that we understand how contamination originates, how contamination is tested and how to
interpret the results, we can compare test results to established target ISO Codes. Looking back at
System A, the lab sent us results saying our particle count was a 23/21/18 and our target ISO Code is a
17/15/12. We can immediately see that the results from the lab are way above our target. This system
is unsatisfactory and corrective measures need to be taken.

Another example is our System B sample. The lab tested this sample and the results were at a
16/14/11 and our target for this system is a 16/14/11. The results for the lab are at the same level as
our target meaning this system is clean and we would continue to monitor this system with
future testing.

This information is vital to the health of the system. Knowing the contamination level within a
system extends component life and provides costs savings to the plant.

The chart above shows how clean fluid can extend component life thus bringing savings to the plant
with decreased maintenance issues and unscheduled downtime. The highlighted area shows that with
our System A, if we are able to reduce the particle count from the current 23/21/18 reading to the
target code of 17/15/12, we can extend the life of that component by 3 times. If we continue to clean
the fluid up and get the particle count down to a 14/12/9 we can extend the life of that component by 5
times. If you consider this with a plant that has several hundred systems, this would be a substantial
savings over the course of many years. Just looking at the cost of a pump, if a plant has to replace the
pump on a system 5 times in a year and that pump costs $10,000, that’s $50.000 over the course of a
year. Now if the plant were to monitor and start reducing contamination levels in this system, this could

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extend the pump life by 5 times thus resulting in a change out only once per year. This is a major
savings. That is just the cost of the pump, this is not including all the downtime and labor costs that are
associated with a down system.

Measures to correct contamination issues

There are a number of different ways to combat contamination issues. Auxiliary filtration is
probably the most common way to reduce contamination. Also, upgrading filters and breathers help
reduce contamination. Having a clean oil room and having clean methods of filling systems is also great
ways to reduce ingested particles. Solving issues that are the root cause for particle formation is highly
recommended.

Conclusion
The savings associated to clean fluid is dramatic. If I was a maintenance manager with a limited
budget for testing, I would make sure that a particle count test is performed on each system as a
minimum. This test alone will help identify problems before they arise and can keep a plant proactive
rather than reactive. This proactive approach to contamination control will pay off in the long run with
reduced maintenance cost associated to parts, labor and unscheduled down time.

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 Filters are Filters, Right?
Wes Cash, Noria Corporation

The enemy to any lubricated machine is particle contamination. In a perfect world our machines
would be sealed up to block the ingression of particles before any problems occur, but unfortunately
this isn’t the case. We live in a dirty environment; particles exist everywhere and lubricated
components are constantly under attack from them. Whether the particles are ingested by poor quality
breathers, or dirty oil from a recent top up; the question remains what can we do to get rid of them?
The obvious solution is filtration.

Filters can extend the life of machines by removing harmful particles before they can cause
surface degradation of the lubricated components. There are two common types of filters: surface or
membrane filters, and depth filters. Surface filters simply trap particles on the surface or face of the
filter itself. Depth filters allow the oil to flow throughout the body or depth of the filter and traps
particles throughout the media. Perhaps the most crucial attributes to any filter is the ability to trap and
hold dirt.

Trapping the dirt is the first step. Each filter has a specific pore size; this is the size of the openings
within the media through which the oil and particles can pass. As the pore size gets smaller and smaller
the differential pressure across the media begins to increase as well. This differential pressure can lead
to a condition in which the bypass or cracking pressure of the filter is reached and allows the oil to flow
through virtually unfiltered. Also if the pressure becomes too great it can cause the actual filter media
to burst in which the oil pressure tears a hole in the media to flow through.

Once the particles are captured it becomes a measure of how well the filter can retain them. This
is known as the dirt holding capacity of the filter. Several factors contribute to how well filters hold the
contaminants they catch. We’ve discussed the pore size of the filters, but pore density is equally
important. Pore density can be described as how many pores in a section of a filter there are. This is
also known as the porosity of the filter. To maintain a low differential pressure across a media as pore
size goes down, the pore density must go up to account for the volume of oil in contact with the surface.
Thus filter depth and size also affect the dirt-holding capacity.

Another thing to keep in mind when selecting filters is the material the media is composed of.
This not only has an effect on the longevity of the filter and its adaptability to the environment it is in,
but also the dirt-holding capacity. Two common types of filter media are cellulose and synthetics.
Cellulose is comprised of wood pulp. They have a large fiber size and a less consistent pore size
throughout the entire filter. Cellulose does have the advantage that it can absorb some water from the
oil it is filtering. Cellulose filters tend to fail quicker in acidic environments as well as high temperature
applications.

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 Synthetics generally have a higher dirt-holding capacity than cellulose. This is due, in part to their
more consistent pore size through the media. Synthetic fibers are smaller than cellulose fibers so they
are able to be more tightly packed together creating more pores in which to trap and hold particles.
Also synthetic fibers perform better in the harsh environments that tend to destroy cellulose filters
quicker.

If you have looked at the technical sheets of the filters you are using, you may have seen the beta
rating of the filter, that is how efficient the filter is at removing particles, but there may have also been a
value for the dirt-holding capacity as well. This value is obtained through a test known as ISO 16889 or
the Multi-Pass test. In this standard test a filter is put into a circuit that is filled with oil. This oil
circulates through the filter. A set amount of sized particles are released into the oil to test the filter’s
ability to capture them. There is a particle counter inline before the filter and also after the filter to
measure the difference in particles. Depending on the results of this test you will see how well or poorly
a filter performs against different sizes of particles.

When selecting your next filter to clean your oil and protect your expensive machinery keep these
few things in mind. Check the beta rating of the filter and the pore size that is has. There is obviously a
big difference between a 40 micron filter and a 3 micron filter when you are talking about the size of
particles they allow downstream. Also whenever available check the results of the ISO 16889 Multi-Pass
Test. This will not only show you the efficiency of the filter but also how well it is able to retain the
particles it removes from the circulating oil. Some filter manufactures don’t show the results of this test
as it pertains to the dirt holding capacity of the filter, but by pressuring them and demanding to see the
results you can make the best decision for you and your machines. If they balk at the idea of giving you
the test results there are labs across the country that can run the ISO 16889 test on the filter to give you
the results. This is more expensive on the end-user but it offers the peace of mind that you have the
right filters for your applications.

Selecting the proper filter with a high dirt-holding capacity is only half of the battle. We have to
make sure we are putting these filters in use the right way. Filters can be expensive so naturally we
want to prolong the life of the filter to cut down on the costs associated with changing them out.

One of the easiest ways to prolong the filter change-out interval is by simply oversizing them. As
you can see in the chart by simply doubling the surface area of a filter we can expect three times the life
out of it. There are different methods to oversizing filters.

The most obvious is by increasing the physical size of the filters you are using. This is somewhat
costly as equipment modification is required to fit a larger filter in the lines. For some equipment where
space is limited; this may not even be feasible. That is when we start looking at putting filters in parallel.

By placing multiple filters in parallel you are doubling the surface area in contact with the oil and
thereby reducing the face velocity (the pressure of the oil on the surface of the filter media) thus
extending the life of the filter. This means less filter changes and the ability to capture more particles
between change-outs.

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 If the equipment won’t allow the extra piping to put in a parallel circuit there are systems that
allow for the stacking of filters. These systems stack filters one on top of each other, increasing the
overall length of the media and once again allowing for the decrease in pressure the media is
experiencing.

The economics of better filtration are evident when purchasing higher quality/higher cost filters so
we want to make sure we are doing everything we can to prolong the life they have. Not only is there
an upfront filter cost, there is a labor cost associated with the change out, equipment downtime, and in
cases where improper filtration is occurring the cost of machine repair due to surface degradation of the
machine parts. The justification of improving filtration takes a look at all of these factors and then a true
decision can be made.

http://www.machinerylubrication.com/Read/746/filter-filtration-costs

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484
Things to consider when designing a lube
room!

Mark D. Jones Sr.

Lubrication Engineers
Appling, Georgia

485
Why continue doing the same thing over and over
again expecting the same results?
*Send your lube technician to the lube room for oil

486
Same lube room

487
Why have a lube room and what are the
benefits?

488
If it looks good it is good

489
• Purchasing quality lubricants is or should be a very small part of
maintenance budget, the impact of poor lubrication and reliability
practices can amount to as much 30% of maintenance cost.

• Approximately 70-80 % of machine wear can be attributed to

contamination

• A Proactive Maintenance Program that is supported by management

that focuses on contamination, lubrication and reliability can extend
equipment life by 2-5 times

• It has been shown it cost 10 times as much to remove contamination

that it does to exclude it
490
Holistic Approach

491
 Plastic or Metal
• Check your local codes
• Insurance requirements
• Some insurance require metal only
• Spill containment
• Budget

492
 Pro and Cons
• Turn key out of the box- all the parts
are there
• Assembly required
• Service after the sale- service,
service, service
• Living, breathing animal that can be
built in stages, usually because of
budgets
493
 New oil is not clean oil
• Establish ISO cleanliness levels for all oils
• Hydraulic oil pressures require different cleanliness levels
Gear oil cleanliness is less strict

494
 Establish Cleanliness Levels
“Caterpillar requires all its dealerships to maintain ISO 4406
Contamination Code of 16/13/ or cleaner in all fluids
used in all machinery (not just hydraulics).”

Ray Thibault

ISO CODE 21/18 cycling 630 lbs of dirt per year

ISO CODE 16/13 cycling 20 lbs of dirt per year

495
 Where do I put it?

• Centralized Lube Room

• Sprinkler system
• Spill Containment
• Ventilation
• Security
• Satellite Stations

496
 Lube Consolidation and location

• What can you consolidate

• Critical equipment survey
• Hydraulic oils ISO 46 or 68?
• Centrally Located depending on size of
the plant
• Satellite stations and vehicle

497
Hand Held Color Coded Containers
Satellite Stations
* Strategically located through out plant
*Reduces man hours

498
 Color Code
• Cradle to Grave
• Lube Chart
• Assign colors to oils and grease
• 10 basic colors
• Group family oils in one color and give
them a symbol
• Example all EP's red.
• R & O 's blue
• Synthetics
499
Lube Chart

500
 Color Code Filter Carts
*Each family of oils has a cart. If your viscosity is more than double get another cart
for higher viscosity. ISO 460,320,220 one cart
ISO 150,68,46,32 one cart
*Ensure filters are correct for the lubes
* Correct your current cart and rebuild it to standard

501
502
Filter Buggie

503
 Grease Guns

• General Plant grease

• Electric Motor Grease
• High Temperature Grease
• Any Specialty grease

504
Grease Guns

505
506
 Lubrication Vehicle

• They reduce travel time

• Carry parts
• Truck
• Golf cart
• Bicycle
• Push Cart

507
Case Study

508
Lube truck

Before

509
After Lube truck

510
Before Site 1

511
Before

512
• Spill Containment, Floor Sealed

513
514
• Water Lines and Gas Lines painted

515
After

516
 1st Year Cost Savings and accomplishments
at Site 1

• Reduced Hydraulic oil consumption over $100,000.00

• Started with ISO Codes averaging 24/22/20 we are now
seeing codes 19/18/15 a life extension of 2.5
• $320,000.00 cost savings in production with satellite
tote for cranes
• Reliability awareness training for the entire mill-
Everyone understands the goal

517
• Site 2
• Before

518
519
520
521
After

522
After

523
Up Date

524
525
526
Before

527
Power Partners
Athens Ga

528
 After

• 1st lube area Temperature controlled

and secure lube room

529
Power Partners
3 year Return on Investment
• Yearly cost savings on hydraulic oil usage
averaging $42,340.00---3 year savings
$127,020.00

• 2010 Hydraulic ISO codes averaged 23/21/20

• 2012 Hydraulic ISO codes averaged 16/15/13

improved life of equipment 7X’s

530
 A World Class Lube Room
• Is safer
• If it looks good it is good
• Brings pride to your program
• It is the focal point of your Reliability
Program
• The ROI on a lube room is achievable
within the first year

531
Efficient Varnish Removal
532
1. Understand Varnish and its consequences

2. Monitor and critically evaluate Varnish level

3. Chose the right equipment to remove and to prevent Varnish

4. Maintain and service properly the Varnish removal equipment

5. Maintain permanently low varnish level

533
Oil contamination – Particles, Water, Varnish, etc.

534
Oil degradation - Oxidation

535
Oil degradation - Oxidation

536
Oil degradation - Oxidation

537
 Oil degradation - Oxidation

*Please note that the above formula is for illustrative purposes only, and is not scientifically entirely correct
538
Oil degradation – Anti oxidant mechanism

539
Oil degradation process

540
Varnish

541
Varnish

542
543
544
Chose the right equipment to remove and to prevent Varnish

- Monitor the performance/efficiency of the equipment by:

- comparing oil inlet vs. outlet samples
- observing the used filter inserts
- Evaluate total cost of ownership and calculate:
- US $ per kg varnish removed
- US $ per liter oil recycled

545
 VRU - Varnish Removal Unit
Development, installations & field experiences
CLEAN OIL
BRIGHT IDEAS

546

© CC JENSEN A/S – IPS, Cannes- 20 -22th Feb 2013 www.cjc.dk

VRU
HISTORY

VRU prototype on GE 6B gas turbine

at Son Reus, Mallorca, Spain
547
548
549
Oil degradation process

Settling & Deposition of

Oxidation Polymerization Solubility Precipitation Agglomeration
Varnish on system surfaces

Settling & Deposition of

Precipitation Agglomeration
Varnish on system surfaces

550
551
VRU on Siemens gas turbine at combined cycle
cogeneration power plant at Hillerød, Denmark
552
553
 SIEMENS gas turbine V 64.3 (53.9 MW)

Oil type: Mobil DTE 832

Oil volume: 9.800 l, since 31/5-2005

Operational hours - 36.000 hrs.

Reservoir oil temperature : 62 ˚C

554
555
556
557
558
 VRU
TODAY

VRU on Siemens gas turbine at combined cycle

cogeneration power plant at Göteborg Energi, Sweden
559
SIEMENS gas turbine SGT-800 (GTX100)
Oil type: Shell Turbo CC 46
Oil volume: 12.000 l
Reservoir oil temperature : 72 ˚C
Operation type: base load
560
561
562
Remote dP control for on time filter insert change.
The graph shows the increasing filter insert change
interval for the first three filter inserts changes.

563
564
33
VRU - Varnish Removal Unit on
GE 9FA (250 MW) – 26.000 liters Shell Turbo CC 32 at
Iberdrola Tarragona Power, (BASF), Tarragona, Spain
565
The problem:
High risk of turbine trips due to varnish.
Oil analysis showed MPC of 62 ΔE indicating high
varnish level caused by oil degradation.
566
Conventional filter systems were not able to remove varnish as it is
dissolved in the oil at operating temperature. At Tarragona Power
several filters were used but none was able to remove varnish.
567
Another filter system,
which was not able to
remove Varnish
568
The Solution:
VRU - Varnish Removal Unit  Efficient varnish removal.
The VRU first treats the oil, making the varnish precipitate and come out of solution to
be then adsorbed by the cellulose fibers of the VRi - Varnish Removal insert
569
In one single pass the VRU removes 70% of the varnish in the oil.

570
39
The Result:
Within 3 month the MPC dropped from critically high
value of 64 down to safe value of 19 ΔE

571
New VRi´s before use

VRi´s - after 5 days operation

572
The Result:
Within 3 month the MPC dropped from critically high value of 64
ΔE down to a safe value of 19 ΔE

M0 vs. M5
after 1 month operating VRU
573
A happy CJC guy

574
An even happier
575
VRU - Varnish Removal Unit on
GE 6B (42MW) gas turbine – 6.500 litres Mobil DTE 832 at
Iberdrola Energyworks Cartagena, (SABIC) Spain
576
The oil is lubricating turbine bearings, reduction gear and generator
bearings. The same oil is also used for the hydraulic control
incorporating servo valves.
577
46
Oil operating temperatures:
Tank: 66ºC
Thrust bearing: 66ºC
Turbine bearing: 80ºC
Gearbox: 85ºC
Generator bearing: 64ºC
578
47
The Problem:
High oil operating temperatures caused
premature oil oxidation and formation of varnish
resulting in:
High MPC = 64 ∆E

Plugged IGV inline filter

causing turbine trips
579
48
 VRU – Varnish Removal Unit
Installed at Energyworks Cartagena
580
49
 The result:
VRi – Varnish Removal inserts
after 5 days of VRU operation.
581
50
 Oil samples taken at the VRU
inlet vs. outlet

The result:

MPC membranes (0,45 μm)

of samples taken during first month of
VRU operation.

Starting MPC: 55 ∆E
After 1 month MPC:
582 15 ∆E
The result:
IGV inline filter
before VRU operation vs. after 6 month VRU operation

583
52
VRU - Varnish Removal Unit on
GE 9FB (250 MW) – 17.000 liters Repsol Turbo CC 32 at
Iberdrola Arcos de la Frontera, Cadiz, Spain

584
At completion, this was the largest power plant ever built by
Iberdrola as well as the largest combined cycle power plant in
Spain. Block III was the launch plant for the GE 9001FB gas turbine.

585
The problem:
MOOG servo valve sticking and mal function due to varnish
586
55
The solution:
CJC VRU – Varnish Removal Unit

587
The results:
MPC reduction from 37 to 15 within 40 days

588
VRU - Varnish Removal Unit on
GE 6FA (75 MW) – 30.000 liters Repsol Turbo CC 32 at
Endesa Granadilla, Tenerife, Spain

589
 Before installing the VRU -
Granadilla tried
unsuccessfully to remove
varnish from the lube oil of
TG3 using:

• Ion exchange filter

(originally intended to use
on phosphate ester oil of
EHC - electro- hydraulic
control systems)

• EOC, electrostatic filter

Both systems failed and

were not able to reduce
and maintain the varnish
590
below critical level MPC 20
The CJC VRU does work !
591
VRi – Varnish Removal Inserts

592
61
Calpine Delta Energy Center, Pittsburg, CA

Siemens 501F Gas Turbine (185 MW)

Oil volumen: 21.000 l
Oil Type: Shell Turbo T 32
Operating Temperature
Reservoir oil temperature : 78 ˚C
Operation type: base load
593
Problem:
Varnish on bearings surfaces and on heat
exchanger, caused efficiency reduction of
the overall turbine operation.

594
Solution:
VRU – Varnish Removal Unit,
outdoor version
595
Results:
Immediate drop (inlet vs. outlet) from
UC 6 to 1
596
MPC 41 to 6
597
 HOW DOES
VRU WORK

The VRU works off-line

The suction line shall be installed at the lowest possible point of the oil reservoir (drain valve) and the
return line to the top of the reservoir on the opposite. The VRU is designed to work 24/7. For efficient
varnish removal, it is important to operate the VRU during turbine operation with hot oil in order to
extract oil with high concentration of dissolved varnish. The VRU shall also be operated when the
turbine is off in order the remove contamination the may have deposit on the bottom of the tank. Thus
the turbine will be started up on clean oil.

598
 HOW DOES
VRU WORK

The VRU does a non chemical oil treatment to make dissolved contaminants precipitate and come out
of solution. It incorporates a 3 micron low flow multi-pass filtration, whereby the varnish is permanently
(definitely) removed (adsorbed) by the VRi – Varnish Removal Insert.

Simple and intelligent equipment control for totally safe and reliable operation.

599
 HOW DOES
VRU WORK

The VRi insert is made of superabsorbent sub-micron cellulose fibers with extreme affinity for varnish.
Its design offers high filter media surface and volume.
The VRi filtration is a non chemical process, with no impact on additives or chemical oil properties.

Long term anti oxidative properties

600
HOW DOES
VRU WORK

601
Thank you!
602
How to Identify Root Causes of
Lubrication Failures
IK4‐TEKNIKER
JESUS TERRADILLOS
JORGE ALARCON

603
 OVERVIEW

IK4-TEKNIKER

SOME DATA

ROOT CAUSE

STUDY CASES

CONCLUSIONS

604
 IK4-TEKNIKER

One of the largest and best

equipped Oil Analysis lab in
Europe

1.500 samples per shift

605
 SOME RESULTS OF THE 5 YEAR STUDY
17% of the lubricants has more than Old products
2 years of storage

73% of new lubricants (storage) are Poor storage

over the cleanliness target limits

92% of the lubricants share the same Poor handling

auxiliary material
89% of the lubrication rooms (not Poor
warehouse) are not suitable for transfer Poor transfer
lubricant
lubrication
98% of the plants suffer lack of Lack of procedure
transfer lubricants procedures

83% of the Plants don´t use Condition Lack of knowledge

monitoring as a Predictive Tool

96% of the greases are hand transfer Lack of equipment

to the gun

606
WHAT IS THE ORIGIN OF THE PROBLEMS?

607
 HUMAN LEARNING PROCESS

LISTEN UNDERSTAND TALK READ WRITE

608
CASE STUDY #1
PAPERMILL

LISTEN

609
 Oil Analysis Reports
REPORT 0 1 2 3
MONTH 1 6 9 12
Si 26 10 5 5
ISO 4406 19/17/13 ‐ ‐
DIAGNOSIS

610
 The Consequences
•Unscheduled stop per day: $us 93.000
•Non working days: 4 ($us 372.000)
•Overtime labor: 6hr x day x 5 technicians

611
 CASE STUDY #2
MECHANICAL FAILURE

TALK

612
 EXTRUDED FOOD
•Two production lines
•15 Ton/hr per line
•$us 30.000 / hr per line
•Synthetic ISO 220 oil
•23 Gal
•Over 185°F

613
 FAILURE
WEEK 1 2 3 4 5
OIL ADD ADD ADD FULL FULL
LEVER
LINE 1 3 3.5 3.5 0 0

SIGHT GLASS

WEEK 1 2 3 4 5
OIL ADD ADD ADD ADD ADD
LEVER
LINE 2 1 1 1 1
614
 The Consequences
•Unscheduled stop line 1: 9 hours
•Production losses: $us 270.000
•Parts: $us 42.000)
•Overtime labor: 9hr x 3 technicians

615
 CASE STUDY #3
ACELERATED WEAR

UNDERSTAND

616
Some maintenance costs (MM $)

617
 Oil analysis report

New oil: High particle count

Reactive metals promote Oil Oxidation

618
ELECTRONIC MICROSCOPY (SEM)

Compound Weight%
FeO 10.81
Al2O3 5.91
SiO2 18.60
Na2O 1.67
619
620
CONCLUSIONS

621
622
Heat Transfer Fluids

623
 Agenda
1. Basics and Definitions
2. Common Heat Transfer Fluid Types
3. Heat Transfer Fluid Degradation
4. Selection Factors
5. Summary

624
 1. Definitions : Heat Transfer Fluid
– In our business, we would define a heat transfer fluid
(HTF) as a liquid or a gas used to absorb and carry
heat away to a different location on the system, while
protecting the components or conductors it
encounters against rust/corrosion.

625
 1. Definitions : Heating Methods

– Heating methods include

• Submerged electrical elements
• Furnace (gas, diesel, used oil,
biomass (wood, etc), etc
• The process itself
• Hot gas tubes (waste heat recovery)
• Hot plate
Sigma Thermal’s
• Magnetic HC-2 Fired Heater
• Etc. www.sigmathermal.com

626
1. Definitions : Liquid/Vapor Phase

– Liquid Phase System : fluid is heated well below its

initial boiling temperature so that it remains a liquid.
All petroleum oils are for liquid phase systems only

– Vapor Phase System : some chemical aromatic fluids

are suitable for use in their vapor and/or liquid
phase.

627
1. Definitions : Closed/Open Systems
– Closed System : hot operating fluid does not come in
direct contact with atmosphere.
• Systems with an expansion tank where fluid temperature
is relatively cool (~60°C / 140°F or less)

– Open System : hot operating fluid comes in direct

contact with atmosphere.
• Max operating temp ~ Fluid COC Flash Point minus ~25°C
or 40°F
• Open oil bath in a laboratory
• Systems where hot fluid is in an open tank vented to atmosphere
628
1. Definitions : Typical Closed, Liquid
Phase System

629
1. Definitions : Skin Film/Bulk Oil Temp.
Skin Film Temp HEATER COIL

Tube wall
TFilm

Tube wall
TFilm

TBulk

Bulk Oil Temp TBulk

• The fluid temperature against the pipe wall is called the “skin film
temperature” (TFilm)
• The fluid temperature in the center of the pipe is called “bulk oil
temperature”, which is what heater outlet temperature set point (TBulk)
• It is best to have turbulent flow, i.e. a small difference between TFilm and TBulk
• It ensures a gentle heating (low heat flux) and reduce risk of thermal
degradation
630
1. Definitions : Heat Transfer Coefficient
• The overall system performance is qualified by the heat transfer coefficient

Heat transfer coefficient ~ 0.023 k0.667 Cp0.333 (V )0.8 / ( 0.467 D0.2)

• Depends on

FLUID PROPERTIES:

• DENSITY - , THERMAL CONDUCTIVITY – k, HEAT CAPACITY – Cp

• VISCOSITY - 50% results in 17% in heat transfer coefficient

SYSTEM DESIGN & OPERATION:

• FLUID VELOCITY – V, PIPE DIAMETER – D

A high viscosity HTF or letting an oil oxidize and thicken reduces the
system productivity and energy efficiency because of the lowered heat
transfer coefficient 631
 1. Definitions : Expansion Tank

75% full
When operating

25% full
Fill line (cold)

• Located at the highest elevation point on the system, best is two-legged design
• Allows for natural expansion of the oil during the heating process
• In closed systems, the only place where oil oxidation can possibly occur due to
oil–air contact
632
 2. Common Fluid Types

1. Chemical Aromatics
2. Polyalkylene Glycols
3. Petroleum Oils (API Group II+ based)
4. Petroleum Oils (API Group I/II)
5. Silicone Oils

633
 2. Common Fluid Types
CHEMICAL AROMATICS
– “Synthetic” , man-made : Benefit from
people’s conception of the term in the
lubricants industry who tend to relate
“synthetics” to the superior performance
of API Group III/PAO oils in automotive
Isomers of
and industrial products. diethylbenzene, a
constituent of a
popular synthetic
– Alkyl-benzenes have naturally good low aromatic fluid
temperature properties and high
temperature stability, hence they offer a
wide operating temperature range
634
 2. Common Fluid Types
CHEMICAL AROMATICS (cont’d)
– Poor oxidation stability – generally unadditized

– High vapor pressure compared to other fluid types,

releasing a stronger odor and evaporating faster

– High market share, specially in high temperature or dual

heat/cool systems

– Some may be classified/categorized by health organizations

and carry some serious warnings on their MSDSs
635
 2. Common Fluid Types
POLYALKYLENE GLYCOLS (undiluted)
– Excellent low temperature properties
– Relatively high price
– Decompose around 267°C / 513 °F
– Hygroscopic, absorbs up to 2.5% water at room temperature
– Poor oxidation stability without inhibitors
– Poor heat transfer at high temperature due to high viscosity
index
– Health & Safety considerations vary by type
– Special waste disposal may be required
636
 2. Common Fluid Types
MINERAL BASED (API GROUP II+)
– Prominent authors in the industry classify White Oil/Severely
Hydrocracked HTF in a distinct category due to their lower volatility and
higher thermal stability

– Offer slightly higher operating temperature (~316°C/600°F) than API

Group I solvent refined fluids but not as wide as chemical aromatics

– Excellent oxidation stability (with additives)

– Non-toxic, recyclable

– inert towards graphited seals, thus providing longer seal life

– Low vapor pressure, less evaporation loss

637
 2. Common Fluid Types
MINERAL BASED (API GROUP I or II)
– Oxidation stability satisfactory for systems with inert gas
blanketing

– Low aromatic oils are inert towards graphited seals, thus

providing longer seal life

– Limited operating temperature range, generally up to

288°C/550°F bulk oil temperature

638
 2. Common Fluid Types
SILICONE OILS (SILOXANES)
Polydimethyl siloxane (PDMS),
n defines the length of the molecule

– Siloxanes are chemically inert, clear, non-toxic, with good

flow properties
– They have outstanding oxidation stability, hence can last
much longer in harsh oxidative environment
– Popular for smaller systems due to high purchase price
– Difficult to switch to and away from
639
 3. Heat Transfer Fluid Degradation

The 3 factors that most affect the useful service life

of heat transfer fluids are :

– Thermal Degradation (thermal cracking)

– Fluid Oxidation
– Contamination

640
 3. Heat Transfer Fluid Degradation
THERMAL DEGRADATION

• Thermal degradation starts at the heat source.

It is caused by the oil being exposed to more
energy that it can absorb and take away at that
particular time

• Thermal degradation is a function of

– Heat flux (BTU/time·area)
641
 3. Heat Transfer Fluid Degradation
THERMAL DEGRADATION OF HYDROCARBONS
• Excess energy cause
breakage of normally
stable C-C covalent C26H54
bonds, leading to : COC FP 215°C/419°F

• Lighter/shorter
hydrocarbons having a
lower viscosity and flash C14 C12
point COC FP 99°C/210°F COC FP 71°C/160°F

• Heavy carbonaceous
deposits Carbon deposits
642
 3. Heat Transfer Fluid Degradation
EFFECT OF THERMAL DEGRADATION
• Reduced HTF flash, fire and auto-ignition
temperatures
– Could be a safety concern in applications operating near the
fluid’s maximum rated temperature

• Lighter/shorter hydrocarbons present as vapor in the

hot operating fluid can cause pump cavitation

• Carbon deposits affect oil’s ability to flow in small

lines, they agglomerate, bake inside the furnace coil,
causing production issues and/or reduced efficiency
643
 3. Heat Transfer Fluid Degradation
VISCIOUS CIRCLE OF THERMAL CRACKING

Excessive heat (energy) Heat transfer surfaces

creates thermal cracking get fouled with residues

Heater produces more

energy to achieve
the set outlet temp

644
 3. Heat Transfer Fluid Degradation
THERMAL DEGRADATION

• Tips to minimize thermal degradation

– Control the heat flux (i.e. maintain reasonable gap
between heater inlet and outlet oil temperatures)
– Maintain heater in optimum condition
– Maintain pump in optimal condition
– Maintain optimum fluid condition

645
 3. Heat Transfer Fluid Degradation
THERMAL DEGRADATION

• Tips to minimize thermal degradation

– Adopt safe and best practices around start-up and
shut down
• Keep oil circulating for several hours after a shut down
• Allow for gentle heating profile when starting up. Can
ramp-up faster once the oil reaches ~ 150-200°C/300-
400°F but below that the heat transfer coefficient is too
low to accept high heat flux

646
 3. Heat Transfer Fluid Degradation
OXIDATION
WHAT IS IT ?

O2
Acid

Reaction of hydrocarbons in the oil with oxygen from

air, forming various species including weak organic acids
647
 3. Heat Transfer Fluid Degradation
OXIDATION
WHAT DOES IT DO ?
Changes in the fluid Possible Effect
Gradual Minimal
discoloration
Increase in viscosity Reduced system performance
and efficiency
Increase in acidity HTF more corrosive towards
sensitive metals

648
 3. Heat Transfer Fluid Degradation
OXIDATION
WHAT DOES IT DO ?
Changes in the fluid Possible Effect
Formation of varnish Valve sticking/failure to
work properly
Formation of heavy, Reduced system
insoluble compounds efficiency through :
• Obstruction of small lines
and elbows
• Deposits on cool heat
transfer surfaces
649
 3. Heat Transfer Fluid Degradation
OXIDATION

• Oxidation is accelerated by :
– Contaminants- wear debris, dust, water
– Metals, especially copper
– High temperature (exponentially)

650
28
 3. Heat Transfer Fluid Degradation
OXIDATION
Oxidation Rate increases exponentially with rising
Temperature
Temp. ° C/ ° F Life (Years)
49 / 120 10
60 / 140 5
71 / 160 2.5
82 / 180 1

Every 10°C/18°F rise in

“Rule of Thumb” temperature decreases the life
of the oil by half.
651
29
 3. Heat Transfer Fluid Degradation
OXIDATION
HOW TO REMOVE IT ?

Changing the oil will have little effect on those heavy

oil-insoluble compounds. Only manual removal or
chemical cleaning will effectively remove them.

652
 3. Heat Transfer Fluid Degradation
OXIDATION
HOW TO MINIMIZE OXIDATION OR ITS IMPACT ?
• Monitor fluid health by oil analysis
• Maintain fluid level and temperature in the
expansion tank as recommended
• Avoid use of copper

HOW TO PREVENT IT IN CLOSED SYSTEMS ?

Add an inert gas blanket on the expansion tank
653
 3. Heat Transfer Fluid Degradation
CONTAMINATION
• INTERNAL:
– From a newly commissioned system
• Water from pressure test, welding fines, tools, pieces of wood, rust
preventatives, etc
– Process leak, material being heated enters the heat
transfer fluid
• Asphalt adds Vanadium and rapidly increases viscosity
• Strong chemicals quickly affect the additive system
– Heat exchanger leak, oil cooling solution entering the
oil
654
 3. Heat Transfer Fluid Degradation
CONTAMINATION
• INTERNAL (cont’d):

– Previous fluids, cleaners, chemicals used in the

system

• EXTERNAL
– Airborne contamination
– Practices around fresh oil
storage/handling/dispensing/addition
655
 4. HTF Selection Factors

• HEALTH & SAFETY

• OVERALL FLUID OWNERSHIP COST

656
 4. HTF Selection Factors
HEALTH & SAFETY
• WORKER HEALTH & SAFETY

– Smell Test
• Ask potential suppliers to provide a sample of their fluid
for your own assessment

– Thorough review of MSDS

• Obtain MSDS versions from world regions with different
reporting standards, such as Europe, Canada
657
 4. HTF Selection Factors
HEALTH & SAFETY
• WORKER HEALTH & SAFETY

– Pay close attention to some physical properties

• Vapor pressure at operating temperature, as an indication
of tendency of the fluid to release odor and leak

658
 4. HTF Selection Factors
HEALTH & SAFETY

• WORKER HEALTH & SAFETY

– For open systems. review the Open Cup Flash Point

of fresh oil, plus its stability in service.
• Guidelines suggest a fluid with a flash point at least 20°C
above the operating temperature
– For closed systems. review the Auto-Ignition
Temperature and Initial Boiling Point of fresh oil, plus
its stability in service.
659
 4. HTF Selection Factors
HEALTH & SAFETY
• WORKER HEALTH & SAFETY

– DO NOT PAY TOO CLOSE ATTENTION to the COC

Cleveland Open Cup Flash Point (ASTM D92)

• According to the ASTM method, average of results on the

same sample submitted to different labs can exceed ± 18°C
or 32°F, 1 time out of 20 (5%)
• Insist on obtaining data on stability of the flash point in
service
660
 4. HTF Selection Factors

HEALTH & SAFETY

• FOOD SAFETY :
– Direct Food Processing or manufacturing of products
coming in contact with food/ingredients fit for
human consumption should use a HT-1 registered
heat transfer fluid. Examples such as
• Blow molding of beverage bottles
• Manufacture of drums/totes used in the food or food
ingredient industry

661
 4. Selection Factors
OVERALL FLUID OWNERSHIP COSTS
• Purchase Price
– Freight ?

• Disposal/Transportation Costs
– Disposal of used oil and venting material

• Return Policy of Unused Excess Product

– Flexibility in sourcing oil when a big change-out job
is planned and return unused excess
662
 4. Selection Factors
OVERALL FLUID OWNERSHIP COSTS
• Handling Risks/Precautions
– PPE and handling equipment required
– Ventilation requirements
– Training on proper use of PPE

• Change-Out Cycles
– A fluid of the same unit price that lasts 100%
longer suddenly becomes 50% cheaper
663
 4. Selection Factors
OVERALL FLUID OWNERSHIP COSTS
• Make-Up Oil Purchases
– Some fluids can cause as much as 25% of the total
system volume in annual top-up purchases
– More leaks/losses mean more oil to dispose of or
greater stress on water treatment plants

• Fluid testing/monitoring cost

• Seals replacement cost

664
 5. Summary
• Optimal heat transfer fluid health management is
a vital part of a safe, efficient and productive
operation
• Fluid degradation can be reduced greatly in
closed systems
• The cost of using a heat transfer fluid goes very
much beyond its purchased price
• Selection of a heat transfer fluid involves working
with current and prospective suppliers to provide
technical data on fresh oil and also proof of
performance on the expected future condition
665
 How to Select Right Lubricating Grease for Your Application

Dr. Anoop Kumar, Director R&D and Business Development

Royal Mfg Co LP, Tulsa, Oklahoma

1.0 INTRODUCTION: -

There has always been huge energy losses due to friction and wear, however, had not been
realized until Peter Jost published his report in 1966 where he had estimated annual energy
losses to the tune of about 2 billion pounds in UK . In United States , this was reported to be
around $ 100 billion in 1979. It was then estimated that about 15-25 % losses could
potentially be saved by proper equipment maintenance practices (2) where lubricants play a
vital role towards achieving this. Interestingly, history of lubrication dates back to hoary past,
may be as old as beyond 1400 BC where vegetable oil mixed with lime, a form of crude
lubricating grease was used by Egyptians to lubricate their chariots. Since then till mid-19th
century, most of the lubricants used were primarily based on animal / plant resources until
Colonel Drake drilled first oil well in 1859. This discovery of petroleum crude had
revolutionized the entire industry where most of the lubricants were gradually replaced by
mineral oil based products. Since then phenomenal progress has been achieved and countless
developments have taken place in the field of lubricants and greases and therefore, a large
number of products are available in the market. This sometime confuses the end user and
poses challenge in terms of selecting right product for their application.

In general, lubrication can either be achieved by lubricating oil (Newtonian) or grease (non-
Newtonian). Now question arises when to use lubricating oil and where to use lubricating
greases? There are different school of thoughts about their selection , however , there is
general understanding that there are some applications where lubricating greases are
preferred due to following reasons

 Acts as sealant preventing ingress of extraneous particles and water

 Better stay put characteristics , do not run away and minimizes the chances of dry
start
 Can hold solid lubricants like moly, graphite and other solid lubricants better
 In some applications their service life is more and can be used fill for life applications
appropriately
 For bearing applications , greases are the preferred choice

In general, a particular application whether to use lubricating oil or lubricating greases is

governed by its DmN factor which can be calculated as follows

DmN factor = N x (D + d) /2

D= Bearing outer diameter, mm

d=Bearing bore diameter, mm
N=Bearing operating speed, rpm.

Lubricating greases are generally recommended up to 1 million DmN factor baring few
exceptions. For lower DmN factor ranging from 100,000 to 500,000 mineral oil based greases
with suitable viscosity may be used however, for higher DmN factor synthetic oil based
greases are preferred. DmN factor beyond this , oil lubrication is recommended.

666
2.0 LUBRICATING GREASES?

ASTM defines grease as “a solid to semi-fluid product of the dispersion of a thickening agent
in a liquid lubricant”. The thickener provides it non-Newtonian by the dispersion of its gel
like structure and entrapping the base oil into its get network cavities and acts like sponge.
Lubricating greases basically consist of base oil (70-80%), thickener (10-15%) and
performance additives. Both base oils as well as thickeners influence properties of lubricating
greases. Performance additives are added to boost the certain desired performance label of
lubricating greases. For examples, extreme pressure (EP) additives are added to boost EP
characteristics of particular grease and anti-oxidants are added to control thermal degradation
of oil. Latest NLGI grease survey indicates that majority (>90%) lubricating greases are
based on soap base greases and about 75 % of total worldwide volume are based on lithium
soap/complex lithium soaps (3) .

Lubricating oil / grease practically serve the same purpose by forming a protective layer
between two moving surfaces and to minimize friction and wear. The ability of a grease to
perform in a particular application depends on its Physico-chemical and performance
characteristics which are generally measured by standard ASTM /IP/DIN etc. methods as
described below .

Consistency the extent to which the grease resist deformation under the
influence of force
Shear Stability the ability of the grease to resist changes in consistency during
mechanical shearing
Oxidation Stability the ability of the grease to resist chemical deterioration
High Temp. Stability the ability of the grease to retain consistency at elevated
temperatures
Oil Separation the ability of the grease to release oil in controlled manner,
ensuring proper lubrication
Low Temp. pumpability the ability of the grease to flow at low temperatures.
Water Resistance the ability of the grease to withstand against water ingress
Rust/Corrosion Resistance the ability of the grease to protect metal surfaces against rust
and corrosion

These characteristics are controlled by the ingredients used to make these greases and also by
manufacturing methodologies .

2.1 Characteristics Influenced by Base Oil :

Base oils in lubricating greases are present in majority and main function of lubrication is
taken care by base oil , thickeners acts as carrier of oil and act like sponge where it releases oil
at point of application. Base oil influences pumping and flow-ability of lubricating greases .
High viscosity oil based greases flow / pump slowly compared to low viscosity oil based
greases. This is the reason, where ever application speeds are low and bearing diameters are
comparatively large, high viscosity oil based greases (e.g., VG 460) are preferred. On the
other hand, in applications where bearing run under high speed, low viscosity oil based
greases ( VG 32 –VG 68 ) oil based greases may be recommended . Base oil also greatly

667
influences the low temperature characteristics of greases; mineral oil based greases are
generally recommended up to 0 0F with appropriate viscosity adjustment. In applications
where temperatures reaches sub-zero like up in north or Canada , either naphthenic oils with
low viscosity or synthetic oils like PAO based greases are the preferred. Base oil may also
influence the high temperature capabilities of the greases, like synthetic oil based greases are
recommended for applications temperature over 350 0F whereas mineral oil based greases with
appropriate additive system can safely be used up to 350 0F. In general thermal degradation of
greases is dependent of the type of base oils used to make grease, synthetic oil exhibit low
degradation properties compared to mineral oil counterpart and thus more useful life at
elevated temperatures. Elastomer compatibility of a lubricating grease is also a function of
base oil . The choice of a viscosity depend on intended service, for higher DmN factor, low
viscosity is preferred while for higher loads and low DmN factor heavier oils are more suitable
.

2.2 Characteristics Influenced by Thickener :

Thickeners on the other hand , are considered backbone of the greases. The thickener system
may be a simple metal soap, a complex soap, a synthetic organic thickener, or inorganic
gelling agents. Whatever the thickener type be, many of the important properties and
performance characteristics of the fully formulated grease come from the actual thickener
system. Most of the thickeners have fibrous structure where base oil are entrapped in the
fibrous structure by weak forces like hydrogen bonding, vanderwaal forces or by capillary
action . High temperature capabilities of grease are function of thickener though base oil does
play some role. Simple soap base grease is limited high temperature capabilities whereas for
high temperature applications complex soaps, polyurea, sulfonate or clay base greases are
recommended. Water resistance characteristics of grease are also controlled by type of
thickener, like soda base greases are poor in water resistance whereas aluminum complex and
sulfonate base greases are known for its superior water resistance properties. To an extend
high temperature properties and pumpability / slump-ability properties are also influenced by
type of thickener. Sulfonate and polyurea usually possess more high temperature life
compared to other greases.
Table-1
Thickener and Related Characteristics

Shear Dropping Pumpability Water Storage

Thickener Stability Point; F Resistance Stability
Ca (hyd.) Fair to good 185-220 good Resistant Poor to good
Ca(anhydrous) Excellent 285-300 good Highly Fair to good
resistant
Sodium Fair 350-400 poor Highly May harden
susceptible
Al-Complex Good 465-520 good Resistant May Harden
Lithium Good to 340-390 Good Resistant Good to excellent
excellent
Li-Complex Good to 500-570 Fair to good Resistant Good to excellent
excellent
Sulfonate Excellent 550-620 Fair Highly Excellent
Resistant
Polyurea Poor 465-550 Fair Fair Poor
Clay Fair to good Non- Good Resistant Fair to Good
melting

668
2.3 Characteristics Influenced by Additives:

An additive is any material added to a lubricating oil or grease formulation to improve that
product’s ability to perform the task called for . In a fully formulated grease, the base oil
imparts certain characteristics and thickeners also brings certain characteristics to the
formulation. The additives doped in the formulation may add to these characteristics, or they
may boost desired characteristics already present. These performance additives can carry out
their functions either physically or chemically or both. These pressure properties, corrosion
and rust inhibition, water resistance , low temperature fluidity, color, and odor etc. The
additive may act on the surface to be protected, such as an anti-wear additive, or it may act
on a component of the grease to alter a physical property to enhance performance, such as a
pour point or structure modifiers. One additive may impart more than one performance
improvements. But unlike in an oil formulation , the presence of a thickener system in a
grease can interfere with the normal activity of these performance-enhancing additives. Not
all thickening systems behave identically with respect to additives response. For instance
lithium/lithium complex greases generally respond very well to additives whereas aluminum
complex greases behaves poorly to additives. In some cases, the use of highly aggressive
additives can disrupt and even degrade the thickener system.

3.0 PRODUCT RECOMMENDATION:

The lubricating greases with its composition have certain specific operating parameters. For
example lithium grease can be recommended up to 250 0F operating temperatures. Different
greases, their operating temperatures formulated in mineral oils and their general applications
are indicated as follows.

Lithium soap with Operating temperature  Multi purpose

suitable oil-viscosity up to 250 0F max  Automotive chassis and wheel
and additives bearings
 Non-critical Industrial
Li-complex soap with Operating temperature  High temperatures
suitable oil – viscosity up to 300 0F max  High pressure and shock load
and additives
Aluminum complex Operating temperature  Heavy water environments
soap with suitable oil – up to 300 0F max  High temperatures
viscosity and additives  Food processing industry
 Mining operations
Poly urea with suitable Operating temperature  High Temperatures
oil-viscosity and up to 350 0F max  Oven, conveyor bearings, electric
additives bearing
Clay Operating temperature  High temperatures
up to 300 0F  Food processing
Sulfonate Greases with Operating temperature  Water prone
suitable oil viscosity up to 350 0F  Mining and Marine
and additives  High Temperatures

669
4.0 HOW TO READ/ANALYSE PRODUCT DATA SHEET:

In general one grease can be used for more than one application in the industry and therefore
product data sheet of a particular grease contain many test . For a end users , one need to
know what tests are relevant to them , as all the tests listed in the tested may not be as
relevant as other . For example for a high temperature application where chances of water
ingress are not there, water resistant properties may not be critical. Similarly for application
temperature below 200 0F, you may not need high temperature grease. Therefore its
important to understand your application requirement and then you need to select the
appropriate grease for your application. Following are general recommendations for
understanding and analyzing the supplier data sheet .

4.1 Water Resistance:

Water resistance properties of grease are measured by following tests

i) Water washout test ( ASTM D 1264)
ii) Water spray off test ( ASTM D 4049)
iii) Mechanical stability in presence of water ( ASTM D 217)
iv) Roll Stability in presence of Water (ASTM D 1831)
Water washout test is more relevant in applications where chances of little water contact or
humidity are there as this test is run under closed conditions and grease is not directly
exposed to water contact. If water is coming direct in contact with grease and with pressure ,
water spray off test is more relevant as in this test , grease is spread on a test panel and water
spray at 40 psi is directly impinged on the grease . In conditions where water may get mixed
with grease and stability of grease in presence of water may be important , either mechanical
or roll stability with 10 / 50 % water . Following table indicate the normal expected limits of
these tests

# Test Conditions limits Remark

1. Water washout , % wt. washed 175 0F , 1 Hrs , < 5.0 % Excellent
5.0-15.0% Good
>15.0 % Average/poor
2. Water spray off, % wt. washed 10 min, 40 PSI < 10 % Outstanding
10-20 % Very Good
20-30 % Good
30-50 Okay/average
>50 % Poor
3. Mechanical/Roll Stability, w/10 10,000 strokes <10% Excellent
% water 10-20% Good
>20% Average/Poor

4.2 Extreme Pressure Properties:

Extreme pressures are generally encountered in off high way, mining operations, steel mills,
cement / concrete manufacturing etc. Some extreme pressure (EP) properties are provided by
thickeners , like sulfonate thickeners possesses inherent EP characteristics however, by and
large EP additives are added to meet desired extreme pressure properties . These properties
are generally measured by following two tests

670
 i) Four Ball Weld Load (ASTM D 2596)
ii) Timken, OK Load (ASTM D 2509).

For normal EP requirement weld load of 250 kg and over is considered adequate. Similarly
Timken OK load of about 45 lbs is sufficient . For heavy duty operations like off high and
mining equipment and rolling operations in steel , heavy duty greases with four ball weld
load over 400 kg and Timken OK load of 60 lbs might be required.

Some other test data requirement and general recommendations are depicted in table-2 .
These recommendations, though not any set rule , are however based on experience based on
trial and product applications.

Table – 2
General Recommendations and Test Data Requirements.

Property Test Property Data Remark

Stability / Pen after 100,000 strokes < 30 Will not leak

Strength during storage /
Roll Stability < 10 % running
Leakage Tendency < 6 gm
High Temp. Drop Point < 350 Multi-purpose
Property
> 350 High Temperature
Heavy Load Weld Point & Timken 250 kg, 45 lbs High Load - on
Capabilities' road
>400 kg, 60 lbs Heavy Duty - off
highway , mining

In summary, it is essential to understand your application requirements and then selection of

grease depends on your logical and judicious decision as more than one product might be
suitable for your application. While making change over from type of product to other, its
important to ensure the compatibility of existing grease with new grease .

5.0 References :

1. H. Peter Jost , Committee on Tribology Report, 1966-67, Great Britain. Ministry of

Technology; H.M. Stationery Office, 1968
2. A. Mukhopadhyay; “Tribology : A Potential Source of Energy Savings in Industry”
Propagation , Volume 2, No. 2, July 2011.
3. NLGI, “Grease Production Survey Report” Kansas City, Missouri, 2011

671
 Implementing Reliability into your assets through
Predictive Maintenance and Lube Excellence
Ken Hughes

Reliability Centered Maintenance (RCM) and Total Productive Maintenance (TPM) are two
important processes that can be used to maintain asset integrity. This session will provide an over view
of some of the things that Power Partners has implemented to reduce total down time in the facility by
over 50% in 5 years.

About Us
Power Partners is a leading manufacturer of overhead distribution transformers, serving utility,
industrial and commercial customers in North America, Central America, Mexico, the Caribbean and
other markets. Working with Suppliers, we provide value to our customers, associates and community
by responsibly producing reliable, energy-efficient distribution and cooling solutions.

Our facility is 677,400 square feet under the roof and we employee 415 associates. Our facility has
produced over 8 million transformers since 1958. We produce single phase, three phase and
submersibles transformers as well as absorption chillers.

Our Vision is “Transforming the world through innovative manufacturing.” Our mission is
“Partnering with suppliers, PPI provides value to our customers, associates and community by
responsibly producing reliable, energy-efficient distribution and cooling solutions. Our Values include:
Safety, Quality, Delivery and Cost; Thrill the customer; Rise to the Challenge; enthusiastically improve
everything you can; Pride and Passion in all we do; Encourage and serve daily; Think like an owner,
control your own destiny.

Maintenance also has a vision and mission statement: The vision statement for maintenance is,
“The maintenance Department is a respected, strong, eager bunch of well-trained & educated
associates committed to safety & excellence in work performed, so that less downtime, and “always
being ready to run,” will help to achieve continuous flow and ultimately greater profitability. Our
mission is to proactively apply our expertise and resources to sustain the condition and functionality of
all assets in the safest manner possible. Do you have a maintenance vision and mission?

A Case for Change:

The primary case for change is the desire to improve the bottom line. Equipment downtime is very
expensive to any organization.

Reliable Plant 2013 Conference Proceedings |

672
 Power Partners has had a reduction in overall down time of over 50% in a period of 5 years.

The roadmap for achieving this improvement to move from reactive to proactive is through 7S,
MRO, RCM, Lube Excellence, Maintenance excellence, and TPM.

Lean as it applies to maintenance starts with 7S. The seven S’s are Safety, Security, Sort, Straighten,
Shine, Standardize, and Sustain.

Storeroom management is anther key element of world class maintenance. I intend to show before
and after pictures of how we transformed our storeroom and reduced our obsolescence.

Reliability Centered Maintenance is the third key element of our success. Our reliability engineer
implemented lubrication excellence in our facility and brought vibration analysis in house to enhance
our reliability efforts. Optimizing PMs was a huge focus as well making sure we were performing PM to
a standard and catching problems before they happen.

We will show before and after pictures of our lube area and new lube room to show the standards
that were put into place.

The result of RCM is lower cost, less waste and a huge reduction in hydraulic related failures.

The cost savings in oil alone was over $45,000 annually by moving to condition based maintenance.
More than enough to cover cost of filtering equipment.

Case Study #1
On our core annealing furnace we used babbit bearings. This application created a lot of
stress on the bearings and good lubrication could not be achieved. The bearings were also
located in an area that required a ladder to access. The bearings would typically fail after 6
months of service.

New roller bearings were installed with an automatic lubricator. Since the change has been
made the bearings are still operational after 4 years.

A second enhancement on this annealing furnace is using graphite bearing technology to

replace the water cooled grease bearings. Graphite works well in high temperature slow RPM
applications like this one and saved a huge amount of labor, grease, and heating load on our
cooling tower.

Case Study #2
The second project we tackled was our oil degas equipment. In this application we spent
capital to replace the equipment. The equipment had so many leaks and too many problems to

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cost effectively reduce the oil consumption. The newer equipment uses no water for cooling
and has no leaks and the level of dryness for our oil is much better than specification

Case Study #3
The last case study to share is our power unit consolidation process. We had an application
that used 3 power units for 6 presses. However, the operators never utilized over one press at
a time. We purchased one new power unit to replace the 3 and used a header to supply each
machine with a valve. The result is less oil in our overall inventory and huge energy savings
removing 2 15 HP motors from the plant load.

TPM
Total productive maintenance is a lean approach to world class maintenance. We will
explore the 5 major components of TPM and how to utilize them in turning your reactive
maintenance to proactive.

The 5 areas are maintenance excellence, autonomous care, equipment improvement

teams, early equipment care, and training. Maintenance excellence is all about process and
procedures for how maintenance is performed. Autonomous maintenance develops the
operator standards and self care. The kinds of things we would shift to an operator are things
like cleaning and inspection. Sometimes lubrication if the proper training is performed. I will
share our story on how we implemented on our seam welder machine and show metrics of
improvement.

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 Integrating Operations and PdM into a
Comprehensive Reliability Strategy
James Payne, Ed Nealis- Exelon Power
Jeff Evans, Malcolm Zerbe- Maintenance Strategies, Inc.

Abstract
Many organizations have numerous programs and processes for managing assets including the use
of various PdM technologies, operational inspections, equipment testing, et al. With all of this data,
companies struggle with how to integrate the data into a comprehensive strategy focused on improving
reliability and optimizing asset performance. This paper will outline strategies used to improve
operations within Exelon Generation, how mobile devices were introduced, and how operational
activities were integrated with other PdM activities to create an integrated asset health strategy.

Developing an Integrated Reliability Strategy at Exelon Power

Exelon Generation is the leading competitive power generator in the nation, with owned generating
assets totaling more than 34,650 megawatts. Its subsidiary Exelon Power owns and operates a fossil and
hydro generation portfolio that consists of baseload, intermediate and peaking stations, located in nine
states and in Canada. Exelon’s plants utilize a diverse fuel mix of coal, oil, landfill and natural gas which
allows Exelon to remain competitive in many market conditions.

Being a leader in the utility industry, Exelon has always strived to develop and implement advanced
operating and maintenance strategies to maximize plant availability and reliability. As part of this focus,
Exelon has implemented an Integrated Reliability strategy that utilizes a Condition Based Maintenance
(CBM) approach to asset management. This strategy integrates and uses data collected from
Operations activities and Predictive Maintenance (PdM) technologies to assess equipment condition. By
knowing the current health of equipment through the integration of condition data, plant personnel can
make better, more informed decisions regarding maintenance requirements and operational changes
that may be needed.

The goal of this integrated strategy is to reduce failures and downtime, increase reliability and
availability, and optimize O&M and capital expenses. One of the challenges that existed early on was
how to effectively collect, analyze, and manage condition health data within the organization. Each work
group had different informational needs and processes. Operations needed a way to manage their
operations and compliance data but also make sure the CBM team and System Engineers were informed
of issues they found. CBM personnel needed a way to standardize how information was collected and
disseminated to Operations, System Engineers and other groups; they also needed to know when
Operations found problems where their diagnostic technologies could help solve a problem. System

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Engineers needed PdM information, Operations information, and any other useful information available
regarding asset health since they were often the final decision makers regarding what maintenance is
required and when it should be performed. Information also needed to be segregated based on roles so
that subject matter experts (SME's) would only receive the relevant information they needed for their
responsibilities (i.e. rotating equipment specialists, electrical specialists, motor experts, water chemistry
/ boiler specialists, etc). In order to address this highly complex matrix of informational needs, Exelon
developed and implemented processes, procedures and software systems to integrate and manage
condition data and create a Condition-driven work flow.

The following sections will outline two key elements which were implemented to support Exelon's
Integrated Reliability strategy: 1) how mobile devices were introduced to automate Operations
activities, and 2) how PdM technologies were integrated with Operations information thus creating an
integrated and comprehensive asset health strategy.

Introducing Mobile Technology to Automate Operator Rounds

Operations teams within a power generation plant have a wide range of duties and responsibilities.
Not only do they have to operate the plants, but they are also responsible for many inspection and
compliance activities including:

 Plant rounds (walk-around inspections, checks and process data collection)

 Control Room rounds

 Environmental checks

 Water Chemistry rounds

 Machinery Lubrication and Oil sampling

 Compliance inspections (batteries, fire system, OSHA, etc)

Operations are often the first line of defense regarding equipment reliability. They are the "eyes
and ears" of the plant and they see, smell, hear, and feel changes that aren't always detected with real-
time monitoring and digital control systems. In addition, there are key failure modes for equipment (i.e.
lack of lubrication- low oil level) that are more easily detected through simple walkaround inspections.
As a result, Operator rounds activities are a critical element in monitoring and trending of asset health.

Initially within Exelon, Operator rounds processes were paper-based using check sheets and forms.
This was inherently problematic because the data was not electronically captured and stored, and thus
not easily accessible to the people who needed it. In addition, the condition data was typically filed
away, rarely to be used again until a failure occurred and it was needed for a post-mortem assessment.
In order to improve this process, Exelon introduced the use of mobile handhelds within their Operations
groups to automate the collection of rounds, inspection, and compliance data. Using a ruggedized

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mobile device, operators now perform their rounds and inspections electronically- walking up to a piece
of equipment, scanning the barcode, and inputting results on the spot. They can input notes,
deficiencies, pictures, and voice comments right at the point of inspection (see Figure 1).

Figure 1

Mobile Data Collection

for Operator Rounds

Once data is electronically collected in the field, it is uploaded into their centralized CBM System for
alarming, trending, analysis, and integration with other condition monitoring data.

At the Fairless Hills Generating Station, mobile technology and systems were introduced in 2011.
Following a four week implementation phase, electronic rounds for operator activities went live-
eliminating 26 pages of data collected each day. Initially, when electronic rounds was rolled-out, not
everyone liked the change from paper to mobile. However, within the first month, personnel started to
realize how useful it was to have their data accessible and centralized in one system. They started to
embrace the new processes and began creating customized charts and trends to help them monitor
equipment health more effectively.

The introduction of mobile technology has streamlined the overall work flow process for the
Operations staff. It now encompasses thirteen individual routes with a total of 700+ monitoring points
being collected, analyzed and trended each shift. The benefits of implementing the use of mobile
technology have been considerable. From an organizational efficiency perspective the electronic rounds
program has:

 Improved productivity & data accuracy

 Automated alarms and notifications to push information

 Created an effective “follow-through” process to ensure problems/alarms are addressed

 Given the ability to easily demonstrate compliance for audits

 Improved access and utilization of data

 Centralized data with the ability to integrate with other PdM data

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  Provided methods and tools to trend asset condition

 Automated calculations including the landfill gas energy output

 Automated reporting to management for:

o Alarm conditions

o Program performance & effectiveness

o Equipment Status

From an equipment reliability and asset health perspective, the Operator rounds program has
proactively identified over 350+ exceptions over the last year Figure 2 illustrates a breakdown for the
types of problems identified from 2012:

Fairless Hills Exceptions 2012

250 236

200

150

100
62 61

50
13 11 10 6 2
0
n
al
m
e

n
n

io
su

io

t
io

io

le
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at

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at

at

is

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ro

en
ic
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on
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de

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ist
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ru
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s

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m

on
es

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oc

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Figure 2: Problem Distribution from Fairless Hills Ops Rounds (2012)

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Integrating PdM Data and Operations data
The use of Predictive technologies is another key element in Exelon's overall Integrated Reliability
strategy. Since the early days of PdM adoption in the utility industry, Exelon has championed the use of
these diagnostic technologies. A centralized CBM team provides PdM program support for all the plants
within the fossil and hydro fleet. The vibration program is a combination of real-time vibration
monitoring and walk-around vibration spectrum analysis. The oil analysis program monitors all critical
oil lubricated systems and equipment (turbines, gearboxes, motors, compressors). The infrared (IR)
inspection program inspects electrical equipment, mechanical equipment, and steam components for
thermal anomalies. The motor testing program performs online and offline testing and winding
assessments for critical motors from 480V through 4kV. Within the substations and switchyards,
insulating oil analysis, IR inspections, and power factor testing are performed on large high voltage
transformers, breakers and switches. A relay and battery testing program exists to inspect and test
these critical components in order to comply with regulatory requirements from NERC.

As these proactive programs were developed and matured, Exelon had a huge challenge to
overcome- there were islands of information scattered throughout the enterprise, each with different
processes and procedures regarding who has access, and how the data is managed. This included
numerous systems, service providers, oil labs, and internal Exelon groups all with a "piece of the pie."
In order to leverage and utilize all of this data for asset health assessment and eliminate silos of
information, Exelon developed and implemented new processes and tools as part of their overall
reliability strategy to integrate all this data and create a common business process for managing the
information (see Figure 3). A central CBM system was implemented, interfaces to existing systems
were developed, and new methods and processes were rolled out to help effectively manage the data.
Having access to all of the condition data allows for optimized decisions- one piece of data is good, but
multiple sources of data provides a higher the confidence factor is that the right decision is being made.

The following example illustrates how multiple technologies and work groups can work together to
investigate an issue when information is flowing freely. During a normal operator round at a critical
Exelon plant, abnormal noise and vibration was identified on a critical fan/exhauster. The CBM team
was alerted and investigated. They found that vibration levels had tripled and the spectrum indicated
an imbalance situation existed. A video inspection was performed and identified worn fan blades and
holes in the exhauster liner. The equipment was scheduled for a PLANNED shutdown during off-peak
production times to perform repairs and balancing. The equipment never failed and significant damage
was avoided.

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 Figure 3: Integrating Technologies

Vibration
Ops Rounds Oil
Analysis
Analysis

Motor Testing Integrated CBM Program

Power Factor • Equipment Condition Status
Infrared
• Integrated Analysis & Trending Inspections
• Automated Notifications
• Rules & Algorithms
• Key Performance Indicators
• Management & Technical Reporting

PM Inspection
Compliance

Real Time Criticality

Data Information

At the core of this integrated strategy is a proactive work flow that was developed with a simple
model: collect DATA, through integration and analysis, deliver useful INFORMATION to people that
need it so that DECISIONS can be made and ACTIONS can be taken (see Figure 4).

Data Collection Integration & Analysis

Data
Information
Monitor

Condition Driven
Work Flow

Actions
Work Execution Decision- Making

Figure 4: An Integrated CBM Work Flow for Reliability Management

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 Within the Exelon fleet of plants, there are thousands of assets, tens of thousands of points, and
hundreds of personnel who all need information. As a result, it is not enough to have all the data
together. Analytical tools and processes are needed and used to analyze this data, and identify changes
in equipment condition and/or performance that may require maintenance action. This includes
statistical analysis tools, trend engines, and rule-based algorithms to automate the analysis all of the
data, and assist personnel in understanding equipment condition. As part of this process, Exelon has
implemented an automated alarming and notification strategy in order to “push” potential problems to
the people that need to know. Using this approach, plant personnel do not have to review all of the
data to identify degraded trends or find abnormal conditions. The system automatically analyzes the
data and notifies the appropriate people via email or paging when certain conditions exist. This
automated analysis capability minimizes human intervention and helps focus resources on the problems
that really require investigation. Less time is spent trying to find potential problems, and more time is
spent resolving the issues that warrant attention.

The notification strategy implemented at Exelon varies from plant to plant and is very strategic in
nature to ensure the right information is delivered to the right people at the right time. For example,
PdM personnel are notified when Operations issues are identified from Operator rounds activities. This
helps to identify potential equipment issues that may occur in between monitoring cycles. System
Engineers are notified whenever unacceptable issues are identified in their respective area of expertise.
Since each engineer has specific roles, their notifications are customized accordingly. For example,
motor SME's only get notified for motor issues; transformer and breaker experts get notified for
substation issues. Within the Operations group, supervisors are notified whenever a new Ops problem
is identified (since they own the process) and also whenever an unacceptable PdM problem is identified
(in case there may be operational impact considerations).

Another key element in Exelon's overall strategy for managing asset health is Exception tracking.
Being able to integrate, analyze and notify personnel are important steps in the overall process, but
each issue must also be tracked and have an effective mechanism to capture the information, decisions,
and actions taken. Not all issues require immediate action but might require more frequent monitoring
to assess how conditions are trending. Within the Exelon work flow, whenever an alarm is triggered, a
rule is met, or a problem is identified from any program, an exception is generated. The exception
serves to document what the issue is, what analysis was performed, what recommendations are being
made, and ultimately if a work order is created to take action. It also tracks cost benefit information,
failure history, downtime and can be used to calculate MTTR and MTBF. All programs and groups use
the exception process as the standardized way to document condition health issues- Operations, PdM
personnel, relay technicians, substation inspectors, et al.

Initially when an exception is created, it is viewed as an "unanalyzed" condition- some threshold was
met or some problem was found in the field. After the situation is analyzed and ALL of data available is
considered, the condition status is updated based on the findings. A simple "green-yellow-red" stoplight
approach is used to status the exception. If the problem is severe enough or actionable, a work order
may be triggered. Notification processes are also linked to the exception such that when an exception is
created, a notification goes out; when the status changes, a notification will go out; if a work order is

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triggered, a notification may go out. Each one of these triggers may occur at different times and
different groups may get involved or notified at different stages of the review and decision process.

It is important to note that in a mature CBM program, many of the exceptions identified are often
found in the early stages of failure. As a result, these exceptions are usually not immediately actionable.
So having the ability to monitor these types of conditions over time is an important part of condition
health management. For example, if the bearing temperatures on a fan are slightly above limits, the
engineer may decide to wait until it reaches a higher threshold or until degradation is seen in the
vibration spectrum or the oil analysis report before taking action. Thus the exception may be put on the
"watchlist" and monitored for degrading trends. If the trends worsen or other indicators arise, the
status may be downgraded and a work order triggered. If the temperatures stabilize and remain that
way for a period of time, it may be classified as acceptable and the exception would be statused to
"normal" and closed.

There are many factors and nuances that exist regarding asset health decisions. As a result, the
exception tracking process is a critical element in standardizing how problems are captured, what
changes have occurred over time, and what actions have been taken- for all technology programs. It
also provides a foundation of knowledge that can help improve decision making in the future and create
an environment of continuous learning. Personnel turnover, attrition, and loss of institutional
knowledge are real issues today for large utilities; and being able to capture decisions and SME
knowledge within the exception can also provide significant value in the future- especially for an
inexperienced engineer who is just starting out in the plant.

Reporting and Metrics

Managing asset health not only requires effective processes to manage discrete data down at the
ground level, but it also requires the ability to roll up volumes of data and provide useful summaries and
reports to people needing to make decisions. Like notifications, reporting must be automated and be
able to deliver the right information to the right people when they need it. As part of their reporting
processes, Exelon has dozens of reports and metrics, customized to each user's needs, which go out on a
regular basis- pushing the information to the people who need it. This includes management reports,
exception reports, operations reports and technical reports. Some reports are detailed with ground
level information and some are charts or graphs that summarize high level statuses.

Within the management of Operator Rounds activities, reports are provided to shift supervisors for
new alarms, the status of open exceptions, and the performance of tasks. These reports are used to
facilitate shift turnovers and ensure all shift supervisors are aware of the issues that may affect the plant
operations. Within the CBM team, a weekly status report on open exceptions is reviewed with multiple
plant groups to ensure that all organizations are aware of PdM issues. Relay personnel receive testing
reports which get used for regulatory agencies to demonstrate compliance. Substation personnel
receive exceptions and status for high voltage assets. Similar reporting practices are defined for
Rotating equipment specialists, electrical specialists, and other SME's. Condition health summaries are

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also provided to give plant personnel a high level view into the overall asset health based on all the
condition data (see Figure 5).

Figure 5: Integrated Condition Health Summary

Being able to automatically receive information regarding new exceptions, what conditions and
statuses have changed, and what actions are required are useful tools to ensure reliability issues are
being proactively acted upon to prevent failures. The reporting processes also provide plant personnel
with the ability to effectively manage each of the key programs and evaluate work flow processes to
make sure they are operating efficiently.

Maximizing the Utilization of Data

Detecting and preventing equipment failures is certainly a cost-effective use of Operations and CBM
data (from a reliability perspective), but typically only 15-20% of all data collected indicates a problem
exists. What about the other 75-80%, which indicates that equipment is in good operating condition?
In order to maximize the utilization of data, Exelon has also utilized CBM data to optimize their
Preventive maintenance activities and ensure the right tasks are being performed at the right intervals.
In many situations, traditional time based activities can be replaced with more condition-directed tasks.
For example, Exelon has utilized monitoring and diagnostic data to eliminate time-based oil changes,
optimize electrical PM’s, and eliminate periodic machinery overhauls. In addition, CBM data can be
used to assist in end of life replacement decisions. There are many machines and equipment that are
40+ years old and will continue to run reliably based on good maintenance practices and effective
monitoring strategies. These are also areas where CBM adds value and helps Exelon remain
competitive.

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Conclusion
As utilities strive to become more competitive, technology alone will not create a sustainable
competitive advantage. Business processes must also change to accommodate the new technology and
the workforce must be retrained to follow these new processes. Exelon Power has successfully
developed an Integrated Reliability strategy where Operations and CBM data is utilized to create a
Condition-driven work flow; a proactive business process where data drives decisions and the
organization is aligned and focused on reliability. The benefits realized are significant:

• Improved Reliability

– Fewer equipment failures

– Early detection of performance issues

– Access to information regarding asset health to make timely decisions regarding

operating & maintenance needs

• Organization Effectiveness

– Reduced time spent reviewing & analyzing data and compiling reports

– Enhanced communication- push processes

– Standardization- common business processes for efficient operation

• Reduction in O&M expenses

– Enhance revenues through increased availability and reduced forced outages

– Optimized decisions for maintenance planning & capital replacements

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 iPads in the Workplace
Apps and Workflows Session

Tim Chaten and Thomas Hoenig

In this session attendees will learn how to utilize their iPads in the workplace. You’ll learn about
some of the benefits to using an iPad over other tablets. Basic tips and tricks will be shared for those
unfamiliar with the iPad and its operating system.

The first part of the session will cover general use cases and apps for the iPad. These topics include
email, contacts, calendar, task management, video conferencing, remote access, notes, PDFs,
brainstorming, presentations, and billing.

The second part of the session covers how to use your iPad as a predictive maintenance system.
Topics include: vibration analysis, balancing, and thermography. The session will equip attendees with
the knowledge they need to use their iPad in the workplace.

Notable Accessories and Apps:

Accessories: Otterbox Cases, Apple’s Bluetooth Keyboard, Pogo Connect Stylus, MiFi, Printopia
or AirPrint Activator for Windows.

Cloud File Storage: Dropbox, iCloud, The Transporter, GoodReader

Contacts and Calendars: VIPorbit, Bento, Calendars by Readdle, OmniFocus

Notes and Task Management: Evernote, MirrorCase, OmniFocus, OmniPlan

Video Conferencing and Remote Access: Skype, WebEx, GoToMeeting, Fuze Meeting, LogMeIn,
SonicWall, iTap RDP

PDFs: iBooks, GoodReader, Dropbox, PDFPen, PDFExpert

Brainstorming: MindNode, MindMeiser, iThoughts HD

Presentations: Keynote, Keynote Remote App, Satechi Bluetooth Smart Pointer Mobile
Presenter, OmniGraffle, OmniGraph Sketcher, Noteshelf

Time and Billing: OfficeTime, PayRecord, Time Master + Billing, Bizmo Accounting

Vibration Analysis: VibePro, VibeTrend, GTI’s Vibration Analysis Accessories

Balancing: iRotorBalancer, GTI’s iPad Compatible Tachometer

Thermography: FLIR Camera and FLIR Mobile Tools App

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 Lube Manuals Should be More Than Cut Sheets
Insist on the necessary details

Gerald E Putt, CMRP, MLT1

Historically lube manuals have been little more than compilations of detail sheets covering the
primary components contained within the system. While we must acknowledge that often the supplier
does not know the conditions under which the equipment will operate, that does not excuse them from
providing information that can be extremely valuable in lubricant selection and developing the
procedures that would be important in the lubrication of the equipment. Bearing details, loads, speeds
etc. are far more readily available to the designer than to the maintainer. A good lube manual can be a
valuable document that can go a long way toward bridging that gap.

What should we expect in our lube manual?

Some of the key items we should expect to see in our manuals include:

• Detailed and illustrated lubrication procedures (oil change, grease change, grease add, oil
top-up, etc.).

• Detailed and illustrated flushing procedures and listing of suitable fluids for flushing.

• Oil change interval/regrease interval.

• List of all lube points.

• Recommended lubricants (performance specification) for all lube points and operating
conditions (speeds, loads, etc.).

• Brand/type cross-reference for all lubricants.

• Equipment storage protection practices/products, including use of fogging agents, shaft

extension sprays, breathers and vapor-phase rust inhibitors.

• Roll-off cleanliness of new equipment fluids/lubricants.

• Run-in procedures for gears and similar equipment.

• Seal compatibility information for system lubricants

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Sources of Information - OEM
• Review OEM manuals for any preventive or predictive maintenance recommendations.

– This may be the manual for the entire machine in the case of purchased equipment,

– or subassemblies for designed equipment.

• Frequently the OEM manual will give information regarding inspections, or adjustments that are
required to maintain the equipment

• Source of important information for lubricant selection and any special requirements

• Consider the operating conditions that the OEM recommendations are designed to
accommodate. If the operating conditions, such as speed, temperature, humidity, differ from
the recommended environment, adjust accordingly

Sources of Information – Lube Survey/Training

• It would be preferred that a competent individual that does not work for an oil supplier
complete the lube survey. This will result in the most objective survey and access to Optimum
Ref. States

• If that is not possible, it is advisable to have an oil supplier representative complete the survey.

• Lubrication materials should be specified by properties, not by a particular manufacture’s part

number.

• Regardless of who completes the survey, it is expected that the survey involves a review of OEM
recommendations for commercial items, and a machine survey to identify frequency and
materials for internally designed items.

• Labels should be affixed as appropriate to indicate material and location of lubrication points.

Training, such as Fundamentals of Machinery Lubrication and Practicing Oil Analysis, will provide
much of the need background to aid in items such as:

• Lubricant selection
– Grease-oil, mineral-synthetic, viscosity, additives etc.

• Application methodologies
– Grease gun, SPL, automatic multi point
– Splash, circulating, spray, mist, ring, collar, constant level etc.

• Lube quantity, frequency

• Contamination control

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Designer has detailed information that should be conveyed to the maintainer, such as:

– Speeds dN, nDm

– Loads

– Types of bearings (plain, roller) (open, shielded, sealed)

– Temperatures

– Pressures (load vs surface areas of plain bearings, etc)

Procedures
Procedures should be documented in the manual and have the following characteristics:

• Item specific

• Standardize

• Identifies

– Access requirements

– Equipment requirements

– Special requirements, such as return to manufacturer for lubrication

Cleanliness
The designer should be able to suggest a target cleanliness specification based upon the components
utilized, pressures etc. Once the designer has set a target, details such as the appropriate breathers,
location and type of filtration, primary and secondary sampling ports etc. can be incorporated.

Summary
Ron Moore of Ron Moore and Associates drove home the need for a concerted effort from the
design, procurement, installation, operation and maintenance phases to truly achieve reliability
potential. Often individuals make good decisions and intend to put the right concepts in place.
Unfortunates we seldom have the opportunity to discuss the important concepts incorporated by the
designer, therefore, we must find a way to make this important connection between the designer and
end user. A good lube manual can fill much of this gap.

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 Lubricant Deposit Characterization
Dave Wooton of Wooton-Consulting, Greg Livingstone of Fluitec & Eric Ambrose of Insight Services

Summary
A growing performance problem with in-service lubricants is their generation of deposits, also known as sludge
and varnish. This issue has been defined as one of the most important reliability issues for rotating equipment
and servo-actuated hydraulic components. Depending upon the application, these deposits can cause a host of
problems from sticking valves and plugged lubricant orifices to inefficient heat exchanger operation. In most
cases, lubricant deposits are referred to as varnish and are thought to all be the same. In reality, deposits have a
wide range of different chemistries depending upon the formulation of the lubricant, the application, the mode of
degradation and interaction with contaminants.

Understanding the chemistry of the deposits is important for two reasons. First, the chemical and elemental
make-up of the deposit provides key insights into the root cause of the deposit. Determining the cause of the
deposit allows plant operators in many cases to address the root cause of the problem and prevent similar
deposits from impacting their operations in the future. Second, understanding the chemistry of the deposit
becomes important if one is installing a contamination control technology designed to remove the contaminant
and prevent deposit formation issues. Each type of deposit may require a different treatment technology.

Introduction
The current practice for the users of industrial lubricants has been to assume that all deposits or varnishes are
created equal. One has a tendency of looking at the color of a deposit and assumes that since it is brown, it must
be the same as the brown sample previously observed. This assumption can be far from correct and can lead to
incorrect corrective actions. There are many chemistry types in varnish materials.

When one thinks of sludge or varnish the concept needs to be broadened. This material is not simply the
oxidation or degradation products from the lubricant. It is more generally the material that is coming out of the
fluid to potentially cause operational issues. Equipment reliability issues are not only caused by fluid degradation
and varnish deposits but any material that is not a homogenous single phase with the lubricant. Therefore, any
foreign material causing deposits in the lubricant can potentially be defined in this category.

Deposit Characterization Process

The characterization of deposits becomes the path toward a root cause of its formation. There are a wide variety
of testing technologies available for determining the chemistry of the deposits. However, it is sometimes
challenging for operational plants to obtain samples of deposits to allow for this analyses. It is much easier to get
a sample of the in-service lubricant. In this case, the first step is separating the oil degradation products believed
to be responsible for generating the deposits from in-service oil samples. The separation step developed can be
accomplished physically, mechanically or chemically.

689
The next step is to determine the organic and inorganic composition of the deposit. Two useful tests for analyzing
the lubricant are elemental spectroscopy and Fourier Transform Infrared spectroscopy (FTIR). Common deposit
characterization tests used in these studies are FTIR and X-ray Florescence spectroscopy (XRF). These results are
then compared to allow chemical characterization of the deposit, as well as possible root cause to be determined.
These steps are presented in Fig. 1.

Separation
Lubricant Deposit
Process

Elemental
FTIR XRF FTIR
Spectroscopy

Compare
Results

Characterize
& Classify

Determine
Root Cause

Figure 1: Root Cause Determination Process

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Lubricant Degradation & Deposit Formation
There are many sources of lubricant degradation that often lead to deposits. Some of these include:

Oxidation
Thermal Degradation
Micro-dieseling
Spark Discharge
Extreme temperature zones
Combustion
Ultraviolet Degradation
Contamination
Incompatible lube or other liquid
Dirt and hard particles
Water
Gas
Additive Reaction By-products

Once a fluid has undergone degradation, been exposed to contamination or initiation failure, there are several
factors to determine the lubricant’s propensity to develop deposits. The formulation can play a large role in this.
Engine crankcase formulations contain dispersants to suspend or solubilize soot and other degradation products
in the fluid. The base stock of the lubricant also contributes to its solvency and the fluid’s deposit control abilities.
Mineral oils have lower solvency and synthetic API Group V fluid have higher solvency.

In addition to lubricant formulation, two other variables that determine deposit formation are temperature and
pressure. These factors are particularly relevant when the degradation products are soluble and easily transition
in and out of solution. Lower temperatures will decrease a fluid’s solvency causing some types of degradation by-
products to precipitate forming deposits. Pressure can also drive these contaminants out of solution explaining
one of the reasons why it is common to see deposits in journal and thrust bearings.

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Deposit Classification Bins
There are many mechanisms that degrade lubricants and even a higher number of different chemistries found in
lubricant deposits. The virtually limitless number of deposit chemistries however can be classified by their
physical characteristics and the source of formation. Sorting deposits into classification bins is beneficial to better
understand the source of the deposits and determine appropriate remediation efforts. This paper suggests some
nomenclature and definitions for these Deposit Classification Bins as shown below in Fig 2.

DEPOSIT

Organic Water Lubricant Non-organic

Formulation Derived Formulation Derived

Thermoplastic Inorganics

Thermal
Soot
Decomposition

Oxidatively Derived Coke

Contaminant
Derived Coal

Biological

Figure 2: Deposits Classifications

These bins can first be defined as Level 1 in broad terms based on their chemistry, as illustrated in Fig. 3.

Wooton, Livingstone, Ambrose Reliable Plant 2013 Conference Proceedings

692
 DEPOSIT

Organic Water Lubricant Non-organic

Figure 3: Level 1 Deposit Classifiction Bins

Better understanding the composition of the deposit allows further classifications based on the deposit formation
source. The most basic chemistry difference is based on if the deposit is organic or non-organic.

Non-organic deposits can be defined as those deposits that are insoluble in highly polar organic solvents and
contain no carbon-hydrogen spectral features.

Organic deposits can be defined as that material that contain carbon-hydrogen bonds (CH2 and CH3), is primarily
insoluble in hydrocarbon solvents (which makes it a deposit), and is often soluble in polar organic solvents.

Water content is also found in many deposits. Although water is potential sediment itself, it more often is part of
the deposit. It often determines the consistency and tenacity of a deposit. It is common to find moisture in
deposits when they are first generated, allowing the deposits to be easily wiped off. These types of deposits are
often referred to as sludge; however, they don’t necessarily contain the chemistry to make them actual sludge.
Over time these deposits may dehydrate and cure onto metal surfaces becoming difficult to remove mechanically.
These deposits are often referred to as varnish.

In contract, sludge deposits have been shown to be those containing metal salts of carboxylic acids. When these
deposits are dried they become powders. They physically differ from varnish in that they are always soft deposits.
These deposits are classified as oxidatively derived-organic deposits with inorganic parts.

Deposits that fall into the Lubricant Bin are those components that are part of the oil formulation. Occasionally,
one may find an additive component that has come out of solution from the lubricant and deposited itself in the
system. Improper blending or additive incompatibility is a prime cause of this type of deposits. Incompatibilities
between two lubricant formulations can also cause one or more of the additive formulation to come out of the
solution to from a deposit.

Further categorization of the deposits into Level 2 Classification set of Bins is also possible allowing one to group
by the sources of deposit formation.

Organic Deposits

Wooton, Livingstone, Ambrose Reliable Plant 2013 Conference Proceedings

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Organic deposits are often soluble in the in-service lubricant, allowing them to transition in and out of solution
depending upon the environment. These deposits are often referred to as “Soft Contaminants”. Organic deposits
can be further categorized by formulation derived, thermoplastic, thermal decomposition, oxidatively derived and
contaminant derived. This Level 2 Classification is illustrated in Fig. 4.

Source

Formulation Derived

Thermoplastic

Thermal
Decomposition

ORGANIC

Oxidatively Derived

Contaminant
Derived

Biologically
Derived

Figure 4: Level 2 - Organic Deposit Classifications

Formulation Derived – Many additive components may contribute to deposits either after they have reacted or
due to dropping out of solution in an unreacted state. It is common to see reaction products from sacrificial
additive components in deposits. In Rust and Oxidation lubricants, it is common to find reacted primary
antioxidant species in deposits, which produce organic deposits.

Thermoplastic – Some high temperature degradation processes produce high molecular weight molecules that
create deposits that act like thermoplastics. These deposits are typically solid at room temperature however
become liquid and able to flow at elevated temperatures (typically at or below fluid operating temperatures). It is
common to see this type of deposit from fluids that have failed due to spark discharge.

Wooton, Livingstone, Ambrose Reliable Plant 2013 Conference Proceedings

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Thermal Decomposition – Hydrocarbon molecules will typically crack at temperatures above 300 oC. There are
two actions that can happen. The first is the small molecules that are cleaved-off will volatize from the fluid. This
portion of the reaction is not a deposit former. The second is molecular condensation. As the small molecules are
split off the remaining portion of the molecule will condense into itself. This condensation is in the absence of air
so dehydrogenation will be part of its decomposition. As a final product the formation of coke will be observed,
however there are numerous deposit chemistries observed before the coke is formed.

Oxidatively Derived - Deposits consisting of oxidatively derived deposits are among the most common
classification found in lubricant deposits because oxidation is one of the primary lubricant failure modes. These
deposits usually have a higher molecular weight than the lubricant, which impacts their inability to stay in
solution. Many incorrectly assume that most deposits fit into this category.

Contaminant Derived – Organic contaminants can ingress into the lubricant system initiating a reaction with the
current formulation or have incompatibility with the fluid resulting in an organic contaminant deposit. This has
been observed with some types of gas contaminants that may react with the in-service lubricant to create unique
organic deposits. Ammonia gas ingression for example has been found to react with Oxidation Derived
degradation products to create deposits consisting of primary amides. Other gases have been to produce their
own signature deposits.

Biologically Derived – Deposits that are derived from biological growth include plant materials such as sugar,
cotton and proteins. These are often from fermentation processes. Microbial growth can also cause deposits
classified in this bin. Although these deposits are organic in nature, they are typically found with the non-organic
deposits during isolation.

Wooton, Livingstone, Ambrose Reliable Plant 2013 Conference Proceedings

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Non-Organic Deposits
Non-Organic deposits are also defined as a Level 2 Deposit Classification Bin.

Source

Formulation Derived

Inorganics

NON-ORGANIC Soot

Coke

Coal

Figure 5: Level 2 - Classifications of Non-Organic Deposits

The Non-organic Bin includes wear metals and dirt. In the non-organic classification, one finds the categories of
coal and plant life. These two do contain some carbon-hydrogen functionality; however, they behave more similar
to the non-organic than the organic. In addition, coal is often misidentified as coke or soot and thus should be
placed near these materials in the classification tree. When Coke is formed as a deposit, there is often a
corresponding Thermal Decomposition deposits observed in the Organic Deposit Classification Bin. The synergism
between these two allows improved identification of the source and thus the root case determination.

The choice of the analytical tools being employed can also be defined by the sample classification. If one observes
organic chemistry, the testing methodologies should be tailored toward organic characterization. Similarity non-
organic constituents have a different set of tools for their characterization.

Below are definitions of the different bins included in non-organic contaminants:

Wooton, Livingstone, Ambrose Reliable Plant 2013 Conference Proceedings

696
Formulation Derived – Many additive components may contribute to deposits either after they have reacted or
due to dropping out of solution in an unreacted state. Non-organic formulation derived deposits are typically
derived from depleted inorganic additive chemistries that have depleted, such as ZDDP.

Inorganics – Inorganic deposits can be defined as those that are free of carbon and are the bin where one defines
hard contaminants in the lube, such as dirt, debris and wear metals. It is also common to find inorganic deposits
derived from degraded additive components. Depleted ZDDP for example can produce inorganic deposits such as
phosphates and sulfates.

Soot – High temperature events may cause the formation of soot-particles. Soot deposits consist of black body
carbonaceous particles less than 1-micron in size and use typically generated from a dieseling event such as in a
diesel engine or in micro-dieseling (the implosion of air bubbles).

Coke – High temperature events may also produce coke. These are black body carbonaceous materials larger than
1-micron in size. These deposits are typically generated from severe overheating (above 300 oC) of an organic
material until it has released all of its hydrogen and oxygen.

Coal – Coal deposits are also black body carbonaceous materials larger than 1-microns in size, however they
exhibit solubility in some polar organic solvents such as Tetrahydrofuran or Pyridine.

Root Cause Determination

To perform a proper root cause analysis one should start with a collection of the deposits, the in-service fluid and
any know materials that come in contact with the system. Often, but not all the time, the deposit components
can also be identified within the in-service fluid. In addition the overall condition of the fluid tells volumes about
the formation direction. For example if the antioxidant level is in good condition, one should look at something
other than simple oxidation as the cause.

After gathering as much data about the fluid condition, we characterize the deposit. A proper analysis of the
deposit is often the root cause determination itself. Defining the deposit source classification, will allow direction
to fixing the cause. Many times the deposit contains more than one deposit classification. That information can
assist in this root cause determination.

A deposit from a centrifugal compressor used at a petro-chemical site in Scandinavia was recently analyzed. The
following deposit types were identified in our analysis: inorganic, soot, coke, thermal plastic, thermal degradation,
oxidation and lubricant. The deposit types are highlighted in the classification chart in Fig. 6.

Wooton, Livingstone, Ambrose Reliable Plant 2013 Conference Proceedings

697
 DEPOSIT

Organic Water Lubricant Non-organic

Formulation Derived Formulation Derived

Thermoplastic Inorganics

Thermal
Soot
Decomposition

Oxidatively Derived Coke

Contaminant
Derived Coal

Biological

Figure 6: An example of various deposit components found in a lube system deposit

Characterizing the different types of chemistries found in the deposit, allowed us to understand the various fluid
degradation mechanisms in this application. It was also critical in putting put together a strategy to address these
root causes.

With a root cause and deposit classification assigned, one can direct efforts toward the elimination and the
removal of the tar-ball deposits. The chemistry of the deposit defines the mitigation strategy since any one
deposit removal technology is not capable of removing all deposits. In addition, it is often beneficial to stop the
deposit formation before attempting to remove it.

Wooton, Livingstone, Ambrose Reliable Plant 2013 Conference Proceedings

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Deposit Classification Case Studies

Tar-Balls
A turbine oil lube sample from a US-based combined cycle plant during its yearly examination showed a
haze in the fluid when it was allowed to cool to room temperature and stand for 3-days.

Figure 7: Hazy fluid from problem system on the left and a clear fluid from a sister System on the right

This issue was not observed in other systems at the same site.

Shortly after discovering this issue the plant went into an outage. Suspecting possible problems in this
hazy lube system during the outage, the lube engineer visually examined the tank twice a day. His
observations however revealed an unexpected problem.

When the fluid temperature got below 32oC large black tar-balls were observed floating on the lube-oil
surface in the tank. Luckily the plant was in a major maintenance outage and the system pumps were
not is service. Since this was a 23,000 liter system there was insufficient lube available on-site to
perform a change-out. It was decided to use the filters for changed on almost hourly bases as the delta-
pressure dictated.

699
Figure 8: Kidney-loop Filter

During this operation one could observe the tar material adhering to the outside of the filters. There was
no evidence of the tar material going through the filter itself. The filter deposit also looked like it was a
liquid when the filter was removed. Upon cooling to room-temperature, the flowable tar became a
brittle solid, black/brown in color solid.

Based on the observations of the sample, a suitable chemical separation process was undertaken for
identification. This separation utilized a chromatographic separation sequence designed to separate the
tar-deposits for characterization.

The first fraction of the separation showed decomposed amine antioxidant derived from the lubricant
formulation.

700
 3391 1027
3048 1156

%T 2854

693
1459
1303
2924 766
748
Varnish Isolated Fraction 1
1385
PHENYL-A-NAPHTHYL AMINE(PANA) 1589

4000.0 3600 3200 2800 2400 2000 1800 1600 1400 1200 1000 800 605.0
cm-1

Figure 9: FTIR Spectra of Fraction 1 and Reference PANA

The spectra from Figure 9 show good agreement between the isolated material and the reference
spectrum of phenyl-alpha-naphthyl amine (PANA) antioxidant. The analysis identified this material as a
mixture of unreacted and reacted PANA. The unreacted N-H from the PANA can easily be seen in FTIR at
3391 cm-1 along with the characteristic fingerprint stretches in the 1500-700 cm-1 region.

The second fraction showed an ester – identified by the strong peak at 1730 cm-1.

107.6

100

90

80 3452

70

60
1648
696
50 766
%T
864 732
40
2968
30 2859 1455
Varnish Isolated Fraction 2
20
2925 Acrylate Defoamant 937

1239
10 1372 1100 1020
1735
2.7
4000.0 3600 3200 2800 2400 2000 1800 1600 1400 1200 1000 800 600 450.0
cm-1

Figure 10: FTIR Spectra of Fraction 2 and reference acrylate polymer

Figure 10 shows also shows an overlay of an acrylate polymer additive typically used to control foam in
these types of fluids. This spectral comparison indicates that the isolated material is an acrylate. This

701
additive could not be observed in the in-service fluids from this system – nor could it be observed in the
new fluid. If it came from this fluid (and not introduced as a contaminant) the levels in the fluid are
below normal FTIR detection levels.

If one categorizes the chemistry found in this case study it would fall into categories highlighted in
Figure 11.

DEPOSIT

Organic Water Lubricant Non-organic

Formulation Derived Formulation Derived

Thermoplastic Inorganics

Thermal
Soot
Decomposition

Oxidatively Derived Coke

Contaminant
Derived Coal

Biological

Figure 11: Deposit constituents identified in Case Study 1.

702
The formulation derived components were identified and sourced as the amine antioxidant in the fluid
formulation. The contaminant derived component was the foam inhibitor which was not in the original
oil formulation and found to be incompatible.

The conclusion from this study was that there was an incompatible fluid mixed into this system. This
lead the plant to deploy a quality control program to ensure that the incoming fluid is the same and
compatible with the current fluid in the system. If there are analytical fluid differences between new oil
deliveries, a strict procedure involving a compatibility study was implemented prior to mixing the oils.

Case 2 – Ammonia Compressor

A sample of varnish came out of an ammonia compressor in Romania. The compressor was on the
ammonia feed line. It was indicated that the compressor was very old, perhaps as old as WWII. . After
three months time with new oil, the system showed severe varnish. The remaining antioxidants and
varnish potential in the sample were in acceptable condition. The antioxidants compared to new oil as
measured by RULER were 70.6% amine and 27.9% phenol. The Membrane Patch Colorimetry (ASTM
D7843; MPC) values were 14 dE. These values indicate that the fluid is in acceptable condition despite
significant deposits visible in the system as seen in Fig. 12. This image shows dark-colored deposits on
the compressor’s journal bearings.

Figure 2 Journal Bearing showing Varnish

The deposit when received for analysis was dark in color as seen in Fig. 13.

703
Figure 13: Sample as received

The sample was cleaned by hydrochloric acid to isolate it into different fractions and analyzed by FTIR
spectroscopy as shown in Fig. 3.
116

110

100

90

80

70
1769cm-1

60
%T

50

40

30
3055cm-1 1703.m-1 893cm-1
3203cm-1 1513cm-1 1316cm-1
20 2872cm-1
2855cm-1 1234cm-1 784cm-1

10 1612cm-1
1205cm-1
2958cm-1 1560cm-1 998cm-1 673cm-1
2926cm-1 1660cm-1 1380 cm-1
0 1453 cm-1 702cm-1

836cm-1
1068cm-1 738cm-1
-10
-13
4000 3500 3000 2500 2000 1500 1000 650
cm-1

Figure 14: Spectrum of HCL Treated sample

704
This spectrum shows the presence of primary amides with the presence of (3203/3055 cm-1) N-H and
(1660/1612 cm-1) O=C–N spectral bands. The sample also shows the presence of carboxylic acids (1703
cm-1) and ammonium salts (1412 cm-1), as major chemistries observed.

To validate the chemistry of the primary amide found in the deposit, the sample was reacted with
aqueous hydrochloric acid. Theoretically, this should convert the amides back to ammonia and
carboxylic acids and react out the ammonium salts. The reacted sample was extracted with methylene
chloride from the aqueous HCl solution to obtain the methylene chloride soluble/reacted sample. The
water was then evaporated from this HCl solution to obtain a second isolated/reacted sample. FTIR
spectra were obtained on these isolated samples as shown in Fig. 15. The spectra showed that the
amides were removed – leaving behind carboxylic acids (1708 cm-1) as expected and confirming the
presence of the amide chemistry.
106

100

90

80

70

60

855cm-1
%T

1380cm-1
50

1460cm-1
2872cm-1 1275cm-1 807cm-1
40 751cm-1
2957cm-1
2930cm-1
1216cm-1
30 1158cm-1

1708cm-1 1024cm-1
20

10

-0
4000 3500 3000 2500 2000 1750 1500 1250 1000 750 650
cm-1

Figure 45: Spectrum of HCL Treated sample

In conclusion, the compressor varnish was a primary amide with some inorganic components consisting
of ammonium salts and phosphate. There were also some carboxylic acids. The amides are produced
from a reaction of the carboxylic acids with ammonia as seen in Fig. 16. The carboxylic acids are formed
from the oxidation of the fluid in the presence of water.

Carboxylic Primary
Ammonia
Acids Amides

Figure 16: Reaction causing primary amides in the deposit

705
The deposits in the system could therefore be classified as organic – oxidatively derived and
contaminant derived, as illustrated in Fig. 17.

DEPOSIT

Organic Water Lubricant Non-organic

Formulation Derived Formulation Derived

Thermoplastic Inorganics

Thermal
Soot
Decomposition

Oxidatively Derived Coke

Contaminant
Derived Coal

Biological

Figure 17: Deposit Characterization in Case Study 2

Although there were significant deposits in the system, the MPC test was not a suitable deposit
prediction test. Amides, the primary component in the deposit, do not produce the same degree of
patch discoloration as other by-products. The plant took two corrective actions based on these findings.
First, the instituted FTIR analysis of the carboxylic acids as a method for predicting amide formation.
They continue to perform MPC testing to identify deposit tendencies derived from other degradation
sources. Second, the plant installed a chemical filtration technology shown to remove the carboxylic
acids being produced from lube oxidation. It is believed that these two corrective actions will allow the
monitoring of deposit formation in this application as well as eliminate this failure mode from occurring
again.

706
Conclusion
Lubricant deposits can have a significant impact on a plant’s reliability program. Deposits may have a
similar look, leading some to believe that they are all the same in chemistry, originating from the same
source. In fact, lube deposits come in a wide range of chemical flavors. Understanding their constituents
allows one to better understand why the deposits formed and what remediation strategy to pursue.

This paper presented nomenclature and definitions to categorize lube deposits by chemistry and source.
In some applications, we find deposits that have components with a wide range of different categories.
In other cases, the deposit neatly fits into one categorization bin. In all cases however, properly
characterizing the deposit provides information to allow one to determine the root cause of the
problem; the first step to a deposit-free system.

707
Lubricant Deposit
Characterization -
Case Studies
Greg Livingstone of Fluitec
Dave Wooton of Wooton Consulting
Eric Ambrose of Insight Services

708
© 2013 Wooton-Consulting – All Right Reserved
 Why do we want to Characterize Deposits?

1. Aids in establishing a condition monitoring

program.

2. To discover the root cause of fluid failure.

3. To take proactive actions to improve the life and

performance of your lubricants.

709
 Deposit Characterization

Classified by:

Level 1
Physical Characteristics &
Chemistry

Level 2
Source of Formation

710
 Case Study 1
Waste Incineration Plant

711
 Waste Incineration Plant, Germany

Heavy system deposits.

3 Year Old Steam Turbine. 1 Year old oil.

Using a GI turbine oil formulation.

Plant is in a heavily contaminated

environment. 712
5
 Very dark fluid
High varnish potential (MPC 51 E)
Phenolic Antioxidants were 17%.
Acid Number was 0.85!
713
6
Primary Chemistries Identified in Deposits:
- Unsaturated Esters
- Carboxylic Acids
- Esters
- Aromatics
- Ether

714
 Deposit Sources

1. Fluid Oxidation
Age and antioxidant depletion

2. Additive Drop-out
Foam Inhibitor coming out with varnish
GI Basestock

3. Contamination
Ingress (Ether) from wrong fluid addition

715
Case Study 2
Particleboard Plant

716
Large hydraulic press in a particleboard mill
was contaminated with deposits.

717
 6,800 gal oil soluble hydraulic system.

98% Water + 1.5% soluble oil + 0.5% AW 100

718
 The filters and
strainers were
constantly
plugging with
debris.

719
 This poppet
valve became
plugged,
causing a $1
million outage.

720
 Samples were gathered and
observed from multiple locations.

721
Further evidence was gathered by using several
analytical techniques.

722
Further
FTIR evidence
identifiedwas gathered
several by using
interesting several
factors
analytical
affecting fluidtechniques.
degradation.

723
The debris consisted of iron oxide and oil
oxidation by-products.

Primarily iron
Pond Water oxide
Inorganic
Organic
Primarily oil oxidation
by-products Water

724
 Now we have enough information to put
the puzzle together.

Oil was Deposit

High iron levels in ZDDP was rapidly
rapidly formation
the pond water decomposing
oxidizing everywhere

725
 The plant made changes to fix the
problem.

Discontinued use Only Used Filtered Increased Soluble

of AW 100 Water Oil Percentage

726
This solved the deposit formation and
there have been no problems since.

727
Case Study 3
Gas Turbine

728
The IGV Servo Valve would stick, causing a
$40,000 unit trip.

729
Varnish was found throughout the filters and
valve block.

730
Multiple samples of oil and components were
obtained and observed.

731
 Evidence of Thermal Degradation

Unsaturated Acid or Di-Acids C=O

Acid C=O
Per-Acid or Per-Ester C=O
Aromatic C=C
100.5
100
99
98
1796
97 1652
1720 1686
%T 96
95 1578
Ester C=O
94 1597 1518
93
1741 1497
92
91.4
2076.7 2000 1950 1900 1850 1800 1750 1700 1650 1600 1550 1500
cm-1

732

25
The additive system was almost completely
depleted.

733
Valves that were not having problems had
clean last chance filters.

734
Deposits were evident on the effluent side
of the IGV last chance filter.

Outside of Filter shows

very little varnish 735 Inside of Filter caked
with varnish deposits
Evidence of ESD was found on the IGV Last
Chance Filter core

736
 Composition of the Deposits

1. Thermoplastics formation
ESD and polymerization

2. Thermal decomposition
Excessive temperature around ESD

3. Fluid oxidation
Increase temperature during ESD

737
738
Analysis indicated
that thermal
degradation was
the primary
degradation
mechanism

739
Analysis and filter
inspection
indicated that ESD
was responsible.

740
Lines to valves are
cold during start-up

741
ESD was
predominant only
during start-ups &
was responsible for
varnish problems

742
743
Lines running to problematic valves were
heat-traced, solving the problem.

744
Case Study 3
Hydraulic Oil Filter

745
 What’s
this?

746
Ref: Livingstone, Wooton
 Hydraulic Filters were blinding off. The
customer experienced servo-valve sticking
and failures.

Filters were submitted for evaluation.

747
The “Fuzzy” Filtration Media appeared to easily
crumble and peel off the wire support of the
filter.

Close inspection, we saw a crystalline structure.

748
The oil was washed off with petroleum ether.

Fibers were extracted using tweezers and

methylene chloride.

The “fuzzy deposits” were 100% soluble in

methylene chloride.

The fuzzy material was not media from a

broken filter after all.
749
FTIR Analysis showed that the primary composition
was Carboxylic Acids.

Other chemistries identified included phenols,

esters and quinone.

750
 Case Study 5
Unusual Deposit in
an Ammonia Compressor

751
 Case Study 3

Chemical Plant was using an

Ammonia Compressor.

Severe deposits even though oil

analysis results were acceptable.

RULER Antioxidant Health

Phenols: 28%
Amines: 76%

MPC (ASTM D7843): 14 E

752
Deposits were found throughout the compressor system.

Accelerated bearing wear & temperatures.

753
Deposits submitted in a sample bottle.

754
 Analysis identified the deposit type

116

110
Primary Amide
100

90

80

70
1769cm-1

60
%T

50

40

30
3055cm-1 1703.m-1 893cm-1
3203cm-1 2872cm-1 1513cm-1 1316cm-1
20
2855cm-1 1234cm-1 784cm-1

10 1612cm-1
1205cm-1
2958cm-1 1560cm-1 998cm-1 673cm-1
2926cm-1 1660cm-1 1380 cm-1
0 1453 cm-1 702cm-1

836cm-1
1068cm-1 738cm-1
-10
-13
4000 3500 3000 2500 2000 1500 1000 650
cm-1

755
Dave Wooton & Greg Livingstone – OilDoc
 Conclusion/Action

Carboxylic
Ammonia Amides
Acids

It was not feasible to completely remove sources of ammonia from

entering the system. Therefore, their actions were:

1. The plant is installing a system to remove oil degradation products

(acids) so that the reaction cannot occur.

2. In addition to MPC, plant is monitoring these units with FTIR to

measure acidic content and amide production.

756
Case Study 6
Microdieseling

757
 A Crack Gas Compressor had
Significant Deposits throughout.

758
 Nonorganic-Varnish Fractions

The deposits were not soluble in polar solvents and had no C-H
spectral features associated with organic material.
• Defined as the non-organic varnish.

Types of nonorganic materials:

1. Inorganics: those with true inorganic chemical features
2. Soot: carbonaceous particles less than 0.1mm in size.
3. Coke: carbonaceous particles greater than 1-micron in size.

759
 Soot Observation
100

95

90

85

Baseline suppression
80
%T

75

70

65

60

55
4000 3500 3000 2500 2000 1750 1500 1250 1000 750 650
cm-1

• A depression of the baseline with minimal spectral features

• Indicates that something is still on the ATR crystal
• Soot in a compressor fluid means micro-dieseling

760
 Before all the varnish has migrated Experiment Completed

When filtering a solution where the varnish is soluble

– the soot will go through the filter paper
– Soot has particle size below 0.1-microns
When varnish is not soluble in the filtration solution (such as an MPC test)
– the soot will to stick to the varnish
We used Paper Chromatography since the particle size and physical sticking are
not issues
761
Case Study 6 Conclusions

Micro-dieseling was identified as a contributing source of

oil degradation and deposits.

The plant is investigated potential sources of air

ingression.

Identified gas entrainment not getting well separated in

the gas separator.

762
Case Study 7
Tenacious Deposits

763
 Tenacious Deposits

Very dark bathtub ring in a gas turbine reservoir.

764
Deposits found throughout the system.

765
Impossible to Wipe.

766
 @#$&!!!

767
 Deposits derived from Polyacrylate additives

99.6

90

80

70

60

50
%T

40

30

20

10

2.8

4000.0 3600 3200 2800 2400 2000 1800 1600 1400 1200 1000 800 600 450.0
cm-1

System Deposit
POLYACRYLATE DEFOMANT
768
 Summary

Characterizing Deposits is beyond an academic

exercise.

1. It is vital to understand how the fluid is failing.

2. It directs the investigations to take appropriate actions to
solve the source of the problem.
3. Actions result in longer lasting, higher performing
lubricants.

Assume Nothing!
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Lubrication: An Exercise in Continuous Improvement
Ted Melencheck CMRP

When someone ask you about your lubrication program what is your response? Do you explain
lubricant selection, storage and handling, lubrication or PM frequencies, execution procedures, personal
performing the tasks, documentation, or personal training? All of these are important processes for any
lubrication initiative that form your lubrication program. Once in place does it remain static or does it
continuously improve with changing conditions.

Saying we have a lubrication program we are defining a plan of action aimed at accomplishing a
clear business objective, with details on what work is to be done, by whom, when, and what means of
resources will be used. When we consider executable actions from cost benefits, data analysis, root
cause elimination, evaluations through metrics or data technology sources, and a collaborative effort for
improvement we cross the threshold into the realm of continuous improvement. Defined, Continuous
Improvement is a process that is an ongoing effort aimed at improving the current processes and
develops a culture of innovation and constant improvement.

Lubrication initiatives will directly impact equipment operational effectiveness at any facility. A
quest for reliability excellence will have effective lubrication as the cornerstone of this process which is
constantly evolving. Once the fundamental understanding is developed that every component
requiring lubrication needs the correct lubricant, applied in the correct manner, in the correct amount,
at the correct time. When these four principles are adhered to, equipment will last almost indefinitely.

Consider our operation, we feel that lubrication is a constantly evolving process that requires a
combination of technical improvements and employee engagement to yield successful results. Each
facility has unique challenges to overcome and distinct approaches for resolution. One common process,
we are all committed to maximizing the safe useful life of our equipment at the lowest operational cost.

I would like to give a brief overview of our operation and some of the challenges. We are an
underground mining operation that utilize a room and pillar style of mining. The mine is 1800 feet deep
and extends approximately 4 miles under Lake Erie. Our business is very dependent on Mother Nature
since our primary product is deicing salt used for keeping the roadways and sidewalks ice free. We
maintain a fleet of specialized mobile equipment that extracts the salt, which is loaded onto a conveyor
belt system for transport to the milling operation which is also located underground. The milling
operation crushes and screens the salt into a usable product where it is transported to the surface
utilizing a Koepe style hoist. The surface areas maintain a shipping facilities that ship by truck, rail, and
ship as well as a milling operation to make specialized products plus packaging facilities.

We have a vast array of both mobile equipment and rotating stationary equipment that requires
us to refine our approach and understanding to minimize cost and maximize availability. Various

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methods can be employed to accomplish this goal but when technology is integrated into the equation
such as oil analysis, thermography, and vibration analysis, are the results interpreted as the immediate
failure for repair or is a root cause determined. One area that is often overlooked is the engagement of
personal. This is of utmost importance to the success of any lubrication initiative and continuous
improvement process. Involving the employees on deciding what product to use, how to construct
facilities or to assist in diagnosing an issue will foster the feeling of involvement. When people see their
ideas become a reality they develop ownership and continually evolve the process.

The actions we take before any failure for prevention will have a direct impact on failure
frequency and severity. The question we must ask ourselves, have we actually resolved issues taking our
reliability to the next level or have we improved our response to the same recurring issues. I would like
to share a few examples of some of the situations that we encountered that were resolved using
continuous improvements initiatives.

Having a solid foundation for lubrication initiatives is of the utmost importance. The best method
to build and develop the foundation is increase the knowledge base of anyone handling, storing, or
using lubricants. Part of this development was to have each maintenance person, storeroom personal
and some operators attend a three day lubrication course that was conducted on site. This provided the
necessary training to develop the fundamental understandings of lubrication principals and the direct
effect their actions have.

You may wonder why train store room personal in lubrication practices. It’s ironic but they are the
first line of defense in ensuring the correct oil is being put into a machine. Before the training, when
someone requested oil, storeroom personal would fill their request. After the training the oil request
was met with the question where are you going to be using that oil. If the oil requested did not meet the
application the stores personal would tell them no, that’s the wrong oil, you need this product and send
them on their way with the correct oil. This was a great start to control cross contamination and help
educate people.

We looked at our underground lubrication inventory which was 3 pages of different lubricants, in
excess of 60 products. Seeing from the inventory that several products were very similar we initiated a
consolidation effort. With the assistance of our lubricant provider, we evaluated each application for
correct product specifications. We were able to consolidate the three pages into 10 oil products and 2
grease products for mobile equipment plus an additional 6 oil products and 1 grease product to cover all
rotating stationary equipment. This was followed by a product application sheet for mobile and rotating
stationary equipment. This is a color coded one page sheet listing all mobile or stationary equipment
that identifies what product to use in what application. This significantly reduced inventory, reduced
cross contamination, and provided a quick easy reference for application. Without this consolidation
effort being in place it would have been next to impossible to maintain a cost effective lubrication
initiative.

Once people are trained and know what lubricants to use where there must be a functional
schedule of what needs lubrication, how often it, how much, by who, and when. All of these areas may

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be combined to what some may refer to as a Lubrication PM or an operational round. No matter what
you call it, this is critical to be maintained in a disciplined manner to ensure the equipments healthy
performance.

Once these items are all accomplished and being executed we have a lubrication program aimed
at maintaining the current health of our equipment. Your journey from this point will be defined by the
dynamics of your continuous improvement process. The gains realized could be take several forms from
extending current equipment usable life by identifying impending failures addressing the issue in a
proactive manner, analyzing failures to prevent the reoccurrence, or simply ensure the correct
lubricants are being utilized in the correct place to prevent cross contamination and meet the design
criteria.

Consider our one page lubricant application sheet that is posted at all lubrication dispensing point.
This includes all working sections, PM facility, maintenance shop, lubrication trucks, and storeroom.
When new equipment is installed, is the sheet revised to include the new requirements? It is important
to keep the lubricant use sheet as a living document to prevent cross contamination which can have
disastrous effects. Who decides what lubricant to use and how much? Our approach is to have the site
lubrication team evaluate the new equipment requirements. This team is comprised of mechanics,
maintenance apprentices, lubrication technicians, and stores personal. They consider the manufactures
requirements then evaluate to products that are already in stock for acceptability. This is not always an
easy task since at times products are only listed by the equipment suppliers branded name. The group
will enlist the assistance of our lubricant supplier to unravel the mystery to gain the proper product
selection. Once the sheet is updated it must be posted at all locations and the old sheets discarded to be
useful and complete the process.

Who better to evaluate the equipment requirements than the people that are directly impacted.
This direct involvement in the decision making process develops a sense of ownership in the process,
execution, and outcome. This fosters employee engagement to promote successful results.

One of the questions we have to ask ourselves does everyone lubricating equipment know the fill
location for each lubricant and location of the grease fittings. Even the most experienced person can
need a reference to jog their memory especially if they do not see specific equipment on a regular basis.
The addition of a machine specific lubrication manual onboard the machine provides that quick
reference when needed to both the new operator and the seasoned veteran. This is more in-depth than
a lubrication chart. It is a pictorial manual that shows where the lubrication point is located, what
lubricant is applied, how much lubricant is applied, and the frequency. This provides the quick
necessary reference required to eliminate missing points or applying the incorrect lubricant.
Unfortunately, this type of information is rarely supplied by the manufacturer and must be developed by
the site. The benefits realized by ensuring all points are receiving proper lubrication to maximize life
outweigh the effort required in developing these manuals.

We have many reciprocating air compressors throughout the facility that use quality mineral base
compressor oil. One of these compressors used in the underground milling operation experienced a

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catastrophic failure. The mechanic that was investigating the failure made a point to mention that the
oil was very dark and smelled burnt. That one statement was enough information to bring to the
lubrication team and ask why. After some discussion it was discovered the operational use of this
compressor had recently changed. Normally because of their intermittent use these compressors at
most have 600 operational run time hours per year. The PM calls to change the oil on an annual basis
that is well within the 1000 operational hour rating of the oil. The team discovered that the compressor
was now running 1000 hours in a 3 to 4 month period. The team saw two options to eliminate this
failure in the future. We could either increase the frequency of the PM to once every 3 months or
upgrade to an oil with a longer run time. After they completed a cost benefit evaluation it was
concluded that the cost of one additional PM was more expensive than upgrading the oil to an 8000
hour synthetic.

Now this one compressor would be unique using different oil than the other 24 similar units in the
facility. The team evaluated the the risk of the incorrect oil being used in this one compressor and the
benefits of maintaining the past consolidation efforts. Their decision was to upgrade all reciprocating
compressors to the synthetic oil and eliminate the prior product. This was only a slight cost increase that
avoids another $5000 compressor replacement. In addition the team recommended oil analysis to
detect abnormal wear that is now being conducted. This entire sequence of events was triggered by one
engaged mechanic making a point to mention “the oil looked dark and smelled burnt”.

Using technology to identify issues can allow a proactive approach to correct a condition before a
failure occurs. This does not always mean that because an abnormal condition is detected something
must be replaced, based on the condition and severity the possibility exists to extend the usable life.
Using vibration analysis we were able to identify a bearing looseness condition on our most critical asset
our production hoist. This is what transports our salt from underground to the surface with any outage
being a very costly proposition. The bearings rotate at 62 RPM are lubricated daily with EP2 grease that
contains 220 viscosity base oil and has been in service to this point for 30 years. Replacement of the
three main bearings on a single shaft would cost approximately $100K for the bearings, a two week
outage, and be very labor intensive.

We could see looseness in the vibration spectrum but did not know the cause. We first examined
the mechanical options like loose mountings and hardware and found nothing. We have to open the
bearings for a closer inspection. The bearing looked in very good condition with a clearance of .007”
Being a taper lock bearing that is set with a reduction clearance there was no way to know if it was
correct. While the bearing was open a grease sample was taken for analysis. The analysis showed
nothing abnormal for a 30 year old bearing. Discussing the issue with the bearing manufacture they
agreed that the clearance seemed a little excessive but also recommended not to try and readjust after
30 years since more damage could result than benefit gained.

Now knowing the looseness was coming from the bearing rollers hitting the races, we were
quickly running out of options. Knowing that at 62 RPM the bearings were constantly in a boundary
lubrication regime and never achieved enough speed to establish elastohydrodynamic lubrication. Our
lubricant supplier lubrication engineer was consulted to assist in the evaluation to determine if we had

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any other options available. His recommendation was switch from the EP2 220 grease to low friction
synthetic EP2 460 grease. His thought process was that the 460 base oil grease added additional depth
to the lubrication layer and would not adversely affect performance because the bearings always
experience boundary lubrication.

We switched grease and very quickly the looseness issue disappeared. That was 5 years ago with
no issues, now these bearings have been in continuous service for over 35 years. Someday they will
need replaced we are depending on vibration analysis to identify the onset of new issues to tell us when
that time is approaching.

I mentioned that we grease these bearings daily, because of the criticality of the hoist we want
someone to physically touching and looking at it daily. This cannot be achieved with automatic
lubrication systems. This does not eliminate the human error factor so we also monitor the hoist with a
continuous vibration monitor system. After a holiday weekend, New Years to be exact, we noticed a
significant increase in vibration on one of the hoist bearings. Evaluation of the spectrum determined
that lack of lubrication could be an issue. A mechanic was dispatched to grease the bearing showing the
issue and all the other hoist bearings as well. Shortly after greasing the vibration levels returned to
normal. Coming back from a long holiday the person that normally greased the hoist bearings was off.
No one including the supervisor even gave it a thought that the person that normally greased the
bearings was not there and someone needed to cover this task. We usually consider vibration analysis
to identify defects requiring replacement, but it can also be a window into establishing insufficient
lubrication conditions.

Oil analysis is invaluable when taking a proactive approach to issue identification. When looking
for fuel dilution in engine oil, simply looking at the percent fuel content will not always revile the full
story. We use a B50 Biodiesel blend of fuel for our underground equipment because it produces the
cleanest exhaust emissions. Typically when engine oil is run beyond its normal change interval soot
loading will become an issue and the viscosity increases. Using biodiesel the engine oil viscosity will
decrease over time. Using normal oil lab testing procedures for percent volume of fuel in the engine oil
the result is always zero even when biodiesel is present.

When we receive an engine oil analysis report showing a low engine oil viscosity we have to
consider fuel dilution as a possibility. The question becomes is the dilution from an extended run time, a
fuel leak into the engine, or another source. One case a work order was written to investigate and
correct the cause. During the investigation the mechanic found a fuel injection line that was under the
valve cover leaking into the engine oil. With some of the newer diesel engines having the injectors and
lines totally enclosed oil analysis is the most effective method to discover this type of problem before
engine damage occurs. The line was repaired, oil and filter replaced, and the machine was released for
service with a follow up engine oil sample schedule to ensure the repairs were effective.

Where do you go when no obvious cause is identified by a visual inspection? One possibility is the
use of IR spectrometry to graph the absorption of various wavelengths. When using this technology it is
very important to have a known reference sample of each component for a comparison. In this case we

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have a reference sample of our new engine oil and of the B50 Biodiesel. The greatest variations appear
to occur in the frequency region of approximately 1200 cm-1 to 1800 cm-1 with some also at the 3000
cm-1 region. All these graph areas have characteristics of the biodiesel graph while the sample is
actually of engine oil. Our conclusion can be that there is actually biodiesel fuel contained in the engine
oil. Since there are no obvious leaks a systematic process of determining possible causes and testing are
required to locate and correct the issue.

While oil analysis is an excellent predictive technology that can reveal a wealth of information
always consider other technologies that are use on any piece of equipment to complement each other.
We conduct exhaust emission testing referred to as DPM (Diesel Particulate Matter) tests to determine
engine health. In this case referencing the last DPM test showed a higher than normal amount of CO
indicating incomplete combustion. This narrowed our focus to testing the injectors for possible leakage.
Testing the injectors reviled that one injector was in fact leaking, the injector was replaced and both the
oil sample and DPM tests returned to normal. The consequences for not discovering the leakage and
rectifying the cause would have been a very expensive engine replacement.

While oil analysis can identify problems it is also important to take annual reference sample for
analysis. These reference samples are taken from new as delivered oil from sealed containers. This
serves as a base line when comparing sample data to known state. Additive package changes made by
the oil supplier can be identified that may result in questions that need clarification. Knowing the
cleanliness level of new oil provides information on the amount of filtration required to meet your
equipment requirements. You can be alerted by additive depletion to change oil or adjust PM
frequencies. One very important component is the ability to identify additives that are not supposed to
be present.

We use the same model transmission on several pieces of equipment that are lubricated with
industrial transmission oil while the hydraulic system uses fire resistant hydraulic oil that is a group V
synthetic hydraulic oil. The hydraulic pumps are mounted directly to the transmission case meaning
when a pump seal leaks on the pressure side, that leakage enters directly into the transmission. When
we conducted some investigations we found that our group V synthetic had an adverse reaction with
lead and copper. Transmission clutch plates are composed of lead and copper, this attack shortened
transmission life considerably. When we compare the reference samples between the transmission and
hydraulic system we found tin is present in the hydraulic oil but not the transmission oil. Normally
seeing small amounts of Tin in the transmission sample we would assume we were getting a little
bearing cage wear but no real issue. With the new knowledge provided with the reference sample,
when we see Tin in the transmission sample we know we have a cross contamination issue that needs
attention. We stock one spare transmission on site. This spare was continuously being rebuilt and at
times would have equipment waiting for the spare to return to eliminate poor performance from a
failing transmission. Now that we are using the oil analysis results compared to reference samples we
change approximately one transmission per year due to normal wear, not premature failure.

During a journey of continuous improvement not every issue has a clear charted course to follow.
There are times when you feel that everything was done properly and failures still occur. One person

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may not have all the answers but several people each having one answer may solve the problem. When
faced with this issue it is worth considering another methodology approach by assembling a cross
functional team to conduct a cause and effect analysis or root cause analysis.

We use Megatex’s that are suspended rotating screens to separate and size the salt each capable
of handling about 200 tons per hour. The unit is basically a totally enclosed square box rotated on an
eccentric shaft with a bearing on each end of the shaft. The box is rotated around the shaft on the
eccentric with no access to the bearings to take any vibration readings or any visual inspection. We used
the manufactures specifications for grease volume and frequency yet we were experiencing bearing
failures. In an effort to be proactive we did install a tri-axial vibration sensor on the bearing housing and
wired it to a collection box mounted in an area with safe axis to collect data. This was a unique
installation since the inner bearing race was stationary on the shaft and the vibration sensor was moving
around with the housing. The first data collection reviled some peaks related to the inner race but we
really were not sure if it was bearing or the material in the Megatex since this was all a new venture.

Two weeks after the sensor was installed the bearing failed. Examining the failed bearing when it
was removed the most probable cause of failure was lack of lubrication. There were many questions
arising that had no easy answers.

The best course of action was to assemble the cross functional team of mechanics, operators, and
supervisor to perform a Root Cause Analysis or RCA. The RCA took less than one shift to complete with a
wealth of information being reveled. Discovered was the Megatex was in fact making noise for 3 weeks
but it was intermittent, the operator thought it was a loose screen opened and did repair a loose screen
mount. The bearing was generating heat and the PM called for .45 oz of grease every week that was
done on midnight shift when it was not running. Double checking the re-lubrication volume for a severe
duty application the amount changed to 2.3 oz per week. Several areas on installation of the failed
bearing were investigated where the findings reveled that proper installation procedures were followed.

The RCA generated action item that have been executed such as change lubrication PM from
weekly to daily, corrected PM to show 10 pumps of grease daily, reassign lubrication duties to operator
and train the operator in the task. Now we had an installation to form a base line to use as a comparison
for future reference.

This exercise did identify and implement several issues that did improve the reliability of the
Megatex bearing, but there was much more accomplished. The operators, mechanics, and supervisor
sitting down in the same room having an open discussion about the failure issue without assigning
blame, a bond start forming among the group. They now had a common goal they became engaged in
the process and engaged in determining a beneficial outcome because it impacted them directly. Did it
really have an effect on the people, I firmly believe that it did. Prior to this I would never hear this
operator talking to the mechanics or minimal problem identification to his supervisor. Now I hear the
operator telling the mechanics directly when he hears something unusual and what he has already
checked. This interaction is crucial to early problem identification, who knows the machine better that
the person that spends all day with it, the operator.

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 When a bearing is having issues and in immanent failure stage some of the first comments are it’s
hot, or it’s too hot to touch, or it’s glowing red, or I can smell it cooking. The very next comment is, get
some grease in that bearing. Well I hate to be the one to tell them but it’s way too late for that, it
actually can be dangerous. Pumping grease into a bearing that is glowing red the grease can and will
catch on fire. Depending on your industry and process, that may be a larger issue than the bearing
being bad.

Here we are talking about a bearing that encountered a large amount of heating to detect a
problem. What if we could detect an issue when there was only a minor amount of heating, before
damage occurred? Fortunately we can, using mechanical IR thermography we can detect the minor
increases in bearing temperature that indicate lubrication issues. These can be from insufficient
lubricant, overloading for the lubricant, or an automatic lubrication delivery system where the lubricant
is not reaching the bearing.

Having many miles of belt underground and on the surface I cannot even venture a guess at how
many bearings we actually have. Once I know the base line temperature of the bearing I can use that
information for a comparison when viewed with IR. The belt pulleys are turning at approximately 120
RPM and I know that all the bearings on the beltlines normally run under 100 degrees F. When viewed
with IR and a temperature is seen over 100 F action is required. This may be simply greasing the bearing,
the auto lubricator is not functioning, the grease channels in the bearing are not clear and caked with
hardened material. All cases if the condition is corrected before sever heating occurs failure will not
occur. This is a simple and cost effective method to increase reliability.

All failures are comprised of three phases with our response to each of these phases defining our
future, Problem Identification, Repair execution, and Future Prevention. Problem identification is the
method we choose to utilize in determine that an issue is present. We may use our physical senses or
employ advanced technology, like oil analysis, vibration analysis, or IR Thermorgraphy or choose a run to
failure strategy. All are valid methods or strategies once the application is analyzed. Repair execution is
how we choose to implement the repairs. During the repair do we use precision maintenance skills, have
acceptance criteria established, or do we put it together the best we can make it last to the weekend.
Again both could be valid under the correct set of circumstances. Future prevention is something that
we are going to do different so the issue is not repeated. How we determine the bases for our decision
and the course we choose to do something differently will affect the future. As Einstein stated “We can’t
solve problems with the same kind of thinking we used to create them” Using a strategy of detecting a
problem, executing replacement without finding a cause is the same kind of thinking. Mitigating the
future failure by determining the root cause and executing corrections to prevent reoccurrence is that
different kind of thinking that leads to reliability excellence.

We have reviewed examples of several specific issues that we employed different strategies for
issue elimination. Each one of these was establishing a new process building on the previous success.
The one common underlying theme that connects all the successes that is not obvious is the direct
effect our engaged workforce have on these results. They are highly skilled individuals that know how to
work as a cohesive team to foster successful results. Having the most technologically advanced systems

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will not necessarily gain improvements without a workforce taking ownership and pride in their
accomplishments. Our mining systems are very labor intensive with automation technology not a viable
option in our operation, we must rely on people. People who know the operation, the consequences
their action have to the operation, and that can use their minds to overcome challenges.

We have evolved our lubrication program into a managed process of continuous improvement
through lubrication, by developing a culture of innovation and employee involvement. We have taken
significant steps in maintaining our equipment in the safest most reliable condition, and still have
undiscovered improvements to make. This is an ongoing exercise that is a team effort in our quest for
reliability excellence.

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 Maintenance Key Performance Indicators
You Can’t Manage What You Can’t Measure

Darrin Clark, ArcelorMittal USA

I’ll admit it. I am an input junky. Any time I am looking to make a purchase, I research the potential
products or services exhaustively. User reviews, performance tests and data, specifications, consumer
reports, you name it I want to read it. While the casual observer might suggest that I am simply a gluten
for punishment, the truth is that I have learned over the years that making an uniformed decision gives
one a low likelihood of making a good decision. The difference between a good purchasing decision and
a poor one lies in just one thing; value. A good decision means that there is value gained as a result of
the purchase.

To call today’s steel industry challenging might be the understatement of the year. Raw material
prices trending up, steel prices flat at best, and demand has no where near returned to pre-recession
levels. When capacity utilization is low in an asset intensive environment, the high fixed cost makes it
difficult to turn a profit. We must make good decisions in how we operate and maintain our plants.
Good decisions that add value to the business. This means we need input, and lots of it. Managing a
business making decisions based on gut feelings just doesn’t cut it these days.

The business of managing maintenance is no different then any other business. Repair and
Maintenance (R&M) operating and capital dollars are allocated, and in return the company expects
value to be delivered in the form of reliable assets. Maintenance Key Performance Indicators (KPI’s)
provide input to decisions made in the quest to meet this lofty objective.

Ground Rules
KPI’s can be very specific to an individuals activity, or broad enough to measure an entire plants
performance. They can be leading or lagging, simple counts or complex calculations. They should follow
a few simple ground rules, however, to ensure they provide quality input.

- Metrics should be easily connected to the business value that strong performance will deliver (how
does knowing what color boots the electricians wear help me?).

- Metrics should be aligned with the current state of the organization (% proactive work will be very
misleading if we are only capturing 50% or our work on work orders).

- Metrics should be automated (manual counts are riddled with errors and often get neglected).

- Metrics should follow a process or practice (activities should not be added to a process solely to
make the KPI measurable).

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 - Metrics should have reasonable, defined and understood targets (be careful of the law of
diminishing returns).

- Metrics should be monitored and responsible parties held accountable for their results (building
them into performance objectives and incentives has proven very successful).

Alignment to Business Process

A well defined business process needs to be executed well in order to deliver the desired result. In
other words, the engine needs to be running on all 8 cylinders to make the horsepower needed to win
the race.

The figure above illustrates the ArcelorMittal USA Maintenance Business Process. Each component
contains specific activities and practices essential to delivering business value to the stakeholders. Each
component’s activities are monitored with a set of standardized KPI’s to provide managers with the
input needed to make informed decisions, and enact corrections and improvements as appropriate.

Plan
The “Plan” component of the Business Process sets the stage for all other activities. It involves
understanding the business objectives, identifying physical assets that support those objectives,
analyzing the consequences and risk those assets represent, and establishing performance requirements
needed to reach the business requirements. While these activities primarily lead to the development of
targets for metrics used to monitor downstream activities, there are some examples of KPI’s used to
monitor this component of the Business Process.

- % of assets with Asset Prioritization Analysis completed

- Maintenance Budget as a % of RAV

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Improve
The “Improve” component of the business process is all about Work Identification. Simply stated,
Work Identification is the development of a technically valid maintenance program for the assets
identified on the “Plan” component of the business process. This is accomplished by using
methodologies such as Reliability Centered Maintenance, Maintenance Task Analysis and Root Cause
Analysis to identify the tasks that will most cost effectively mitigate the consequences of failure. Some
examples of KPI’s used to monitor progress include:

- # of failure modes identified

- % of maintenance action plans implemented
- # of condition inspections implemented

Control
The “Control” component of the Business Process is about effectively and efficiently executing the
maintenance program developed and implemented in the “Improve” component. Maintenance tasks
are planned, scheduled, executed, and follow-up activity performed to improve maintenance plans. This
is called the “Sustained Maintenance Loop”. Metrics monitor many aspects of this component to
understand the quality of maintenance planning, effectiveness of scheduling, and efficiency of
execution. Some examples include:

- % of backlog ready to work

- Planned vs. actual manhours
- % of scheduled outage work orders completed
- % PM compliance

Assess
The “Assess” component of the Business Process is where performance is compared to targets to
understand where further improvement is needed. Mainly lagging KPI’s are reviewed in this
component. These KPIs vary based on the type of unit. For example MTFB is valuable for continuous
processes where each line stop results in significant yield loss. Batch processes tend to look more at
delay rates or production metrics. Some examples include:

- Working Ratio
- Heats per day
- Budget vs. Actual R&M Spend
- Prime Yield

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Calculation & Reporting
KPI’s are automatically calculated and available in real time on dashboards in the Reliability
Software. Inputs to the calculations come from the Reliability System, the CMMS, Operating data, and
financial reporting.

The standardized list of KPI’s are deployed at the corporate level, plant level, and the individual
business level within each plant. They can be accessed and navigated to for real time data at any time.

Dashboards are also created to meet the needs of specific roles in the organization such as Plant
managers, Maintenance Managers, or Planners.

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 KPI data is also compiled in reports monthly for review meetings and distribution to upper
management.

Conclusion
Maintenance Key Performance Indicators provide valuable input to make decisions within the
Maintenance Business Process. Informed decisions ensure business value that moves the organization
towards meeting the objectives of the stakeholders. It is essential that KPI’s are aligned with the
organizations Maintenance Business Process, and that they are defined, understood, and communicated
across the company.

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 Managing Risk from Transformer Failures
Alan Ross
SD Myers, Inc. – VP for Reliable Plant

Getting experts to agree on most things is challenging at best, and often, downright impossible.
Getting transformer experts to agree might even be more challenging.

Despite the fact that transformers have been around for nearly a century with varying opinions on
transformer design and maintenance, most experts agree that not all transformer failures are alike. And
also, that the life of the insulation or paper is the primary limiting factor towards the life of the
transformer.

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What are the risk factors when it comes to transformer life or the
lack thereof?
Condition-based risk is simply the fact that as your transformer’s condition gets worse, the greater
the risk of unplanned failure.

On the face of it all, that seems obvious enough. Too often, the condition is not something in which
we have paid all that much attention. While transformer oil testing has been around for many years,
amazingly enough, a large number of companies test only because their insurance providers require it.

What do you do with the tests? What conditions do oil tests uncover?
A simple Karl Fisher test indicates the amount of moisture in the transformer’s oil, and from that,
the determination of the amount of moisture in the paper. Moisture is a leading cause of aging and
potential failure once the moisture builds up to the point when a wet transformer is rapidly ailing and
at-risk. Gasses, acid and heat are all additional factors affecting the condition of the unit. If these
potential problems are not addressed, the condition will deteriorate more rapidly.

To this day, “Do Nothing” is the biggest competitor for most testing and
maintenance companies.
While most companies plan their end-of-life strategies for equipment replacement, few plan for
transformer end-of-life in the same way. Consider that many manufacturers of specialty units are

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months and even years out on delivery and that transportation and installation times are unpredictable.
Then, it is no wonder why so many people are caught in a bind when a critical unit goes down. In one
case study, we estimated that the potential down time for a company with 17 locations in the U.S. could
be reduced from a possible six to twelve weeks to two days. Consider the cost of that downtime.

Even worse, the original plan was to replace as needed, rather than to plan the end-of-life process
across all locations with a “rolling spare” solution. This would save the company hundreds of thousands
of dollars in replacement costs alone, not to mention the loss of production saved.

When it comes to catastrophic failures, there are risks that cannot be calculated monetarily. An oil
spill from a failed unit may well be a hazardous chemical spill resulting in fines, delays and EPA-type
scrutinizing -- something that could have been avoided.

In 2012 a transformer failure in Florida led to the death of two people in the vicinity. What’s even
more unfortunate is that it might have been avoided had the risks been considered. In a case still
pending in the courts, the fire from the transformer failure resulted in the loss of a complete production
line. What was a $250K transformer loss is now also a $19M court case trying to affix blame. Failure risks
are seldom considered when it comes to developing operational and capital budgets. They usually lead
to heads rolling once the corporate leaders realize that some body along the way dropped the ball. Be
rest-assured, the insurance industry and risk management people are taking a much harder look at
failure risks today.

Finally, what does the transformer power? If it is a critical application that would lead to a highly
valued production line being shut down, how can you monetize that risk? Recently, in a conference call
with a specialty metals processing company, it was discovered that a shutdown of its main furnace unit
in any of its 17 plants would lead to a $1M per day loss of production. I can assure you that these critical
units are being tested, maintained and monitored at a level commensurate with their application risk.

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 Sadly, our industry has become more dis-integrated than ever before when it comes to supporting
Intelligent Transformer Management. Between manufacturers, testing service, contractors and
suppliers, we have taken an “Our Way is Best” approach.

Why would manufacturers want to extend the life of transformers when they are in the business of
selling transformers? Ask most people: What is the single best testing method for condition monitoring?
The answer will likely depend on whether they provide oil testing or electrical testing. What is the best
way to eliminate moisture in a wet transformer? It depends on whether the person you question owns
an oil processing rig or on-line dryer. And the customer is always served more poorly when an industry is
serving in a dis-integrated manner.

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 The best approach is an integrated one where electrical and chemical testing is supplemented by
good mechanical inspections. What’s more, standards for both testing and preventative maintenance
are established in advance. Amazingly, this is the exception and not the rule when it comes to
transformer life extension. So what should an integrated approach look like?

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First, it should start with an Impact Assessment.
What should the corporate standards be? We can attest to the fact that few companies highly
energy-dependent have developed a Corporate Standards program for transformer reliability. There are
testing standards developed by IEEE and companies like ours. We believe that our MaxLife philosophy is
the best way to determine standards but would gladly accept any “good” standard. Adopting corporate
standards are better than allowing each plant location to determine its own based on how much money
it wants to save on this year’s maintenance budget.

In the same way, one should pre-determine the “Best Practices” for maintenance standards. When
is acid too high? When is moisture too high? What happened as a result of the latest spike in gassing?
What should you do about it?

We believe it’s best to standardize, test and execute a maintenance plan according to those
standards. And for those critical units, is there a corporate plan in place to share that risk, reduce the
cost of replacement and make informed long-term capital plans? Why not? The cost of not planning is
much greater than the cost of planning.

At the site level, the criticality of each unit, and the availability of a backup plan, should be a part of
the overall corporate plan. One site with the ability to share a load over a like unit even overloading for
a period, may be the most cost-effective solution for that site. But a site with only one unit, and not
load-sharing capability, has a different need. And finally, the age and condition of each unit should be
considered when developing a standardized testing and maintenance program.

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 We have previously mentioned the condition risk that relates directly to a condition assessment of
individual units. Transformers made over the last decade may have the same “rating” as units made as
long ago as the ‘70s. We can assure you that they are not the same as it relates to the standards.
Tolerances have become very tight with less copper, steel, insulation and oil being used today, due in
part to better design modeling capability. Transformers were overbuilt in the past and are being built to
spec today. The result is that the condition of a 1976-built 4mVa unit versus a 2012 4mVa unit may give
us a false sense of peace of mind. That 1976 unit is still running and the 2012 unit with the same
condition factors just failed. It is happening more frequently today. This means that today it take much
more brainpower to develop a good set of standards to avoid unplanned outages.

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Why test? What tests should be standard?
When it comes to oil analysis, the chart above is a good indicator of what tests can tell you and
which ones need to be run. Of course, not all units need a CriticalPack of tests, but the chart is a good
guideline. Most experts also agree that oil testing can give you the best chance of discovering the
condition of your units, with about 75 percent accuracy. The more accuracy you need, the more you
come to rely on additional testing like IR and electrical testing. But in most instances this 75 percent is a
good basis for developing a good testing and maintenance program. The cost and difficulty in obtaining
additional electrical testing may not be worth the additional accuracy since shutting down a unit for
electrical testing is not usually convenient or even possible for most critical units. If the oil testing
indicates a serious enough condition, the decision for further testing can be made.

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Where do you house all this data and trending analysis?
You would be amazed at how often test results are filed away, never correlated or trended over
time, or worse yet, never really used to develop a maintenance program. We have Asset Management
programs for every conceivable piece of production equipment, but let the file cabinet be the Asset
Management process for transformers. A good testing program is only as good as the access to the data.
Access must be simple, clear and reliable.

How much simpler can it be than “Acceptable,” “Questionable” (test again and or monitor) or
“Unacceptable” (do something)? The question becomes: Whose standards are you going to use? A
Transformer Dashboard is the simplest, most robust and cost-effective way to manage these critical
productive assets. Whether the fleet is reviewed on a site-by-site basis or across all facilities as a fleet, a
powerful and effective tool in Intelligent Transformer Management is what you do with the data.
Dashboards are used everywhere, yet our industry has been one of the last to develop and apply the
tool. Just as the fact that not all testing companies are alike, not all spreadsheets are the Dashboard.

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Finally, what are some of the common misconceptions about
transformer failure risks?
We have addressed the most common and potentially disastrous misconceptions throughout the
paper, but in the long run the biggest misconception is that transformers need not be maintained since,
unlike rotating equipment, they have no moving parts unless equipped with a Load Tap Changer. The
truth is: A well-maintained transformer could last as long as 50 years, if not longer. Given the industry
standard of a 17-year average life expectancy, a half-century of reliable, uninterrupted and low-cost
power seems like a great return on a little Intelligent Transformer Management.

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 Monitoring Cleanliness Levels in Hydraulic Systems
with the Mesh Blockage Method
Eric Krause
Pall Corporation

Monitoring hydraulic system cleanliness levels through particulate contaminant measurement is

fundamental to achieving system reliability. However, automatic particle counting using light extinction
technology is sensitive to optical interference caused by conditions such as non-homogenous fluids, free
water and air bubbles in the system. These conditions can yield erroneous data and result in incorrect
conclusions and excessive maintenance costs. A Mesh Blockage instrument can provide significant
advantages over the light extinction method. This session will explain the differences between
automatic particle counting using light extinction technology and Mesh Blockage technology for
evaluating fluid cleanliness levels in hydraulic systems.

Reasons for Fluid Sampling

Monitoring system cleanliness levels in hydraulic systems is fundamental to achieving system
reliability. The reasons for monitoring system cleanliness include:

• To measure the operational cleanliness level of the system or process

• To measure the contamination generated by a component or a process

• To measure the level of contamination going into a component or process and monitor the
progress of ‘clean-up’

• To identify sources of contamination as part of a proactive approach to maintenance

Fluid Sampling Requirements

Obtaining a representative sample is critical to cleanliness analysis of a hydraulic system. Field data
has shown that bottle samples are less accurate than automatic in-line counters especially in monitoring
the cleanliness of critical systems. Systems requiring an ISO 4406 Cleanliness Level of 17/15/13 or
better should be monitored using an in-line counter.

Factors influencing the accuracy of off-line analysis or bottle samples include:

• Introduction of environmental dirt into sample bottle

• Incorrect cleaning of sample bottle

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 • Inadequate flushing of sampling valve

• Effectiveness of sampling process

General Requirements for Fluid Cleanliness Monitor

The general requirements for a fluid cleanliness monitor include the ability to detect small particles
in order to provide a warning of increased wear rates. The monitor should be able to measure a wide
range of particle sizes and concentrations and have a proven accuracy and repeatability. Factors that can
influence the fluid cleanliness monitor’s performance and provide false data should be eliminated.

The amount of time required to obtain results from a fluid cleanliness monitor should be such that
corrective actions can be taken with minimum delay. The results of the fluid cleanliness monitor should
be presented in an industry acceptable form A widely accepted and understood method of expressing a
fluid contamination level is ISO 4406-1999 Cleanliness Coding System. A fluid cleanliness monitor should
have the ability to monitor a wide range of industrial fluids including hydraulic, wash and solvent fluids.

Fluid Cleanliness Measurement Technology

There are two major technologies for measuring fluid cleanliness levels on-line. These are
automatic particle counter using light extinction technology and Mesh Blockage technology
instrument.

Automatic particle counters using light extinction technology operate by passing the fluid sample
though a very narrow passage in the instrument’s sensor. The senor is illuminated by a light source,
usually a laser diode, aimed perpendicular to the flow and is the light is captured by a photo-detector.
The passage of particle through the sensor generates a pulse and each pulse is analyzed for its
magnitude and is recoded. The relationship between voltage reduction and particle size is obtained
through sensor calibration.

Automatic particle counters using light extinction technology are sensitive to optical interference
caused by such conditions as dark fluids, fluid mixtures and emulsions. The results can be influenced by
the presence of free water and air bubbles which interfere with the laser light and consequently
registering the presence of a particle. These interference conditions give erroneous data which can
result in drawing incorrect conclusions, wasting maintenance time and ultimately reducing confidence in
cleanliness monitoring.

Mesh Blockage instruments operate by the principle of the particles blocking a mesh with regular
sized pores. The mesh blockage is a function of the number of particles in the fluid whose size is greater
than the mesh pore size. The capture of particles on the mesh creates an increase the differential
pressure across the mesh. The increase in mesh differential pressure is proportional to the number of
particles in the fluid.

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 Mesh Blockage instruments are not influenced by conditions such as dark fluids, fluid mixtures and
emulsions. Other fluids conditions such as the presence of free water and air bubbles have slight
influence on the Mesh Blockage Instrument results.

Fluid Condition Effects on Cleanliness Monitors

Figure 1 below illustrates the influence of water on particle counts. The automatic particle counter
using light extinction technology results, represented by the red, green and blue lines, increased
significantly with the addition of water to the system. Once the level of water, represented by the black
dots, started to decrease, the particle counts obtained from automatic particle counters using a light
extinction technology decreased. The results obtained from a Mesh Blockage instrument, represented
by the solid black lines, vary slightly due to the presence of water.

Figure 1

26 100
24 90
22
80

Water condition (% RH)

20 >4µm (c)
ISO 4406 Codes

70
18
16 60

14 FBM >6µm >6µm (c) 50

12 40
10
30
8 FBM >14µm
20
6
Water added 10
4 >14µm (c)
2 0
0 40 80 120 160 200 240
Running Time (min)

Table 1 below shows the effects of air on particle counts. The automatic particle counter using light
extinction technology results increase significantly with the addition of air to the system. The results
obtained from a Mesh Blockage instrument vary slightly due to the presence of air.

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 Table 1

Test Description Automatic Particle Counter Automatic Particle Counter Mesh Blockage
Monitor
Location #1 Location #2

4 µm 6 µm 14 µm 4 µm 6 µm 14 µm 6 µm 14 µm

Air Off 13.8 11.5 6.5 13.7 11.1 <1 10.6 7.7

Air On 18.8 17.8 14.2 18.6 17.4 12.7 11.3 8.1

Case Study - Transmission Test Stand

An automotive manufacturer established an ISO 4406 Cleanliness Level of 16/14 for their
transmission test stands. Monitoring the transmission fluid’s cleanliness level with an automatic particle
counter using light extinction technology yielded results ranging from ISO 20/18 to 18/16. Monitoring
the level using a Mesh Blockage instrument showed the transmission fluid’s cleanliness level was ISO
14/12. The ISO 14/12 Cleanliness Level was confirmed through optical microscope examination of
the fluid.

Conclusion
In order to monitor fluid cleanliness levels, the measurement instrument has to have proven
accuracy and repeatability. The measurement method needs to be fast and without the chance of false
alarms. Automatic particle counters using light extinction technology are susceptible to non-
homogenous fluids, air, and water that can cause measurement errors. Mesh Blockage systems are not
severally affected by these conditions.

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 An
SPM Instrument
White Paper

An Introduction
to the

SPM HD Method

by

Tim Sundström

R&D, SPM Instrument AB

October 26, 2010

SPM Instrument AB I Box 504 I SE-645 25 Strängnäs I Sweden Technical data subject to change without notice.
Tel +46 152 22500 I Fax +46 152 15075 I [email protected] I www.spminstrument.com ©
SPM 2010-10. 71924B
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 Technical data subject to change without notice.
©
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Contents
1
Introduction............................................................................................................................ 1

2
The Shock Pulse Method ........................................................................................................ 1

2.1
Shock pulses ............................................................................................................................. 1

2.1.1
Summary ............................................................................................................................................. 3

2.2
The shock pulse transducer ...................................................................................................... 3

2.2.1
Summary ............................................................................................................................................. 5

2.3
Normalization of shock pulse amplitude.................................................................................. 6

2.3.1
Summary ............................................................................................................................................. 6

2.4
Quantification of the shock pulse amplitude ........................................................................... 7

2.4.1
Summary ............................................................................................................................................. 8

3
SPM HD .................................................................................................................................. 9

3.1
Comparison with the traditional SPM method......................................................................... 9

3.2
“Black box description” – inputs and outputs ......................................................................... 9

3.2.1
Inputs ................................................................................................................................................ 10

3.2.2
Outputs............................................................................................................................................. 11

3.3
Measuring times for HDm/HDc and SPM Spectrum/Time signal .......................................... 13

3.4
Effects of anti-aliasing filters and modulation on SPM Time Signal HD and SPM Spectrum HD
15

3.5
SPM HD Algorithm overview.................................................................................................. 18

3.6
Digital data acquisition ........................................................................................................... 18

3.7
RPM fluctuation handler ......................................................................................................... 19

3.8
Symptom Enhancer................................................................................................................. 20

3.9
Disturbance rejection ............................................................................................................. 21

3.10
Amplitude scales .................................................................................................................. 23

3.10.1
HDm and HDc.................................................................................................................................. 23

3.10.2
In the time domain...........................................................................................................................23

3.10.3
In the spectrum domain ...................................................................................................................24

4
A couple of interesting patterns in spectrums ..................................................................... 24

4.1
Typical inner race problem ..................................................................................................... 25

4.2
Planetary gearbox with planet modulation ............................................................................ 26

4.3
Typical outer race spalling with harmonics ............................................................................ 28

5
Typical trends for deteriorating bearings at low RPMs ....................................................... 30

6
Comparison with vibration enveloping techniques .............................................................. 32

6.1
Summary ................................................................................................................................. 35

Appendix 1: Example of Condmaster Nova parameter setup……………………………...…………..36

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1 Introduction
The original “Shock Pulse Method”, patented by Eivind Sohoel in 1969, has been used in various
applications with success for more than 40 years. It is appreciated for its ease of use and its good
capability to detect bearing deterioration and lubrication condition.

The new SPM HD method is based on the same fundamental physics used in the original Shock
Pulse Method, namely the fact that in all rolling element bearings, shock pulses are produced in the
contact interfaces between the raceways and the rolling elements.

The purpose with this description is to give an understanding of what shock pulses are, how they
are measured and quantified and finally how to interpret them. A comparison with vibration enve-
loping techniques is made as well.

2 The Shock Pulse Method

2.1 Shock pulses

Shock pulses are elastic waves propagating in “rigid” materials. They are created as a result of colli-
sions between “rigid” objects (like steel). As a result of a collision, the molecules at the impact point
experience an acceleration, transferred by the molecules close to the impact point to nearby mole-
cules until a “wave front” is created. If the material at the collision point is rigid enough and the
collision takes place during a very short time period, a very sharp elastic wave is created. This wave
propagates in the material with the speed of sound.

Rigid material (like steel)

Impact point

Wave front

Fig. 1 An elastic wave front is created as a result of a point to point collision.

Typical values for the speed of the wave front in steel is 5000 m/s and a typical rise time for an elas-
tic wave is a couple of microseconds up to several decades of microseconds.

An analogy to something familiar is the “wine glass demonstration”. Imagine tapping an empty
wine glass with your fingernail. The impact is very short, the wine glass is rigid, the fingernail is rela-
tively rigid and at the point of collision the molecules in the glass are experiencing a huge accelera-
tion affecting the nearby molecules which in turn affects more molecules. This process

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creates an elastic wave in the glass, originating from the point of impact and spreading out to the
whole glass.

This wave front will meet other boundaries (air) and the wave will be reflected back hence creating
a very characteristic tone. On the other hand, if you hit the glass with the palm of your hand the
impact is “softer” with no resulting elastic waves, it is more of a material movement and not an
elastic wave.

Studying an elastic wave in the frequency domain, a sharp pulse in the time domain with very short
rise and fall times contains a broad spectrum of frequencies while on the other hand a more “soft”
pulse contains limited high frequency energy. Studying the interfaces in a rolling element bearing,
the elastic waves typically produced in the surface interaction between the race ways and the rol-
ling elements contains energy well above 40 KHz. This property of a typical elastic wave in rigid
material is very important for the understanding of the shock pulse transducer described in a later
chapter.

Sharp pulse with short rise and fall times The spectrum contains energy in a very broad range

Soft pulse with long rise and fall times The spectrum is more frequency limited

Fig. 2 Example of a “sharp” pulse in the time domain and the resulting frequency spectrum compared
with a more “soft” pulse in the time and frequency domain.

Studying the interaction of the rolling elements and the raceways in detail reveals that hundreds of
shock pulses are produced every second also in perfectly healthy bearings. These shock pulses ori-
ginate from the small collisions occurring on a microscopic level in all rolling element bearings.

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In a healthy, well lubricated bearing only the highest surface asperities will make contact (penetra-
ting the oil film), hence creating shock pulses with a relatively low amplitude, while in a poorly lubri-
cated bearing the repetition rate and amplitude will be higher. In a bearing with damages in the
raceways or in the rolling elements very high amplitude shock pulses will be generated with a repe-
tition rate depending on the bearing geometry and shaft RPM.

The strength of the shock pulses generated from impacts is related to the relative speed of the
colliding objects. In a rolling element bearing for example, the amplitude of the shock pulses gene-
rated are proportional to the speed of the rolling elements.

2.1.1 Summary

Shock pulses are elastic waves in rigid materials (typically steel) with a very sharp rise and fall time.
They propagate in the bulk material with the speed of sound (typically 5000m/s). Shock pulses ori-
ginate from the point of contact between two objects that collide, for example a roller hitting the
sharp edge from a spall in a raceway. The frequency content in a shock pulse is very broad and con-
tains a lot of high frequency energy. A more “soft” wave originating for example from unbalance is
not a shock pulse and does not contain high frequency energy. The amplitude of the shock pulses is
proportional to the relative speed at the moment of impact.

2.2 The shock pulse transducer

As mentioned in the previous section describing shock pulses, a “sharp” pulse with short rise and
fall times contains energy high up in the frequency range. In experiments performed at SPM, it has
been concluded that in a typical “steel ball hitting a steel bar” test, frequency components well
above 40 KHz are easily detected.

The SPM transducer is designed to work at its resonance peak of 32 KHz. This means that if the
transducer is exposed to a mechanical signal containing energy at 32 KHz, it will respond with a
distinct ringing behavior at 32 KHz.

Studying typical shock pulses with short rise and fall times, they contain a lot of different frequenci-
es and specifically they contain 32 KHz frequency components. This means that if a shock pulse
transducer is exposed to a shock pulse, it will be very “receptive” to the 32 KHz frequency and
respond with a distinct “ringing” behavior. This “ringing behavior” is transferred to a Piezo ceramic
dish that makes it possible to measure the “ringing” within the transducer.

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Brass bar

Multiple reflections

Charge
Piezo crystal

Machine

Propagating elastic wave

Fig. 3 Principal drawing and behavior of the shock pulse transducer.

A shock pulse wave front hits the shock pulse transducer. The wave front reaches the inside of the
transducer and passes the Piezo crystal, then travels along a brass bar. When the wave front rea-
ches the end of the brass bar, it is reflected back. The reflected wave is reflected again at the bot-
tom of the brass bar, this continues until the wave decays after a relatively short time. These reflec-
tions create a standing wave inside the brass bar with a frequency of 32 KHz.

One important property of the shock pulse transducer is the decay time for the “ringing” behavior.
When the transducer is hit by a propagating shock pulse, it starts to resonate at 32 KHz. The first
oscillations start with a high amplitude and the following with a gradually decreasing amplitude. If
the transducer is hit with another shock pulse before the first oscillation has “died” out, the next
pulse will be superimposed on the first one creating false amplitudes. It is therefore essential that
the ringing dies out as fast as possible. This can be a problem with vibration enveloping techniques
where the ringing time for an accelerometer normally is longer. The shock pulse transducer is care-
fully designed with this important fact in mind.

Fig. 4 Typical shock pulse transducer

response when hit by a shock pulse. The
decay time is short.

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Returning to the wine glass analogy again: tapping the wine glass with your fingernail will produce a
very distinct ringing sound. The frequency depends of the shape of the wine glass, the material and
whether it is filled with liquid. The wine glass resonance frequency is normally much lower than 32
KHz (typically below 1 KHz), but it is the same principle as the shock pulse transducer. Hitting the
wine glass with the palm of your hand will not create any ringing sound; it is not a shock pulse.

The brass bar inside the shock pulse transducer has its own mass, pressing against the piezo crystal
that creates signals when exposed to low frequency vibrations. Measuring directly on the crystal will
show a combination of the “ringing behavior” with low frequency signals from unbalance etc. To
eliminate the low frequency influence, a band pass filter needs to be used in combination with the
shock pulse transducer. The so called TMU (Transducer Matching Unit) in combination with the in-
terface in the instrument forms a band pass filter that effectively eliminates unwanted low frequen-
cy signals. This is also the reason why it is not possible to use a shock pulse transducer in combina-
tion with a vibration interface – together, the shock pulse transducer and the shock pulse interface
in the instrument form a unit.

The structural resonance of the brass bar in combination with the band pass filter can be summari-
zed in one sentence: the shock pulse transducer is mechanically and electrically tuned to detect
elastic waves.

All shock pulse transducers are calibrated to behave exactly the same way when exposed to shock
pulses. This means that the amplitude and the decay time are well specified and almost identical
from transducer to transducer.

Compared with vibration enveloping techniques where a standard vibration transducer is used, the
behavior when exposed to shock pulses is not clearly defined because the technique is dependent
on a structural resonance in the machine itself. This structural resonance will vary from application
to application. This will be described in more detail in the section about vibration enveloping.

The selection of 32 KHz as the resonance frequency is an optimal compromise. It is above the inter-
fering low frequency signals created from unbalance, misalignment and gear mesh and well below
the ultrasonic frequencies where distance and material transitions severely affects the signal.

2.2.1 Summary

The shock pulse transducer is designed to respond in a clearly defined manner when exposed to
shock pulses. Because shock pulses contain a broad range of frequencies, they will also contain 32
KHz components that will trigger the transducer to oscillate. The behavior when exposed to a shock
pulse is well defined. All shock pulse transducers are calibrated to behave in exactly the same way.
A “softer” signal created for example from an unbalance situation does not contain high frequency
components and will therefore not be picked up by the shock pulse transducer. One important
property of the shock pulse transducer is its ability to dampen the oscillation quickly before the
next shock pulse hits the transducer. This behavior is a clear advantage when compared to vibration
enveloping techniques.

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2.3 Normalization of shock pulse amplitude

As mentioned in the section describing shock pulses, the amplitude of a shock pulse is proportional
to the relative speed of the colliding objects. In the case of a rolling element bearing, the speed of
the rolling elements, relative to the raceways, is defined by the diameter and the rotational speed
of the shaft. The relation between the shock pulse amplitude and the relative speed of the objects
at the moment of impact creates problems when establishing alarm levels. A change in the shaft
rotational speed of a bearing will for example affect the shock pulse amplitudes significantly making
it hard or even impossible to use a fixed alarm level. One way to solve this is to measure the shaft
rotational speed in parallel with the shock pulse measurements and adapt the alarm levels to the
RPM, hence allowing higher shock pulse levels at higher RPMs. Another way to solve this problem is
to introduce a normalization factor, effectively normalizing the shock pulse amplitude regardless of
the rolling element speed relative to the raceways. The result is that the shock pulse reading is
presented on a normalized scale.

By defining the diameter of the bearing and by measuring RPM (or by manually entering RPM) the
system can calculate a normalization factor called dBi for different diameters and RPMs (or HDi in
the SPM HD method) that is subtracted from the measured “raw” value. The algorithm used to
calculate the normalization factor dBi (or HDi) was established by empirical methods and is based
on a significant number of trials performed during long time.

For example, a measured high value of the shock pulse amplitude in a healthy bearing can be per-
fectly normal if the diameter is big and RPM is high. In this case the rolling elements hit small sur-
face asperities and because the speed is high, the resulting shock pulses will be strong. The result-
ing normalization factor will be high and when this factor is subtracted from the measured high
value, the difference will be a low value indicating a healthy bearing.

The normalization factor is a significant advantage compared to vibration enveloping techniques;

the enveloped vibration value will be affected by varying RPM while the shock pulse value, regard-
less of RPM variations, will present stable values thanks to the normalization process.

2.3.1 Summary

In order to have an absolute and easy to interpret scale for shock pulse strength, a normalization
factor, dBi (or Hdi), is used. The use of a normalized scale enables an absolute interpretation of the
shock pulse strength in the terms of green, yellow and red used for direct evaluation of the operat-
ing condition. The normalized scale is a clear advantage compared to vibration enveloping tech-
niques for example, where the values are significantly affected by varying RPMs.

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2.4 Quantification of the shock pulse amplitude

The nomenclature used in the following sections will be aimed towards the new SPM HD method,
meaning that HDi is used instead of dBi, HDm will be used instead of dBm etc.

A number of important facts about the operating condition of a bearing can be established when
studying the shock pulses from different perspectives:

- The strength of the highest shock pulse found during the measurement time indicates a pos-
sible bearing defect. This value is called HDm (m=max value).

- The threshold level, where 200 shocks per second higher than the threshold level can be found.
This level is called HDc (c=carpet). The HDc value indicates lubricant condition.

- The repetition rate of the highest shock values can reveal the source of the shock pulses. Stu-
dying a shock pulse spectrum or a shock pulse time signal accurately pinpoints whether the
shock source is located at the inner or outer raceways, at the rolling elements or from the
cage. Also other shock sources can be identified like gear mesh, commutation frequency from
hydraulic motors etc.
As mentioned earlier, the HDm and HDc values will be affected by the RPM and diameter of the
bearing so they are both normalized, while the shock pulse time signal and shock pulse spectrums
are not. Due to the extremely high dynamics, both the HDm and HDc values are expressed on a
decibel scale. The amplitude of the shock pulses generated from a bearing running in good condi-
tion can be several orders (more than 1000 times) lower than that from a bearing running in bad
condition.
Increase on a decibel scale Equivalent increase on a linear scale
20 dB 10 times
40 dB 100 times
60 dB 1000 times
80 dB 10 000 times

As can be seen from the table above, it is more convenient to handle a scale expressed in decibels.
A more detailed description on how to extract the HDm and HDc values will be covered in a sepa-
rate section.

dBsv This is the unit for the non-normalized “raw” shock pulse value (the “raw” amplitude value
will be significantly affected by RPM and diameter of the bearing).
HDi This is the normalization factor used to normalize the shock amplitude. The HDi value will
increase with increasing RPM and decrease with decreasing RPM (or shaft diameter)
dBn This is the unit used after normalization. Imagine an observer sitting at the HDi line study-
ing the measured shock pulses. The HDi line will move up and down when the RPM is vary-
ing and so will the observer. The amplitude relative to the observer will not vary due to
varying RPM because the normalization. The scale has become an absolute normalized
scale called dBn (n=normalized). The level is expressed in green, yellow and red and can be
used for direct evaluation of the operating condition.
HDm This is the highest shock pulse found during the measurement time expressed in the nor-
malized scale, normally the value for the mechanical condition of the bearing.
HDc This is the threshold level where there exits 200 shock per second expressed in the norma-
lized scale, normally the value for the lubrication condition of the bearing.

Fig. 5 An overview of the shock pulse value abbreviations.

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In the example below, the highest shock pulse value measured without normalization is 45 dB, while
the HDi value is calculated to 20 dB (using RPM=860 and diameter 100 mm). The result after the
normalization is HDm=25 (45 dB – 20 dB = 25 dB).

The same logic applies for the HDc value in the picture. The raw 200 shock pulse per second tresh-
hold level is 32 dB, while the HDi is 20 dB resulting in a HDc value of 12 dB (32 dB – 20 dB = 12 dB).

In this example, the normalized HDm value is 25 dB, indicating that something is affecting the ope-
rating condition of the bearing.

Fig. 6 Description of dBsv, HDi, dBn, HDm and HDc.

2.4.1 Summary

To quantify the strength of the strongest shock pulse found during the measurement time, indicat-
ing possible bearing damages, the value HDm is used. The HDm value is normalized, enabling an
interpretation on an absolute scale indicated with the colors green, yellow and red. The HDc value
is used to quantify lubrication condition. Due to the extremely high dynamics of the HDm and HDc
values, a logarithmic scale is used expressed in decibels.

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3 SPM HD
3.1 Comparison with the traditional SPM method

The SPM HD (Shock Pulse Method High Definition) is based on the same fundamental physics as the
traditional Shock Pulse Method: shock pulses are elastic waves propagating in bulk material, gene-
rated for example in the contact interfaces between the rolling elements and the raceways in bea-
rings. A tuned shock pulse transducer is used to detect these elastic waves.

The SPM HD method uses the same type of transducer as the traditional Shock Pulse Method but in
order to extract more information from the sometimes very weak shock pulses, the electrical inter-
face as well as the data acquisition process has been radically improved. The result is more clear
results with much improved dynamics. Especially on low RPM applications, where the shock pulses
are weak and close to the electrical noise floor, a dramatic improvement compared with the tradi-
tional shock pulse method as well as vibration enveloping techniques can be observed.

3.2 “Black box description” – inputs and outputs

The picture below shows what inputs are needed and what output are delivered from the SPM HD
system once the system is up and running. In order to initially set up the system, the user needs to
define a number of parameters like number of lines in spectrum, frequency range etc. However, if
the default settings are used, this process is very simple and straightforward.

HDm

HDc

RPM

SPM Time signal HD

Bearing data
SPM Spectrum HD

Fig. 7 Inputs and outputs.

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3.2.1 Inputs

The transducer
The SPM HD utilizes the same type of transducer as the traditional SPM method: a tuned transdu-
cer sensitive to shock pulses.

RPM
In order to calculate a proper initial value (HDi) and as an input to the frequency analysis algorithms,
an accurate rotational speed input (RPM – revolutions per minute) is important. If RPM is constant a
manually specified RPM is sufficient, but when there are variations of the RPM, a good quality RPM
sensor is required. For the calculation of the HDi value, only a rough estimation is needed but for
the frequency analysis algorithms it is essential to have a very precise and accurate RPM signal. The
SPM HD algorithms constantly read the RPM signal and adapt the sampling frequency to the RPM
input. If the RPM signal for some reason is of poor quality (e.g. delayed, unevenly spaced pulses if
several pulses per revolution are used, or noise), the resulting SPM HD spectrums and time signals
can be severely distorted.

If there are several pulses during one revolution, for example bolts on a shaft, equal distance bet-
ween each bolt is very important otherwise the order tracking algorithms will malfunction, resulting
in “smeared” spectrums. For example, if 800 lines is used in the SPM HD spectrum and there are
four bolts on the shaft (90 degrees apart), the bolts need to be evenly spaced to a degree better
than 90/800=0.11 degrees in order to produce crisp spectrums. If the precision is not that good,
the spectrum can be smeared because the order tracking algorithms will interpret a changing RPM.

If there is uncertainty about the precision in the distribution of bolts or holes, it is advisable to use
one pulse per revolution. The drawback of having only one pulse per revolution is that if RPM is
very low and there are RPM variations between the single pulses, this will not be detected and the
result is smeared spectrums.

For example, in a typical wind turbine application the brake disc mounted on the main shaft with
holes (for example 24) around the circumference is good enough to produce crisp spectrums.

Note that it is only the SPM HD spectrum and time signal that will be affected by different spacing
between the bolts/holes. The scalar values HDm and HDc will not be affected.

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Fig. 8 Example with four pulses per revolution with non-equal spacing compared with one single
pulse per revolution. The distance between bolts 2 and 3 is shorter than that between 1 and 2.
Consequently, the time between bolts 3 and 4 is longer. The SPM HD algorithms interpret this as a
changing RPM between bolts 2 and 3 and between 3 and 4 even though RPM is constant. The re-
sulting SPM HD spectrum will be “smeared”. If only one pulse per revolution is used the spacing is
guaranteed to be equal.

Bearing Data

To calculate a proper normalization value (HDi), the shaft diameter needs to be specified. It is also
very useful to have bearing data available for the Time signal/Spectrum signal interpretations.

3.2.2 Outputs

HDm

The HDm value is a scalar value expressed in decibels. It represents the strongest shock pulse amp-
litude found during the data acquisition time. The HDm value shows the operating condition of the
bearing and is typically used to evaluate possible mechanical faults in a bearing. HDm is the primary
parameter for alarm settings and trend evaluations.

The data acquisition time is based on a number of revolutions input by the user. The default vale is
50 revolutions. Testing has shown that in order to have a representative reading revealing the con-
dition of the bearing, the data acquisition time should last at least ten revolutions in order to obtain
a stable value. Assuming inner race damage, the signal pattern will be different from revolution to
revolution because of the geometry of the bearing, so a measuring time spanning over one revolu-
tion only will be unstable. In the course of ten revolutions, there should be at least one impact rela-
ted to the bearing. If the data acquisition time spans over 50 revolutions, the HDm value will be
even more stable and should be a good indicator of possible bearing damage severity. In the cour-
se of these 50 revolutions, there should be at least five stronger impacts originating from the bea-
ring. If however there are one or two strong shocks in the course of

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these 50 revolutions, they are most likely disturbances. This logic is the base in the “noise rejection”
algorithms.

This means that with the default data acquisition time setting of 50 revolutions, the algorithms can
handle up to five strong impacts during this time without affecting the final HDm value.
Above a certain RPM (approximately 100-150 RPM depending on diameter) the HDm value (and
HDc) will converge to the traditional dBm and dBc, but especially HDm will have a more stable be-
havior.

It is also important to point out that during the HDm measurements (and HDc), the maximum samp-
ling rate available is used to cover high frequency activities. This in contrast to the SPM HD spec-
trum and time signal where the sampling rate (and anti-alias filters) are adjusted to the selected
upper frequency range.

HDc

The scalar value HDc represents lubrication condition. As mentioned before, there is a constant
multitude of shock pulses emitted from the interface between the rolling elements and the bearing
raceways. The high number of low amplitude shock pulses is significantly affected by lubrication.
In a fully lubricated bearing where the rolling elements and the raceways are kept separated by the
oil film, the number of low amplitude shock pulses are low, and the HDc value will then also be low.
In dry operating condition, the number of higher shock pulses will increase thus resulting in a high
HDc value.

In older SPM instrumentation were analogue techniques where used, a threshold level could be
selected with a potentiometer. The shock pulses detected by the instrument where fed to earpho-
nes, and the level where a continuous tone (=200 pulses/sec) could be heard would constitute the
dBc value (c=carpet). The HDc value used in the SPM HD method is defined in the same way; it
equals the threshold level where 200 shocks per second are found.

The total measuring time is divided into 5 ms time slots. In each time slot, the strongest shock pulse
is identified and temporarily stored. When the measuring time is up, the weakest among these
stored values is selected as the HDc value (there are 200 5 ms slots in one second). This gives an
approximation of the level where more than 200 shocks per second are found.

HDc

Fig. 9 Measuring time is divided into 5 ms time slots. The vertical lines represent individual shocks and
the dots represent the strongest shock found within the time window of 5 ms. The lowest among the
strongest is the HDc value.

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The difference between the HDm values and HDc values (the delta) can be used for a number of
conclusions (see more in SPM handbooks).

The HDm and HDc values are measured simultaneously both are expressed in decibels and are
normalized with the HDi value.

SPM Time Signal HD

The third output from the SPM HD algorithms is the extremely useful Time Signal HD. The primary
purpose of this time signal is to pinpoint the source of the shock pulses. The time signal gives an
intuitive understanding of where the source is located.
Before the SPM HD time signal is presented as an output, it has passed a number of advanced digi-
tal algorithms (described below), producing clear and crisp results. During the SPM HD field test
period, the SPM HD Time signal was in many cases more useful than the SPM HD Spectrum becau-
se of its easy to understand results (see examples later).

The SPM HD Time signal is presented on a linear scale. Due to the high dynamics in the SPM signal,
values can range from below 1 to over 1 000 000 in some cases. The reason for not using a loga-
rithmic scale is that the clarity is then lost to some extent. Remember that the primary use of the
SPM HD time signal is to identify the source of the shocks, not using the value as such.

SPM Spectrum HD

If a Fast Fourier Transform (FFT) is applied on the SPM Time Signal HD, an SPM Spectrum HD is
created. To those used to interpreting spectrums, the SPM Spectrum HD is very useful.
The SPM Spectrum HD is also presented on a linear scale.

3.3 Measuring times for HDm/HDc and SPM Spectrum/Time signal

Described in the HDm section the measuring time for HDm/HDc is based on a number of revolu-
tions. The default setting is 50 revolutions and the measuring time therefore is dependent on the
current RPM.

The measuring time for HDm/HDc can be calculated as:

Data acquisition time (for 50 revolutions) = 50 * 60/RPM

This may seem as a long data acquisition time for low RPMs, but in order to obtain a representative
reading for a particular bearing, the time MUST be adjusted to the RPM. A one second measuring
time at 10 RPM for example does not make sense. During that second, the shaft has only moved 60
degrees and the result will vary depending on when the measurements start.

In addition to this measuring time, there is also a very short data handling time. If the measuring
time for some reason is too long, the number of revolutions can be adjusted but we do not recom-
mend less than ten revolutions. A lower than ten revolutions setting can affect the stability of the
HDm values.

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For SPM Spectrum/Time signal HD, the measuring time is dependent on more parameters than
HDm/HDc: number of lines in the spectrum, order range, symptom enhancement factor and RPM.

If the symptom enhancer is engaged, the measuring time for SPM Spectrum/Time signal HD can be
calculated as:
Measuring time= (Number of Lines/Order range) X (Symptom enhancer factor + 2) X (60/RPM)

If the symptom enhancer is turned off, the measuring time can be calculated as:
Measuring time = (Number of Lines/Order range) X (60/RPM)

Please note that the measuring time for HDm/HDc and SPM Spectrum/Time signal are different.
The measurements start simultaneously but their individual duration will normally differ. There is a
setting in Condmaster Nova making it possible to force equal measuring times for HDm/HDc and
SPM Spectrum/Time HD.

Using default settings, the measuring time for SPM Spectrum/Time signal HD is longer than that for
HDm/HDc measurement.

Typical measuring times for HDm/HDc and SPM Spectrum/Times signal (using number of lines=800,
Order range=100 and symptom enhancement factor=5:

RPM Measuring time, HDm/HDc Measuring time Spectrum/Time signal HD

1800 1.7 sec 1.9 sec
1500 2 sec 2.2 sec
1000 3 sec 3.4 sec
500 6 sec 6.7 sec
100 30 sec 33.6 Sec
10 300 sec 336 sec

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3.4 Effects of anti-aliasing filters and modulation on SPM Time Signal

HD and SPM Spectrum HD
In order to avoid alias problems (ghost signals), it is very important to apply a so called anti-aliasing
filter before sampling. Aliasing may result in spectrums that are very hard to interpret because the
real signals are mixed up with non-existent ghost signals. The anti-aliasing filter removes high fre-
quency signals in the transducer signal to ensure that the sampling rate is adequate for the specific
settings. For example, if the user selects an upper frequency range of 100 Hz, the anti-aliasing filter
will have a cut off frequency above 100 Hz, if an upper frequency range of 1000 Hz is selected the
cut off frequency will be 1000 Hz and so on.

The important consequence of this is that if there are signal sources with higher frequency content
than the cut off frequency, they will be filtered out. For example: assume that we have a roller bea-
ring turning with a fixed outer race and the turning shaft connected to the inner race. Assume also
that there exists a constant load in one specified direction and that the bearing is in good condition.
A shock pulse transducer is mounted in the load zone close to the outer race. As described before,
we expect many shock pulses with low amplitude produced from the interface between the rollers
and the raceways. Especially the interface between the rollers and the outer raceway will produce
shocks that will be picked up by the transducer, because the transducer is located close to the ou-
ter raceway. Also in the interface between the inner race and the rollers, shocks will be produced
but they are weaker due to the distance to the transducer.

In this example we expect many weak shocks detected by the transducer each time a roller enters
the load zone. The number of times a roller enters the load zone can easily be calculated by using
bearing data, in this case the Ball Pass Frequency Outer race (BPFO).

Fig. 10 In a healthy bearing, rollers pass close to the

transducer and a high number of low amplitude shocks
are emitted from the interface between the roller and
the outer race. Each time a roller passes the transducer,
the amplitude of the weak shocks increases.

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Rollers entering load zone close to the transducer

Fig. 11 The signal pattern from the transducer in fig. 9.

The amplitude is low and is modulated with the passing
frequency of the rolling elements.

When doing frequency analysis on the signal above, a frequency range suitable to study bearing
frequencies is normally selected (BPFO, BPFI, etc.). The high frequency repetition rate of the shocks
in the picture above is well above the cut off frequency of the anti-aliasing filter so the resulting
signal will look like this:

Signal is modulated with roller passing frequency

Fig. 12 Signal after anti alias filtering.

Signal is modulated with roller passing frequency

Fig. 13 The resulting signal.

Due to the nature of the anti-aliasing filter (low-pass filter), the amplitude is affected. The filter is
too slow to follow the sharp shock, so the resulting signal has a lower amplitude than the original
signal.

The measurement of HDm and HDc do NOT suffer from this behavior because the anti alias filter is
always set to a very high frequency.

The important conclusion from this example is that when studying SPM Time signal/Spectrum HD,
the absolute amplitude must be used with care. What is seen in the spectrum/Time signal can be
the result of a modulation of a high frequency shock rate. Also, single shock pulses are affected by
the filters resulting in lower amplitude. The Spectrum/Time signal should be used only for signal
source identification and trending. The HDm and HDc values however, are accurate measurements
of the shock amplitude and the absolute values can be used directly.

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Sometimes, like in hydraulic motor applications or in gearboxes where a strong natural shock source
(commutation frequency and gear mesh) exists, and the HDm is totally dominated by that, Spec-
trum HD can be used for trending purposes (by applying band values).

Other techniques like vibration enveloping is also affected by anti alias filter and the amplitude of
the enveloped signal is unreliable. Peak-Vue (trademark of Emerson) has a different approach, the
amplitude is preserved but the spectrum can suffer from alias problems.

Summary: The SPM HD method produces four basic results:

HDm is a scalar value expressed in decibels. It is the primary value to use to determine the severity
of a bearing damage. It represents the highest shock pulses found during the measuring cycle. This
value is also used for triggering alarms.

HDc is a scalar value expressed in decibels. This value represents the level where 200
shocks/second are present. It is useful to determine lubrication condition.

Time signal HD is extremely useful to locate where in the bearing a possible damage is located.
Furthermore, in many cases it is possible to determine the nature of the damage (cracked inner race
with spalling all around or a single crack etc.).

SPM Spectrum HD is the result of applying FFT algorithms on the SPM Time Signal HD. The SPM
HD spectrum is useful to determine where a possible bearing damage is located. It is also useful for
trending purposes (applying band values).

The RPM signal needs to be accurate and of good quality to obtain crisp and clear results. If several
pulses are used for one revolution, they need to be evenly spaced.

The anti-aliasing filters used for the SPM Spectrum/Time signals affect the amplitude of the shock
signals. Care has to be taken when analyzing amplitude. SPM Spectrum/Time signal HD are very
useful for shock signal source identification. We strongly recommend using the HDm value for am-
plitude evaluation.

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3.5 SPM HD Algorithm overview

Following the signal paths from the Shock Pulse Transducer to the four main results (HDm, HD,
SPM Spectrum HD and SPM Time signal HD) the signal will pass a number of sophisticated algo-
rithms. The normal user does not have to care about the settings four these algorithms, the default
values will produce good results. Sometimes, for example when extra sharp spectrums are needed
or time is limited, the user needs to change some of these setting to adapt the system for a particu-
lar application.

HDm
HDc

SPM Spectrum HD
SPM Time signal HD

Fig. 14 Overview of the SPM HD algorithms.

3.6 Digital data acquisition

Every time the SPM sensor is exposed to an elastic wave (shock pulse), the piezo element in the
transducer produces an electrical charge proportional to the strength of the shock pulse. Studying
this raw signal more closely reveals that a typical shock pulse looks like a damped oscillation. To do
a meaningful analysis, this raw signal is converted to an enveloped signal. This process involves
rectification of the signal and finding the shape of the ringing signal (the envelope). By using high
performance A/D converters in combination with sharp digital filters, the signal to noise ratio is
significantly improved compared to the traditional SPM method. This improvement is essential for
low RPM applications where the useful “mechanical” signal is very close to the electrical noise floor.
By using digital technique, extremely weak signals can now be detected also.

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Fig. 15 The “raw” SPM transducer signal, rectified signal and demodulated signal.
By using advanced digital techniques the signal to noise ratio is optimized.

3.7 RPM fluctuation handler

As mentioned earlier, the SPM HD algorithms uses order tracking algorithms to produce normalized
spectrums regardless of RPM variations. The RPM signal is continuously updated in parallel with the
SPM HD readings and the sampling rate is adjusted according to the RPM. If there are several pul-
ses per revolution, care has to be taken to ensure that the pulses are evenly spaced. Failing to do
this will result in smeared spectrums. In most cases, it is better to have only one pulse per revolu-
tion to ensure a proper signal.

It is possible to specify the maximum RPM fluctuation allowed during data acquisition. The default
value is +/- 20% and the maximum fluctuation is +/-50%. If the maximum RPM fluctuation limit is
exceeded, the measurement will be aborted and a new attempt to measure will be made.

There are clear advantages using order tracking and displaying the SPM HD Spectrums in orders
instead of in Hz or CPM, especially when RPM is changing, because the results are much easier to
interpret. In wind turbine applications for example, it is very convenient for gear mesh identifica-
tion.

Note that the order tracking algorithms are only used in conjunction with the SPM Spectrum/Time
HD signals and not together with HDm/HDc.

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3.8 Symptom Enhancer

The symptom enhancer is an algorithm that enhances repetitive shock pulses and suppresses ran-
dom shocks. The symptom enhancer can produce excellent clear and crisp results that can be very
helpful in the signal source identification.

A common technique used in vibration analysis is to use time synchronous averaging to enhance
weak signals. Typically, a trigger pulse is used to start the measurements at exactly the same posi-
tion every revolution. A number of measurements are made and averaged. Because all measure-
ments start at the same position, all vibrations synchronous with the shaft will be enhanced and
other more random signals will be suppressed. This is an excellent technique to increase the signal
to noise ratio. It is however not suitable for bearing frequencies because those frequencies are
normally not synchronous with RPM. Applying time synchronous averaging to detect bearing fre-
quencies will therefore fail. Another way is to use “normal” FFT averaging. This method is more
applicable to bearing frequencies, but will not produce an averaged time signal; only the spectrum
is averaged. The symptom enhancer algorithm however, looks for repetitive shock pulses in the
time domain without needing a trigger pulse. The result is SPM Time signal HD, where random sig-
nals are suppressed and repetitive signals are enhanced. A spectrum based on this time signal is
also produced.

To be able to vary the “strength” of the symptom enhancer algorithms, it is possible to change the
“symptom enhancement factor” (SEF). A higher factor will improve the signal to noise ratio but the
measuring time will increase; a low factor will result in less clear spectrums but the measuring time
will be decreased. The default value is 5 and in most cases this is a good tradeoff between clarity in
the spectrum and the measuring time. The improvement in signal to noise ratio is not linearly rela-
ted to the factor, it is more a square root relation. The improvement is significant when changing
the symptom enhancer factor from Off to 1, good improvement is achieved when changing from 1
to 5 but the improvement from 5 to 10 is limited. The measuring time however will be much longer
when the factor is changed from 5 to 10.

Fig. 16 Example of a SPM HD Time signal before and after applying the symptom enhancer algorithm. The
shocks originate from an outer race damage in a roller bearing at 10 RPM.

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Fig. 17 The relation between signal to noise ratio and

the symptom enhancement factor. The improvement
is significantly higher when the factor is changed
from 1 to 5 compared with changing from 5 to 10.

Theoretically, a SEF change from 1 to 2 improves the SNR by 3 dB, a change from 2 to 5 improves
the SNR by 4 dB and SEF from 5 to 10 improves SNR by 3 dB. The measuring time increases drama-
tically with high SEF number changes (see formula in chapter 3.3, ’Measuring times for HDm/HDc
and SPM Spectrum/Time signal’).

Please note again that the symptom enhancer algorithms are used for the SPM Spectrum/Time sig-
nal HD and are not affecting the HDm/HDc values directly. If however the measuring time for
HDm/HDc is forced to be equal to SPM Spectrum/Time signal HD, the measuring time for
HDm/HDc is affected by the SEF.

3.9 Disturbance rejection

The symptom enhancer algorithm is an effective way to take care of random disturbances for SPM
Spectrum/Time signal HD, but it does not help the HDm/HDc readings. Randomly occurring high
shock pulses are instead, to a certain degree, taken care of by another algorithm: the disturbance
rejector. The idea is that if the measuring time covers a sufficient number of revolutions (our re-
commendation is 50 revolutions), it is not likely that one single high amplitude or even two or three
strong shocks will originate from the bearing. They are probably connected to a source other than a
bearing. If however we catch five or more strong shocks they probably originate from the bearing.
Our investigations shows that there is at least one strong impact for every 10th revolution, during 50
revolutions there are probably five times more. The result of this logic is that the disturbance rejec-
tor can handle a couple of strong impacts but not too many. If the default measuring time of 50
revolutions is used, the algorithms handles approximately five strong impacts before the HDm value
is affected. If the 50 revolution settings is decreased to ten revolutions for example, the algorithm
can handle one strong impact without affecting HDm.

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Another way to describe the disturbance rejector is to use the histogram concept. If all shocks mea-
sured during the measuring time are stored with amplitude and then plotted in a diagram with
number of shocks on the Y axis and the shock pulse strength plotted on the X axis, a histogram is
created.

Fig. 18 A typical histogram for a healthy bearing. The shock pulse strength for an individual shock
is plotted on the X axis, while the number of shocks for a certain strength is plotted on the Y axis.
Typically the histogram has a Gaussian distribution (“bell shaped”). In this example, most shocks
are in the region 16 to 21 dB and the highest are around 33 dB.

The number of shocks during one measurement can be several thousand and the bulk of shocks are
typically very stable even in tuff industrial environments. Strong impacts will show up to the right in
the histogram above. If there are a couple of very strong shocks among thousands of smaller shock
and the measuring time spans 50 revolutions the likelihood for them to originate from the bearing is
small.

Fig. 19 A couple of strong impacts shown in red color. They do not affect the
HDm value. The slope of the histogram is used to extrapolate the HDm value.

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3.10 Amplitude scales

3.10.1 HDm and HDc

The two scalar values HDm and HDc are shown on a logarithmic scale expressed in decibels (dB). 0
(zero) dB equals a voltage level of 1 mV, -10dB equals 0.3 mV and 60 dB equals 1 V measured on a
40 000 transducer. The reason for using a logarithmic scale is the high dynamics of the shock pulse
signal; using a linear scale is hard to understand, especially when the values cover several orders of
amplitude. If the bearing diameter and RPM are known, the system calculates an initial value (HDi)
which is used to normalize the “raw” shock pulse values. The result is two values, HDm and HDc,
shown on an absolute normalized scale. This makes it possible to judge the severity of a possible
bearing damage with only one single measurement. The default level for alert is 21 dB and for alarm
35 dB on the normalized scale. In slow RPM applications, bearings can often survive considerable
time even with relatively severe damages, so in our field tests with low RPMs, we have used so-
mewhat higher alert and alarm levels (typically 35 and 45 dB).

3.10.2 In the time domain

The Y scale in the SPM Time signal HD and SPM Spectrum HD is expressed on a linear scale. Loo-
king at the SPM Time signal HD, the amplitude scales are different depending on whether the
symptom enhancer is activated or not. The reason for this is that the symptom enhancer enhances
repetitive patterns, hence affecting the peaks in the time signal so the result of the enhancement is
not the real signal measured from the transducer. On the other hand, if the symptom enhancer is
turned off, the resulting time signal is the real signal measured from the transducer. The time signal
is squared as a result of the symptom enhancer algorithm, and if the symptom enhancer is turned
on, the resulting Y scale is called HD2esv (High Definition squared Enhanced Shock Value) and con-
sequently it is called HDsv if the enhancer is turned off (note that the scale unit is not squared be-
cause the symptom enhancer is not involved in this case).

Using an STG02 (a calibration instrument used for calibration of SPM and vibration equipment) with
the symptom enhancer turned off, the following results will be produced in time domain:

Amplitude HDsv in time domain STG-02 in dB

1 0 dB
10 20 dB
100 40 dB
1000 60 dB
10000 80 dB

The same exercise but with the symptom enhancer turned on. In this case, the amplitude is depen-
dent of the repetition rate of the shocks. An increase of the repetition rate from STG02 will increase
the amplitude in the time domain (this is a result of the energy contents in pulses). In this case the
repetition frequency of STG02 is set to order 1:

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Amplitude HD2esv in time domain STG-02 in dB

1 0 dB
100 20 dB
10 000 40 dB
1 000 000 60 dB
100 000 000 80 dB

3.10.3 In the spectrum domain

In the spectrum domain, the scale is the same regardless of whether the symptom enhancer is tur-
ned on or off, but the scale unit on the Y axis are called HDesv respectively HDsv. The amplitude is
dependent of the repetition rate of the pulses. Using an STG02 with repetition rate set to order 1
gives the following results:

Amplitude HDesv or HDsv STG-02 in dB

1 0 dB
10 20 dB
100 40 dB
1000 60 dB
10000 80 dB

The different scale units can be somewhat complicated to understand, but please remember that
the purpose of the SPM Spectrum/Time signals is to identify the shock source and to use them for
relative measurements (trending), so do not pay too much attention to the absolute values in the Y
direction. The important values for absolute measurements are HDm and HDc.

4 A couple of interesting patterns in spectrums

As a result of the SPM HD algorithms, the Time signals and Spectrums HD are unusually crisp and
clear, increasing the demand for interpretations of different spectrum lines. Sometimes, finding a
physical explanation to some of the patterns in the spectrums is complex. Listed below are some
typical spectrums and some that need further evaluation of the machine before a decision is made
to replace a bearing.

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4.1 Typical inner race problem

A cracked inner race, time signal (spherical roller bearing from a twin wire press, approximately 10
RPM):

1 revolution

Same cracked inner race as above but in the spectrum domain. Note the extremely clear sidebands
with a spacing of 1 times the RPM (Order 1):

Sideband 1 BPFI
Sideband 2 2 X BPFI 3 X BPFI
Sideband 3

If you find time signal like this, you can be fairly sure that this is an inner race damage. The typical
pattern in the time domain is a result of the crack on the inner race entering and leaving the loaded
zone. Use the HDm value before decision to replace the bearing.

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Note that the pattern in the time domain is repeated for every revolution, and that the distance
between the small peaks equals BPFI (ball pass frequency inner race). The resulting spectrums show
a line at BPFI and sidebands with order 1.

Studying the same spectrum again reveals another interesting detail. There is actually a BPFI peak
at 0 Hz as well. It is not shown in the spectrum, but what is visible are the right hand sidebands to
the 0 Hz line. This is an effect of the enveloping process as such. A raw SPM signal is normally sym-
metrical around 0. There are both positive and negative peaks, and taking an average of this signal
will be close to 0. But in the enveloping process the signal is rectified and enveloped and the signal
is no longer symmetrical; it has a DC shift. A DC shift means that there is a 0 Hz frequency compo-
nent with sidebands. This is exactly what we see in the spectrum. Please note that this is also true
for vibration enveloping techniques, but not for vibration without enveloping. Looking at the first
line, it is positioned exactly at order 1 (1 times RPM).

BPFI at 0Hz

Sideband 1
Sideband 2

Sideband 3

It is a common misconception that a 1 X peak in the SPM Spectrum HD always means something
impacting once per revolution. This may be the case, but much more common is that there is an
inner race problem and the 1 X peak is the first sideband or something else that is modulated with
1 X.

4.2 Planetary gearbox with planet modulation

In a planetary gearbox for a wind turbine there are normally three planets. These planets are tur-
ning along with the main shaft, meaning that at a specific point, three planets pass this point in the
course of one main shaft revolution. If an SPM transducer is placed on this point (for example glued
to the outside of the ring gear), the shock pulse transducer will normally pick up the gear mesh
from the teeth in the ring, and the strength of the gear mesh will regularly increase and decrease
with the passage of the planets.

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Sidebands order 3 (three Gear-mesh 93 Sidebands order 3 (three

planets passes the trans- Orders (93 planets passes the trans-
ducer) teeth) ducer)

This is also an example where there is a DC component at 0 Hz not visible but the right hand side-
bands are. This does NOT mean that there are shocks at order three, its just modulation.

Suspicious line at BPFO

As described in section 3.4, ‘Effects of anti-aliasing filters and modulation on SPM Time Signal
HD/SPM Spectrum HD’ earlier, a high frequency shock rate can be modulated to a lower frequency.
Studying the resulting signal (the blue line in the picture), it can be seen that the signal has become
“soft” with no sharp edges. If a Fourier Transform is applied to this signal, the result is a single peak
with no harmonics in the spectrum.

Signal is modulated with roller passing frequency

Fig. 20 Modulation with BPFO

A spectrum at BPFO with no harmonics may mean that the rollers are creating small shocks at the
interface between the outer race and the rolling element each time a roller passes close to the
transducer. The shocks are modulated with BPFO. This could indicate dry running or a rough surfa-
ce but no severe damage.

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Example of a spectrum from a low RPM application with one peak at BPFO. This spectrum is no
indication of damage on the outer race. In many cases, a single line matching a BPFO can be a good
sign, indicating that the signal is of good quality; the transducer has good mechanical contact.

Twin wire press, approximately 10 RPMs

4.3 Typical outer race spalling with harmonics

A typical damage on an outer race involves higher order harmonics. This example is from a Swedish
paper mill washing roller at 11 RPM. The leftmost line is the main BPFO frequency component with
clearly visible harmonics to the right. Generally, a damage with sharp edges, typically from a spall-
ing, results in very sharp shock pulses. A typical result contains a high content of harmonics.

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Hydraulic motor
A hydraulic motor shows a typical pattern in the SPM Spectrum HD. The commutation frequency in
the motor emits shocks that are easily detected. In some cases, the commutation frequency is not
easily visible but this is related to the motor brand and how it is mounted. The example here shows
a strong impact at 24 - 48 -70- 94-120-144 orders. Impacts from commutation frequency should
create lines at whole numbers contrary to bearing related signals that are not whole numbers. In
the spectrum also BPFO with at least two harmonics are visible. In some cases the signal from the
deteriorating bearing is several magnitudes higher than the commutation frequency signal and
HDm can be used directly. Otherwise band trending should be used.

Outer race signal

Commutation frequency
signal from hydraulic motor

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5 Typical trends for deteriorating bearings at low

RPMs
During the extensive SPM HD method field tests, we were able to study trends over long periods of
time (more than a year) and a typical pattern, common for all the successful bearing damage detec-
tion during the test period, could be observed. The values of both HDm and Spectrum band values
showed clear periods of increasing shock amplitudes followed by periods of decreasing amplitudes
followed again by increasing values. The mean values were steadily increasing.

Fig. 21 SPM Spectrum HD band values (proportional to the energy in the spectrum) spanning over six
months, for a twin wire press bearing. RPM from 8 to 15. Note the typical pattern where periods of increas-
ing values are followed by decreasing values while the mean value shows a clearly increasing trend. The
dramatically decreasing values were after bearing replacement.

The physical explanation to this behavior can be found in the interface between the raceways and
the rolling elements. When the surfaces are subject to high pressure, microscopic cracks can be
developed. When these very small cracks grow, entire areas of the raceway surfaces (or the surface
of the rolling elements) can become loose, thus creating a spall. Even though the spall can be very
small, it has sharp edges and when the rolling elements hit these edges, strong shocks are emitted
from the contact points, thus affecting the shock pulse transducer. This results in a clear increase of
shock pulse values. After some time, depending on the forces, these edges become less and less
sharp due to the “smearing” effect of the rolling elements and the shock values goes down. A first
spall is typically followed by new spalls and this process continues until the bearing is severely dam-
aged. In the picture above, the time between two peaks is roughly five to ten days, but this will
differ between applications.

This behavior is also the secret to the very long damage forewarning times when using the SPM HD
method. The method detects even the first, very small spalls and the typical increasing/decreasing
values can be observed very early in the damage process. Traditional vibration analysis is unable to
detect this as early as the SPM method. This is because vibration transducers are sensitive to lower
frequency mass movements and this movement is so extremely small that it will go undetected.
Later on in the deterioration process, when the damage has become so severe that it involves mass
movements (rolling elements “falling” into the grooves and /or displacement of the shaft ), it can be
detected with vibration analysis. Using vibration enveloping however, simulating the tuned SPM
transducer can reveal details relatively early (see chapter 6, ‘Comparison with vibration enveloping
techniques’).

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In some cases, when a severely damaged bearing has been used for a long time, there is a high
probability that the edges of spalls and possibly cracks have become so soft (edges with increasing
radius) that the shocks emitted are decreasing in amplitude. Preceding this stage is a period of high
shock levels.

April 2009 February 2010

Fig. 22 Example of a severely damaged bearing with a decreasing trend due to softening of edges. The
time period spans over ten months. The decreasing trend was preceded by a period of very high values.
The bearing was replaced at the end of the trend graph. The probability of total malfunction was very high
during this ten month period.

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6 Comparison with vibration enveloping techniques

The advantage of detecting elastic waves (shock pulses) in rigid material for early damage detection
and lubrication evaluation for bearings is obvious. There are other methods which, to a varying de-
gree, can be used to detect these elastic waves. One of them is vibration enveloping, another is
Peak Vue (trademark of Emerson). It is important to point out that both of these methods aim at the
same goal – to detect shock pulses. There are many similarities and some differences between vi-
bration enveloping, Peak Vue and the SPM method.

When a rolling element in a bearing collides with a damage on a raceway, a shock pulse is created
at the point of impact. The shock pulse propagates in the material by affecting nearby molecules,
and is spread by the speed of sound in the material (the speed of sound in steel is approximately
5000 m/s). When this wave front propagates in the raceway material, eventually spreading out in
the machine itself, it will trigger oscillations at the natural frequency of the machine structure. The
natural frequency of a steel structure, for example, will be different depending on whether it is a
small sturcture or a big one, if the shape is round or square, etc. A big steel structure has a lower
natural frequency than a small steel structure. In the case of the SPM method, the resonating struc-
ture is built into the transducer itself, while the vibration enveloping techniques and Peak Vue rely
on the structural natural frequencies mentioned above. This is the first and maybe the most impor-
tant difference between the SPM method and the other methods: the “ringing” structure is built in
into the transducer itself in the case of the SPM method, while the other methods use the ringing
structure of the bearing or machine itself. Typically, the natural frequencies for bearings and ma-
chines can be found from 2 kHz to 8 KHz, but it can vary widely depending on the application.

When the shock pulse wave front hits a metal structure in the machine, the oscillation starts at the
natural frequency of the structure. If an accelerometer is mounted at the “ringing” structure, the
oscillations from the structure will be detected and hence can be measured. These oscillations are
normally much smaller in amplitude compared with the signal energy from low frequency signals
like unbalance and misalignment.

Low frequency vibrations

Shock pulse wave front

Metal structure natural frequency oscillations

Vibration transducer

Fig. 23 A simplified picture of a machine with an outer race damage in a bearing. The shock
pulses propagate in the machine and triggers a metal structure. The metal structure oscillates
at its natural frequency. An accelerometer mounted on the structure will measure the oscilla-
tion. The double arrowed arrows represent low frequency vibrations that are normally domi-
nate the signal completely.

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Unbalance signal

Oscillations caused by shocks

Fig. 24 Typical signal from the accelerometer. A low fre-

quency signal originating from an unbalance is dominating the
signal. Superimposed on this low frequency signal, small oscil-
lations from shock pulses are visible.

To be able to extract the small ”ringing signals” from the overall signal, a band pass filter or a high
pass filter needs to be applied.

Because the ”ringing” structure has different natural frequencies, varying from bearing to bearing
and machine to machine, finding out exactly at which frequency the oscillation occurs is essential.
When that frequency has been identified, the center frequency of the band pass (or high pass) filter
can be adjusted to this frequency. In the SPM method, this step is not necessary because the ring-
ing structure inside the transducer is always 32 KHz. A typical approach to finding out the natural
oscillation frequency is to take a broad band frequency spectrum and try to identify a so-called
“haystack”. A typical appearance of such a spectrum is high amplitude peaks at low frequencies,
originating from unbalance or other low frequency sources. Higher up in the spectrum, a broad
group of frequency lines with normally significantly lower amplitude can be seen: a haystack. Once
the haystack is identified, the next step is to apply the filter so the haystack is contained inside the
pass band of the filter. The result after the filtering is a signal containing only the oscillation trig-
gered by the shocks.

This signal will then be rectified and enveloped, very similar to the SPM technique.

Fig. 25 Top: the vibration signal after the band pass (or high pass) filtering
step. Middle: the signal after rectification. Bottom: the enveloped signal. Note
the similarity with the SPM method principles at these stages.

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Contrary to the SPM method, the resulting enveloped signal amplitude can not be judged in abso-
lute terms because it is depending on where the transducer is placed and what type of transducer is
used. As mentioned in previous chapters, the “ringing” time for accelerometers are normally longer
than for SPM transducers (not indicated in the picture above). This makes it hard to resolve shocks
that are coming too closely; they will be added up into one big peak instead of several smaller
peaks. This is a clear advantage of the SPM method. Especially for lubrication condition measure-
ment, where the shocks are small and many, it is important to resolve individual shocks.

The enveloped signal is then treated in the “normal” way, by applying FFT algorithms and studying
spectrums.

The step when the rectified signal is enveloped is very critical. The normal approach is to use a low
pass filter to extract the envelope. The consequence of this is that the amplitude in the signal is
dampened. To avoid this distortion of the amplitude, the Peak Vue method (trademark of Emerson)
extracts the envelope from the rectified signal in a different way: instead of using a low pass filter,
Peak Vue divides the rectified signal into a number of time slots (the width of each time slot de-
pends on frequency range and number of lines). Within each timeslot, the instrumentation uses a
high sampling rate to find the highest peak. When all time slots are processed, a very accurate en-
velope is extracted with minimal amplitude distortion. The drawback is that when a high sampling
rate is being used, the aliasing filters are set very high (or not used at all), creating aliasing prob-
lems, especially when several strong signals exist at the same time (like an outer and inner race
damage or multiple damages on one raceway). The name Peak Vue may be an acronym for the
process of finding the highest peak within the time window – viewing the peak Peak Vue.

The SPM HD method uses the low pass filtering method to avoid aliasing, but as a consequence the
amplitude is affected. However the HDm value is an accurate value for the amplitude maximum
value, so you could say that SPM HD is the best of both worlds.

Fig. 26 A standard envelope process. The rectified signal is passed

through a low pass filter. The amplitude is affected but the signal
does suffer from alias problems.

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Fig. 27 The same process using Peak Vue. Within each time window, the
highest peak in the signal is identified. The amplitude is preserved.

6.1 Summary

There are similarities between the SPM method, vibration enveloping and Peak Vue: they all look
for elastic waves (shock pulses). The shock pulses trigger resonant structures. In the case of SPM,
this structure is built in into the transducer, always having a resonance frequency of 32 KHz. In vi-
bration enveloping techniques, this ringing structure is found in the machine. A filter (band pass or
high pass) needs to be tuned to find a suitable frequency to remove the low frequency contents.

The major advantages of the SPM method is the fact that the tuned transducer is tailor-made to
detect elastic waves. It responds in a predefined way when exposed to a specific elastic wave, thus
enabling an absolute scale for bearing operating condition.

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Appendix 1 36 (36)

Example of Condmaster Nova parameter setup

The parameter settings required in Condmaster to start measurement with SPM HD are limited.
Besides the obvious settings for measurement channels, measuring interval etc., there are a couple
of settings unique to SPM HD:

Measuring time HDm/HDc: The default setting is 50 revolutions. If the measuring time available is
limited, this number can be decreased. The HDm values can become more unstable if this number is
reduced by too much. Try to avoid decreasing it below ten revolutions. If the number of revolutions
is increased to 1000, for example, the measuring time will of course increase, but some stability can
be gained. Selecting the “Same as FFT measurement” setting means the measuring time for
HDm/HDc will be forced to be equal to the SPM Spectrum/Time signal HD.

Short time memory and Long time memory settings: We strongly recommend using “Time signal
and FFT” for both long and short time memory if possible. The time signal HD is very valuable in
the analyzing process. The reason for supplying the option to save only FFT and peaks is to limit the
size of each result, thus keeping the database size under control. If the database size is not an issue,
it is good practice to also save time signals in long time memory.

Upper frequency: Frequency can only be specified in orders. One order equals RPM/60 Hz (if
RPM=120, then 1 order equals 2 Hz). It is very convenient to work with orders once you get used to
it; bearing signals and gear mesh are easily identified. Order tracking is used by default. The lower
frequency is always 0, while the default value for the upper frequency is 100 orders. As a rule of a
thumb, you should select a frequency range that covers the main frequency of interest together
with five harmonics. Typical values for BPFO, BPFI are around ten, adding five harmonics and some
extra room gives 100 orders. Of course this number should be adapted to the application. In a typi-
cal wind turbine application, we use 100 orders for all measuring points except the planetary gear-
box, where we use 250 orders in order to cover gear mesh from the ring.

Please note that increasing the upper frequency will decrease the measuring time for SPM Spec-
trum/Time signal HD (see chapter 3.3, ‘Measuring times for HDm/HDc and SPM Spectrum/Time
signal’), but the resolution will decrease.

Lines in spectrum: The default value is 800 lines, which is sufficient in most cases. It is possible to
select up to 12.800 lines, but be careful: the measuring time as well as the computing time will in-
crease dramatically for SPM Spectrum/Time signal, especially if a high symptom enhancement fac-
tor is used (see chapter 3.3, ‘Measuring times for HDm/HDc and SPM Spectrum/Time signal’). If
measuring time is not critical, 1600 lines can reveal some more details. For planetary gearboxes in
wind turbine applications, 1600 lines is recommended.

Symptom enhancement factor: The default value is 5. This works in most cases. Increasing this
factor to 10 increases the signal to noise ratio by 3 dB, but measuring time then almost doubles.
The allowed range for the factor is 1 to 10. For more details, see chapter 3.8, ‘Symptom enhancer’.

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Motivating the Troops…It’s About the Perks, Right?
Tom Hiatt and Diane Closser

“The best companies now know, without a doubt, where productivity - real and limitless -comes from. It
comes from challenged, empowered, excited, rewarded teams of people. It comes from engaging every
single mind in the organization, making everyone part of the action, and allowing everyone to have a
voice - a role - in the success of the enterprise. Doing so raises productivity not incrementally,
but by multiples.”

Jack Welch, former CEO and Chairman, General Electric

So what is employee engagement?

Jac Fitz-enz tells us, “Engagement is not a program, a survey, a software package, or, worst of all, a
motivational speech. True sustainable engagement is a function of an organization’s culture, which is
the result of leadership’s vision and behavior”.

Employee engagement encompasses so much more than a few cool perks. Perks are a sign that the
employer wants to create a great workplace. Colleen Kane states “If a company hopes to impress
potential employees and retain the ones already on board, it’s no longer enough to offer the token
fitness room and free coffee in the break room.”

Some employers are supersizing their benefits and perks, to include free counseling, legal advice,
tuition assistance, a childcare center, haircuts, weekly car washes, dog sitting, nursing rooms, seasonal
produce stands, libraries, paid sabbaticals, Botox, on- site mechanics, and use of the corporate jet.

But being the ideal employer has less to do with what goodies are lavished on employees and more
with how employees feel about themselves and the organization.

Aon Hewitt’s definition of Engagement is defined as the state of emotional and intellectual
commitment in a group or organization - the extent to which an organization has captured the 'hearts
and minds' of its people.

Engagement is a tough measure and one that is centered on helping organizations understand how
to best manage their people in order to build and sustain strong business performance.

It is relatively easy to generate happy employees in an organization; it is much harder to engage

them 'heart and mind' so that they are enthusiastically and passionately striving to achieve great results
for the organization.

An engaged employee gives more effort, exceeds expectations, assumes ownership, suggests more
ideas for ways to improve, promotes teamwork, and speaks well of the organization because he/she
wants to not because he/she has to.

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 An en
ngaged emplo
oyee should not
n be confused with a wo rkaholic. Emp ployees who push themselves
may beco
ome burned out.
o Disengage ement is nece
essary on thee weekends, aat night, and o
on vacation.

Emplo oyee engagemment is the re

esponsibility of
o the employyee and the eemployer. Eveen self motivaated
employeees are soon de
efeated when n dealing withh poor leaderrship, poor cooaching, poorr feedback,
negative consequence
c s, unattainabble goals, brokken promisess, and no voicce.

Figure 11

Emplooyee engagem ment surveys are a great eye

e opening eexperience to see how employees feel aabout
the company. The survvey will show that engaged d employees usually have better thingss to say aboutt
their day to day activitties and their coworkers.

What is an emplloyee eng

gagementt survey?
An enngagement suurvey encomp
passes many questions
q usuually administtered by a third party to ensure
honest an
nd open feedb
back.

Some typical survey qu

uestions deve
eloped by Quaantum Workpplace are listeed below:

 My managger trusts me to use my ow wn best judgmment in doingg my job.

 I find my jo
ob interestingg and challenging.
 My managger asks about my career goals
g and provvides coachin
ng to help mee reach them.
 My managger expresses appreciation n for the workk I do.
 I trust and respect my immediate su upervisor.
 Members of my team speaks openly and honestlyy with each otther.
 Our seniorr leaders demmonstrate inteegrity.
 My job alloows me to utilize my strenngths.

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  Our senior leaders practice open two-way communication.
 I am able to handle my personal and/or family needs, challenges, and obligations
outside work.
 We have benefits not typically available at other organizations.

Once you know the results of your survey, you can take action to improve employee engagement.
There are six Universal Engagement Drivers listed in figure 2. These are listed below and described in
detail in the book written by: Leigh Branham, SPHR, and Mark Hirschfeld, entitled, Re-Engage: How
America's Best Places to Work Inspire Extra Effort in Extraordinary Times

Figure 2 The Six Universal Engagement Drivers 2

Caring, competent and engaging senior leaders

The bottleneck is never at the bottom. Employee engagement starts with a senior leadership team
that truly cares about employees, is committed to creating a great place to work, and is trusted by
employees to lead them to future success.

Effective managers who keep employees aligned and engaged

Senior leaders can’t do it alone. They need competent managers who also care about employees
and help them stay motivated and aligned to where the company is going and to its current objectives.

Effective Teamwork at all levels

These great companies know that outstanding work isn’t done in a vacuum. It is done in a team
environment where the individual members are encouraged and supported to be at their best. And
these winning companies reject “us versus them” in any form.

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Job enrichment and professional growth

Within these effective work teams, employees are not just allowed but encouraged to do jobs they
find satisfying and rewarding. They are also given plenty of opportunities to grow and develop in their
current roles or future assignments.

Valuing employee contributions

As employees work to contribute to the organization’s success, the company knows how to
acknowledge, recognize, and reward them in ways that are most meaningful to the individual and
relevant to organizational goals.

Concern for employee well-being

Last but not least, great employers know that the productivity of their associates relies on their
general health and well-being and do everything they can reasonably do to demonstrate their genuine
concern.

The six drivers are universal in the sense that all six are to be found at high levels in the cultures of
the most highly engaged workforces

If You… But… Then…

Have committed, caring Have poorly trained The efforts of the senior
senior leadership managers who can’t help leaders are thwarted
employees be successful

Genuinely care about Don’t recognize or reward They may become

the career growth of them when they make discouraged and
your employees important contributions look for employment
to the success of the elsewhere
business

Have excellent health Don’t offer employees They may watch the
and retirement benefits leadership they trust clock more than they
think about their productivity

Have a meaningful way of Don’t offer opportunities They will find those
recognizing employees for them to grow and opportunities elsewhere
develop

Have effective Cut back on or don’t They may feel forced

managers who want provide competitive to seek a position
to do right by their benefits with better benefits
employees

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Have employees who Are poorly managed The team will underperform,
like working with their by their team and team members
team and have strong will be disengaged
team accountabilities

In the book, The 7 Hidden Reasons Employees Leave, Leigh Branham reported the results of
thousands of employee post-exit surveys. His research revealed why good employees left voluntarily.
The reasons are listed below, along with the universal engagement driver that was missing.

Retention Risk Factors Universal Engagement Driver

Loss of trust and confidence in Caring, competent and engaging senior leaders
leaders

The mismatch between the job and Job enrichment and professional growth
the person

Too little coaching and feedback Effective Teamwork at all levels

Too few growth and advancement Job enrichment and professional growth
opportunities

Feeling devalued and unrecognized Being valued for contributions

Stress from overwork and work-life A genuine concern for the well-being of imbalance
employees

The job or workplace was not as An employee may have expected

expected any of the above drivers and not found
or sustained them in the job or workplace

As shown above, “six of the negatively stated risk factors on the left are mirror images of the drivers
on the right – the six positive contributors to engagement. The list of things that disengage, deenergize,
and drive people away from the workplace are almost the exact inverse of those that get them excited
about being highly productive on the job. By paying attention to, and leveraging, the six drivers will
increase your chances of building and maintaining highly engaged work teams. Not only that, but the
increased employee retention realized is a welcome bonus.”3

So how do caring, competent and engaging senior leaders inspire

employee engagement?
Communicate
Create a caring culture
Promote managers who treat people right develop, remove those who cannot

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 Train managers in the people skills they need
Hold managers accountable for treating people right
Back up words with actions
Demonstrate integrity
Maintain visibility and personal contact with frontline employees
Build and reward teamwork
Eliminate “we-they” divisions between management and frontline employees
Communicate appreciation for employee contributions
Solicit employee input and ideas, and really listen
Act in a timely manner on workable employee ideas, especially surveys, then let employees
know what action was taken
Allow managers and employees to experiment and fail
Tolerate differences of opinions and healthy conflict
Provide benefits and services that promote sustainable life-work balance
Share information with employees whenever possible
Forgo some traditional executive perks and disproportionate pay

What do effective managers who keep employees aligned and

engaged do?
Communicate clearly
Build trusting relationships
Seek training in how to manage people
Make treating people with respect a priority
Create a technical track as an alternative for people not suited for management
Weed out ineffective or abusive managers
Provide 360-degree feedback and developmental coaching
Recognize
Reward
Set examples for all

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 How to have effective teamwork at all levels?
Evaluate all teams for effectiveness of clear mission, honesty, authority, freedom,
accountability, agreement on ground rules, size, and resources

Train
Communicate directly and openly
Limit team size
No gossip
Host fun and morale-building team activities
Organize company sponsored events that encourage social connectedness
Select great team leaders
Allow employees to select new hires
Celebrate company successes
Force cross-functional collaboration
Use 360-degree feedback
Conduct team-building sessions for the executive team
Teach senior leaders to become more visibly effective working together as a team
Eliminate artificial barriers management and frontline employees

What are some best practices to enhance job enrichment and

professional growth?
Give new hires challenges from day one
Have managers delegate responsibilities and tasks
Encourage employees to create new jobs within the company that fill unfit needs
Help bored employees grow in place
Provide new hires with realistic potential career paths
Offer self assessments workshops for employees
Communicate competency definitions for all jobs
Offer a wide range of job specific learning opportunities
Provide cross-training in jobs, functions and technologies
Create alternative career paths for those technical but not manager material employees
Expand tuition reimbursement

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 Train managers in career coaching and mentoring
Maintain a fair internal job-posting system
Allow employees to post their jobs to let other employees know they are open to job swapping
Reduce months or years of tenure required to compete for internal job vacancies
Allow great employees to move to new jobs without their manager’s approval
Base promotions on demonstrated talent, results and true readiness, not tenure

Valuing employee contributions, How do the best managers practice

daily recognition?
Observe the contribution
Thank the employee for the specific contribution
Describe what the contribution meant to the team and the organization as a whole
Acknowledge the employees contribution as soon as possible
Get to know the employee well enough to be able to tailor the acknowledgement of the
contribution
Create opportunities for both team and individual recognition awards
Encourage peer recognition by introducing bravo cards, and pass-around trophies
Make new hires feel welcome and important
Ask for employee input, then listen, then respond
Keep employees “in the loop”
Involve employees in designing new pay systems
Provide the right tools, equipment, data, resources, and staff assistance
Keep the physical environment fit to work in

What are some ways to show concern for employee well-being?

Frequently monitor the wellness needs of all employees through surveys, focus groups, or
benefit committees

Target areas of greatest need, and provide benefits and services that meet these needs in ways
that exceed those provided by other competing employers

Provide a cafeteria of benefits and services that allow the differing needs of employees to
be met

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 Build appreciation for the cost and value of all benefits provided by periodically communicating
their value to all employees

Accelerate and upgrade efforts to educate employees in preventive health practices, and reward
those who follow these practices

Implement both formal and informal recognition practices that demonstrate that caring for the
health and wellness of employees is highly valued in the organization

Guard against cultural norms that create disincentives for healthy behavior, such as excessive
work hours and discouragement of taking vacation time

Introduce and sustain financial wellness education initiatives

Plan and sponsor a variety of social, recreational, celebratory, and fun activities that help build a
healthy sense of community and cohesion

Does your company have the commitment, willingness, financial resources, culture of trust, and
necessary staff to become a more engaged workplace? If not, perhaps you can engage one employee at
a time. Each employee is motivated by one or two of the six universal drivers listed in figure 2. All
employees are alike in the fact that they are interested in getting their needs met. It is up to the
managers and supervisors to figure out a way to satisfy the needs of the person and the organization.

Closing Note
When striving to move an organization from a non-engaged to an engaged workforce, many of the
standard change management techniques and practices are excellent tools to support the staff.

1 Blacksmith, Harter Majority of American Workers Not Engaged in Their Jobs, Gallup Wellbeing,
October 28, 2011

2 Re-Engage: How America's Best Places to Work Inspire Extra Effort in Extraordinary Times,
Braham, SPHR, and HIRSCHFELD, 2010

3 Re-Engage: How America's Best Places to Work Inspire Extra Effort in Extraordinary Times,
Braham, SPHR, and HIRSCHFELD, 2010

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 Oil Analysis Case Studies:
When Routine Tests are not Enough
Cary Forgeron,CLS

Background
In order to quickly and accurately determine the “cause and effect” of oil and wear related
problems, proper tests and procedures based on the equipment sampled and its application must be
utilized. This paper details the appropriate test slates for various types of industrial equipment and
applications as well as the additional test factors necessary to manage a successful and cost effective oil
analysis program.

Oil analysis has long been accepted as a valid predictive maintenance technique. The facts show
that, when properly utilized, using a qualified laboratory with proper testing, and there is a full
commitment of the user, oil analysis requires the lowest cost of implementation and that provides the
highest rate of Return on Investment by any of the predictive maintenance disciplines.

Proper Utilization
Oil analysis is most effective when used as a regular component of an ongoing Predictive or
Reliability Centered Maintenance program. Users need to sample the right equipment at the right time
using the right sampling method.

The decision process for the determination of the equipment to be placed on the program should be
made based upon the criticality of each piece of equipment. Sample frequencies should be based on the
usage or utilization of the equipment. Sampling location and technique should be determined by the
ability to capture the most representative sample ‐ ‐ upstream or prior to filtration and away from “dead
flow” areas.

Criticality of the equipment covers many items. Consideration should be given to the level of
importance the piece of equipment has to the overall production of the plant (or line). The cost of
repairs and the cost of replacement also factor in the decision‐making process. These costs must
include parts, labor and lost production due to the downtime. Of least importance is the sump capacity
of the equipment. In many instances plant personnel forgo sampling of small‐sump capacity units, that
if or when they fail can bring an entire production process to a halt. It is not the cost of the lubricant or
size of the sump that should drive the sampling but the cost of productivity, repairs and replacement.

Sampling frequency is typically based on hours of usage for the lubricant in use. Another key
component in the setting of proper sample frequencies is factoring the rate of change in wear or lube
degradation, that can occur over short periods of time.

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 An example is high speed units that develop abnormal wear patterns which may further accelerate
the wear pattern by virtue of the speed of the rotating components, resulting in “wear creating wear”.
Or, equipment that has a tendency to experience lube contamination from outside sources may
experience very quick changes in viscosity due to the type of contamination.

In these and similar situations sampling frequencies should be shortened in order to increase the
chance of early detection of the problems.

Proper sampling location and technique is a critical element of a successful program. The lubricant
is the medium holding the information about the condition of the equipment. Without a proper
representative sample of the lube in use the diagnostics of the test results will be restricted. Wherever
possible samples, must be pulled from the circulating oil upstream of the filter housing. Samples should
be taken with the oil at or near operating temperature and no later than fifteen minutes after a
shutdown.

Whenever possible sample valves should be installed and used. This helps guarantee a proper
location, with the sample being taken in the same manner each time, regardless of who is taking the
sample. In order of preference, samples should be taken via:

1) Properly located sample valves

2) with tubing from the mid‐sump point, using a pump or bellows device

3) drained oil from plugs or discharge piping, AFTER enough oil has flowed to allow for
purging sediment around the plug hole or static oil has been removed from the piping.

Two last items in the utilization of a program are proper paperwork and prompt delivery of the
samples to the laboratory.

The adage “the job’s not over until the paperwork is complete” has never been so true as with oil
analysis. Unless the laboratory has the proper and needed information regarding each piece of
equipment enrolled in the program and on each individual sample, the ability to accurately evaluate the
test results to determine equipment and lube condition is restricted.

Information required on the equipment includes:

 Identification Number (asset #, serial #, id # etc)

 Type of equipment (turbine, compressor, hydraulic etc)

 Manufacturer make and model

 Oil manufacturer, brand and grade in service

 Oil sump capacity

 Filtration system utilized, # of filters and filter rating

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  Any unique information about the equipment, its location or application (for example:
located in a high ambient temperature area of plant, pump transfers caustic chemicals
[name chemicals] or equipment is located near ….

Note: information on the equipment needs only to be provided once unless something changes.

Information on each sample includes:

 Equipment identification number

 Hours of operation on equipment since new (or last overhaul)

 Hours of operation since last oil change

 Amount of make‐up oil (if any) since last oil change

 Advise if oil and or filters were changed at the time of sampling

 Sample date

When provided, this information allows diagnosticians to properly assess the equipment and
lubricant condition based on utilizing the variable information that is specific to each sample. For
example, a test result of 125 ppm of copper on a sample from a Cincinnati worm drive gearbox with
1000 hours of running time on the oil might be considered quite normal while the same unit with the
same 125 ppm of copper reported on 200 hours of running time on oil may represent a significant wear
related situation. In this case, the run time on oil would be the critical factor, representing the time over
which the wear products accumulated before the sample was taken.

Proper Testing
Loosely defined oil analysis is simply the “analyzing of oil”. This “analyzing” can be comprised of
literally thousands of different tests to determine hundreds of different properties of the sample.
However, logic dictates that commercial use for an RCM program defines oil analysis as a slate or series
of tests performed on used lubricants to determine component wear of the equipment and,
contamination and certain physical properties of the lube in use.

Generally, oil samples are provided based upon a pre‐packaged slate of tests. It is important that
the user understand the tests and the methodologies used to perform the tests when selecting the
various slates. Lack of test knowledge or strictly price driven decisions can easily lead to misapplication
of the testing to equipment and lackluster results in the overall program.

Tests can be categorized into three areas; contamination, physical properties and wear.

The key to a successful program is “appropriate” tests for the specific equipment and lubricant in
service. Both of these items have a direct bearing on the validity of the analysis and diagnostics.

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 An example of this is when a moisture content reported in ppm is required for a piece of equipment
where the lubricant in use is heavily additized as part of its normal additive package. The typical test to
determine the moisture content is Water Karl Fischer. However, there is more then one technique in
running a Karl Fischer. The most common technique used by laboratories is where the sample is
injected directly into a titration vessel. Unfortunately, in these instances heavily additized, also known
as “well fortified” lubricants cause interference with the methodology and false high readings are
reported. The proper methodology is to use an oven method Karl Fischer where the sample is heated
under controlled conditions. The moisture in the sample is vaporized and then carried by an inert gas to
the vessel chamber for titration. The additives do not enter into the chamber and a correct moisture
level is reported.

The following table lists recommended test slates for generic equipment types. Adjustments to
these recommendations may be made based upon the specific type of equipment manufacturer,
application and lubricant in use. Finalization of testing should be made after the user and laboratory
discuss and define the program goals and objectives.

A successful oil analysis program will provide information to the user of that will identify wear rates
of oil wetted components, levels of contamination present in the system and certain physical properties
of the lubricant. Wear is generally attributed to a “cause and effect” scenario. Contamination and or
changes in the properties of the lubricant are the “causes” that create accelerated wear, the “effect”.

By properly testing for the appropriate contaminants, measuring changes in physical properties and
monitoring wear metals a qualified laboratory can identify problem areas well in advance of outward
signs, and should provide diagnostic alerts to recommend corrective actions that will correct not only
the indicated problem(s) but more importantly the causes of the problem(s).

Commitment of the User

Information is only as good as what we do with it. A successful oil analysis program that significantly
contributes to the reduction of maintenance costs requires a committed program by all levels of the
user organization. Management must buy in to the program and budget the needed resources for the
inclusion of all critical equipment, with testing at the proper frequencies and manpower to be able to
react to the identified problems and alerts.

Reliability personnel must demand that their laboratory assist them in the identification of critical
equipment, establishment of proper frequencies, provide immediate (24 hour maximum) response on
sample turnaround and if applicable, integrate the data delivery into an existing CMMS program or
provide electronic delivery of the data so that it can be easily managed.

Training, with the assistance of laboratory personnel, should be provided to the individuals charged
with taking the samples and completing the necessary paperwork. A full understanding of what is
involved in a program and why helps insure accurate and complete information is constantly exchanged
between the user facility and the laboratory. For example, samples that are taken in the proper
manner, with full information, that sit in a mail room for several day before shipping to the laboratory

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defeat the purpose of gaining information as soon as possible. Generally, an abnormal situation can be
considered a critical situation waiting to happen. It’s just a matter of time. Should a sample be delayed
in getting to the laboratory it is quite possible that a costly problem might have been avoided. Unless
the sampler is aware of this possibility the urgency in shipping a sample might not be there.

When problems are identified by the oil analysis corrective action needs to be put in place. Minor
and scheduled maintenance activity is always less expensive then major or unscheduled activity. The
productivity or earning capacity of a piece of equipment is always greater than the cost of repair.
Downtime is a “dirty word” with operation personnel. Unscheduled downtime is an unacceptable event
in a RCM program. Both can be controlled and managed with a successful oil analysis program.

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 Oil Analysis Report Interpretation
Matt McMahon, CLS, TestOil

Overview
The oil analysis report is a vital tool for a smooth running operation. Going deeper than the report
summaries and knowing how to analyze the report can help prevent equipment breakdown and
unnecessary equipment teardowns.

During this session you will learn from industry expert, Matt McMahon, his process for reviewing and
analyzing oil analysis reports. Matt will review some of the most common tests run on industrial
equipment and teach you how to read test reports. He will also walk you through marginal and critical
reports and teach you how to decipher various alarms. Attendees will walk away with an improved
knowledge of oil analysis report interpretation.

The Role of Oil Analysis

Selecting the proper lubricant, along with careful maintenance of that lubricant, is essential to ensure
adequate protection to any machine. Proper lubrication is defined as a correct amount of the correct
lubricant at the correct time.

Maintaining a lubricant means ensuring that it has the correct viscosity and the necessary additives
for the application. Steps must be taken to keep the lubricant clean and serviceable. Oil analysis is the
most effective way to prolong the useful life of lubricants, while maintaining maximum protection of
equipment.

Oil analysis tests reveal information that can be broken down into three categories:

 Lubricant condition: the assessment of the lubricant condition reveals whether the system fluid
is healthy and fit for further service, or is ready for a change.

 Contaminants: increased contaminants from the surrounding environment in the form of dirt,
water and process contamination are the leading cause of machine degradation and failure.
Increased contamination indicates that it is time to take action in order to save the oil and avoid
unnecessary machine wear.

 Machine wear: an unhealthy machine generates wear particles at an exponential rate. The
detection and analysis of these particles assist in making critical maintenance decisions.
Machine failure due to worn out components can be avoided. It is important to remember that
healthy and clean oil leads to the minimization of machine wear.

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 Lubricant condition is monitored with tests that quantify the physical properties of the oil to ensure
that it is serviceable. Metals and debris associated with machine wear are measured to monitor
equipment health. Some tests target specific contaminants that are commonly found in oils. It is
imperative to select the proper blend of tests to monitor the machine’s lubricant condition, wear debris
and contaminants in order to meet the goals of successful oil analysis.

Elemental Spectroscopy
Elemental spectroscopy is a test that monitors all three categories (lubricant condition, wear debris
and contaminants). A spectrometer is used to measure the levels of specific chemical elements present in
an oil.

Two types of spectrometers are commonly used. Arc emission spectrometers apply energy in the
form of an electric arc to the sample. This excites the atoms into vapor form, creating a spectrum where
light is generated. Individual light frequencies in the spectrum are measured and quantified to
determine the presence and quantities of specific elements present. The other common type of
spectrometer is the ICP (inductively coupled plasma) spectrometer. This operates on a similar principle,
except that the energy is applied to the sample by a plasma flame rather than an electric arc.

There are typically 20 elements measured by spectroscopy and reported in parts per million (ppm).
These measurements represent elements in solution. Spectroscopy is not able to measure solid particles
larger then roughly 7 μm, which leaves this test blind to larger solid particles.

Typical levels of wear can vary greatly depending on the type of equipment being sampled. For
example, a gearbox will normally have much higher levels of iron than a hydraulic system. Levels of wear
can vary across different units of the same type depending on oil hours, operating conditions, loading
levels or other conditions. For this reason, it is impossible to establish firm limits for any piece of
equipment based solely on the equipment type. To take full advantage of monitoring wear; a trend
should be established to provide an operational baseline of data. This will ensure detection of abnormal
wear rates as they develop and allows for the fact that similar equipment may not wear at the same
rate.

Monitoring the additive levels provides information to ensure that the proper lubricant is being used
for the application and for topping off. Four types of lubricants are generally used in most industrial
applications, and each has different additive levels. It is important to note that an oil’s level of additives
measured by spectroscopy is not necessarily an indication of the oil’s quality.

 Engine oils will typically contain anti-wear additives composed of zinc and phosphorus. One
should expect to see these elements present in approximately 1000 ppm (200 ppm). A
detergent package should also be present, composed of some configuration of barium,
magnesium and calcium. These levels will vary depending on the oil.

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  Extreme pressure oils are typically for gear applications. It is common to see significant amounts
of phosphorus.

 Anti-wear oils include many bearing oils, some gear oils and hydraulic fluids. These oils contain
both zinc and phosphorus from 200 to 600 ppm. There may be very low levels of detergent
(magnesium or calcium) present also.

 Rust and oxidation inhibiting oils are the easiest to identify. They include turbine oils,
compressor oil, and some bearing and hydraulic oils. These oils have no metallic additives that
can be measured by spectroscopy, so there should be extremely low numbers for all additive
metals.

It is not uncommon to see low levels (20 ppm) of some additive metals where they are not
expected. This is usually the result of residual contamination in the equipment or storage tanks.

There are oils that do not fit into these descriptions. Many oils are formulated for specific
applications and alternative additives must be used. An example would be oils formulated for some
stationary and electro-motive diesel engines. In many cases, operating conditions or emission concerns
call for a less traditional additive package.

As with any type of testing, spectroscopy is subject to inherent variance. High water levels can cause
interference in the spectrum, as can the matrix of some synthetic base stocks. In short, always double
check with another sample before taking any invasive maintenance action. Never rely on just one piece
of data when making a maintenance decision.

Viscosity
An oil’s viscosity is considered its most important property. The most common technique for
measuring an oil’s viscosity is following ASTM D445 using a viscometer (ASTM, 2011). A small sample of
the oil is drawn into a calibrated capillary tube in a constant temperature bath. Once the sample comes
to temperature, it is allowed to flow down the tube a predetermined distance. The viscosity is the
product of the flow time and tube calibration factor. The results are reported as the oil’s kinematic
viscosity in centistokes (cSt).

Industrial oils are identified by their International Standard for Organization viscosity grade (ISO
VG). The ISO VG refers to the oil’s kinematic viscosity at 40 °C (104 °F). An oil’s weight commonly refers
to its kinematic viscosity at 100 °C (212 °F). The weight of multi-grade oils is represented by the second
number in the rating. A 10W30 would be 30-weight oil. The 10 before the W, which stands for “winter,”
refers to how the oil performs in cold weather conditions.

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 When an oil’s viscosity increases, it is usually due to oxidation, degradation or contamination. This is
the result of extended oil drain intervals, high operating temperatures, or the presence of water or
another oxidation catalyst. Increased viscosity can also be the result of excessive contamination with
solids such as soot or dirt, as well as topping off with a higher grade lube. Water contamination can also
cause high viscosity.

A decrease in the oil’s viscosity is most commonly due to contamination with fuel or a solvent. An
oil’s viscosity also can be affected if the wrong oil is used for top off or replenishment.

If a lubricant does not have the proper viscosity, it cannot properly perform its functions. If the
viscosity is not correct for the load, the oil film cannot be established at the friction point. Heat and
contamination are not carried away at the proper rates, and the oil cannot adequately protect
the machine.

Acid Number
Acid number is an indicator of oil health. It is useful in monitoring acid buildup in oils due to
depletion of antioxidants. Oil oxidation causes acidic byproducts to form. High acid levels can indicate
excessive oil oxidation or depletion of the oil additives and can lead to corrosion of the internal
components. By monitoring the acid level, the oil can be changed before any damage occurs.

An oil analyst is looking for a sudden increase. When your oil is flagged for high acid levels, it
indicates accelerated oil oxidation, and you should change the oil as soon as possible. If any of the
remaining highly acidic oil is left, it will quickly deplete the antioxidants in the new oil.

Acid number is measured by titration using ASTM D664 or D974. Both methods involve diluting the
oil sample and adding incremental amounts of an alkaline solution until a neutral endpoint is achieved.

The Acid number of a new oil will vary dependent upon the base oil additive package. An R&O oil
will usually have a very low AN, around 0.03. An AW or EP oil will have a slightly higher value, typically
around 0.5. Engine oils commonly have a higher AN, in the neighborhood of 1.5.

Acid number is measured by titration

using ASTM D664 or ASTM D974
(ASTM, 2011; ASTM, 2008). Both test
techniques involve diluting the oil
sample and adding incremental
amounts of an alkaline solution until a
neutral endpoint is achieved.

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Base Number
Base number testing is very similar to acid number testing except that the properties are reversed.
The sample is titrated with an acidic solution to measure the oil’s alkaline reserve. ASTM D2896 and
ASTM D4739 are the most commonly used methods to measure the base number (ASTM, 2007; ASTM,
2008).

Many oils (especially motor oils) are fortified with alkaline additives to neutralize acids that are
formed as a result of combustion. In diesel engine applications, acid is formed in the combustion
chamber when water combines with sulfur under pressure. Measuring the base number will help ensure
that a sufficient amount of additives have been added to the oil to help resist oxidation due to acid.

The base number of oil is highest when the oil is new and decreases with use. Once again,
condemning limits are based on the oil in use. As a rule, the base number should not drop below half of
its original value. Base number values for new engine oils very greatly depending on the application.

Base number testing measures the

reserve alkalinity in a lubricant. The
amount of reserve alkalinity in a
lubricant is critical for certain oils.
Often an oil is fortified with alkaline
additives to combat acid formation.
The base number is at its highest
when new and decreases with use.

Water Contamination
Water contamination is detrimental to any lubricant. A simple crackle test is used to determine if
water is present in oil. A small volume of the lubricant is dropped onto a hot plate and if bubbles or
crackles occur water is present.

If a crackle test is positive, further testing is needed to quantify the amount of water by using Karl
Fischer titration by ASTM D6304 (ASTM, 2007). A measured amount of oil is introduced into a titration
chamber. This solution is titrated with Karl Fischer reagent to a specific endpoint. The amount of reagent
used and the sample volume are calculated and converted to ppm or percent by mass.

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 Low levels of water (0.5%) are typically the result of condensation. Higher levels can indicate a
source of water ingress. Water can enter a system through seals, breathers, hatches and fill caps.
Internal leaks from heat exchangers and water jackets are other potential sources.

Using the Karl Fischer titration

method, a reagent is titrated
into a measured amount of
sample and reacts with the
hydroxide molecules present
in the moisture. This
depolarizes an electrode and
determines the titration
endpoint. Results are reported
as either percent water or
ppm (1% = 10,000 ppm).

Particle Count
Particulate contamination has negative effects on all machine types. Particle count testing is a way
to monitor the level of solid contamination in the oil. Two types of automatic particle counters are used
to test oil cleanliness: light blockage and pore blockage.

 Light blockage: The light blockage technique involves passing a sample through a small orifice that
has a laser light source on one side and an optical sensor on the other side. Particles interrupting the
light beam are counted, and size is determined by the degree of light blockage. Light blockage
particle counting is not effective when oil is contaminated with water or when air is entrained in the
oil. In these circumstances, water or air bubbles will be counted as particles causing erroneous
results.

 Pore blockage: The pore blockage or flow decay technique passes the sample through a mesh filter.
As a filter clogs, the flow of the sample is slowed. The amount of flow decay is calculated, and the
particle count can then be extrapolated. Because water droplets and entrained air will not restrict
the fluid flow, there is no interference from these contaminants.

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 Results are reported as particles per milliliter in six size ranges: 4, 6, 14, 25, 50 and 100. ISO
Cleanliness Codes are then assigned for particles in 4, 6 and 14 μm ranges (ISO 4406:1999). The result is
reported by three numbers with a slash between them; the first number refers to particles in the 4 μm
range, the second to particles in the 6 μm range and the third in the 14 μm range. The lower the
numbers in the ISO Cleanliness Code, ISO 4406, the cleaner the fluid.

Particulate contamination is a measurement of the effectiveness of filtration and can indicate when
excessive external contamination is occurring. Advanced machine wear will also cause increased particle
counts. Generally, the lower size ranges are considered indicative of contamination and silt, while the
larger size ranges point to wear problems.

Ferrous Wear Concentration

In some cases, a particle count is not an effective test because the sample is inherently dirty and
filtering the oil may not be plausible. A particle count indicates that the sample is extremely dirty, but it
does not give any indication of ferrous wear. In gearboxes, ferrous wear may be more important than
overall particle count. In such an application, ferrous wear concentration is a good substitution for a
particle count test.

A wear particle analyzer quantifies the amount of ferrous material present in a sample of fluid. A
measured amount of sample is inserted into the analyzer and amount of ferrous material is determined
by a change in magnetic flux. This change is then converted into ferrous concentration in parts per
million. Using this method, there are no interferences with non-ferrous particles.

One advantage of a ferrous debris monitor is that it will measure ferrous wear debris in all types of
oil, from gearbox lubricants through hydraulics. One of the other key benefits is that it will also measure
ferrous wear debris found in grease.

A similar test to the ferrous debris monitor is DR (direct read) ferrography. DR ferrography collects
positively charged particles on two light sources and measures the amount of blocked light to determine
the level of ferrous contaminants present in an oil. Although these two tests provide the same
information, they are not interchangeable.

The ferrous wear

concentration gives a
direct measure of the
amount of ferrous wear
metals present in a
sample.

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Analytical Ferrography
Analytical ferrography is used to separate solid contamination and wear debris from a lubricant for
microscopic evaluation. As stated earlier, spectroscopy is not able to measure wear particles larger than
7 μm in size. While particle counting, ferrous wear concentration and DR ferrography are able to detect
the presence of larger particles, they cannot qualify their composition or origin. Analytical ferrography
is able to identify wear particles, their composition and their origin by visually analyzing them
microscopically.

A diluted oil sample is allowed to flow over a specially treated slide which is positioned at an angle
over a strong magnet. The ferrous (iron) particles are attracted to the magnet and deposited onto the
slide in decreasing size as the oil flows down the substrate. Nonferrous particles are deposited randomly
while ferrous particles line up in chains as a result of the magnetic flux. The result is a microscopic slide
with the particles separated by size and composition.

Microscopic examination of the debris reveals information about the condition of the equipment.
Observing the concentration, size, shape, composition and condition of the particles indicates where
and how they were generated. Particles are categorized based on these characteristics, and conclusions
can be drawn regarding the wear rate and health of the machine.

The composition of the particles can be identified by color. Heat treating the slide causes specific
color changes to occur in various types of metals and alloys. The particle’s composition indicates its
source. The particle’s shape reveals how it was generated. Abrasion, adhesion, fatigue, sliding and
rolling contact wear modes each generate a characteristic particle type in terms of its shape and surface
condition.

Solid contaminants can also be visually identified provided they are of a commonly found origin.
Sand and dirt, fibers, oxidation products, rust and metal oxides are examples of contamination debris
that can be identified.

Conclusion
While the results of these tests are a powerful maintenance tool, they are useless if not monitored
and acted upon. A successful oil analysis program will be one where the test data and analysis are
coupled with the maintenance department’s knowledge and expertise to provide the most effective
maintenance practices.

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About TestOil
TestOil is a full service oil testing laboratory owned by Insight Services. Since 1988 the laboratory
has been providing fast and reliable oil analysis results across all industries throughout the Americas.

The firm’s comprehensive range of oil analysis services assists reliability engineers with condition
monitoring and identification of machine wear.

TestOil employs a sophisticated diagnostic technology that assists their Machine Condition Analysts
in making equipment and lubrication condition assessments.

References
ASTM D445, Standard Test Method for Kinematic Viscosity of Transparent and Opaque Liquids (and
Calculation of Dynamic Viscosity), ASTM International, West Conshohocken, Pennsylvania, 2011.

ASTM D664, Standard Test Method for Acid Number of Petroleum Products by Potentiometric Titration,
ASTM International, West Conshohocken, Pennsylvania, 2011.

ASTM D974, Standard Test Method for Acid and Base Number by Color-Indicator Titration, ASTM
International, West Conshohocken, Pennsylvania, 2008.

ASTM D2896, Standard Test Method for Base Number of Petroleum Products by Potentiometric
Perchloric Acid Titration, ASTM International, West Conshohocken, Pennsylvania, 2007.

ASTM D4739, Standard Test Method for Base Number Determination by Potentiometric Hydrochloric
Acid Titration, ASTM International, West Conshohocken, Pennsylvania, 2008.

ASTM D6304, Standard Test Method for Determination of Water in Liquid Petroleum Products,
Lubricating Oils and Additives by Coulometric Karl Fischer Titration, ASTM International, West
Conshohocken, Pennsylvania, 2007.

ISO 4406:1999, Hydraulic Fluid Power – Fluids – Method for Coding the Level of Contamination by Solid
Particles, International Organization for Standardization, Geneva, Switzerland, 1999.

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 Contamination Types and their Oil Analysis Results
Aaron Black

The primary source of lost revenue due to downtime of equipment is commonly a direct result of
some type of contamination, be it dirt, water, product, incorrect lubricant, or some blend of any of
these. Oil analysis testing can identify these contaminants, but unless you are aware of the actual
problems that can arise from them it is difficult to take the correct action.

We are going to review the most common contamination types: Water, Dirt, and Incorrect
Lubricant. We will go case-by-case with each contaminant type for what the more common forms are
within type, and then look at what kind of lubricant and equipment degradation you are more likely to
see when you have these contamination types present.

We will then look at what oil analysis tests are more likely to show each problem, and some
common results when you have these problems present. Finally we will go over the more common
recommended actions when you have these various contamination types to try to stop the problem.

Abrasives
Abrasives are at the top of the list for being the most common problem inducing contaminant,
because they tend to cause the most damage. They are more likely to be a hard contaminant, and
present the ability to be a size range well into your clearance ranges that are more likely to cause the
most damage.

The most prevalent forms of abrasives are dust and dirt (likely suspended by air, or possibly
introduced along with water contamination) and Product or process contamination (if you have a
process that includes any level of particulate, it is possible for this particulate to get into a lubricating
system and cause damage no matter how soft the particle is).

Degradation from abrasive contamination comes primarily in the form of equipment wear, but there
is a less prevalent lubricant degradation problem that can also occur with it.

Abrasive wear or cutting wear is usually found in systems with a sliding motion load somewhere in
the unit. Commonly with thrust bearings or other softer metal bearings, the abrasive can wedge into
the soft metal and then gouge the harder steel surface. This is not to say you can’t have copper alloy
cutting wear, the metal produced depends on the contact surfaces in the path of the abrasive
contamination and the hardness of the contamination.

Systems with rolling actions within them (rolling element bearings, gear teeth, etc.) are more likely
to have pitting from abrasive contamination. As particulates roll through the load zone, the extreme
pressure exerted on the contact point between the races and the rolling elements can pit the surfaces,
starting cracks and initiating fatigue wear and potentially spalling.

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 Lubricant degradation is more likely to be from another source, but you can see some lost lubricant
life from abrasive contamination. When a unit is wearing, the metal released by the abrasives can
become a catalyst, and these particles increase the available surface area for lubricants to for
degradation byproducts on.

Identification of abrasive contamination and wear is commonly found through metals testing. If you
have an oil analysis performed, with plain abrasive/dirt contamination, what you typically will see is an
elevation of the metals that are coming in direct contact with the abrasives. In gears, this will tend to
show high iron levels with low alloy metals (Chrome, Nickel, Manganese), and an increase in silicon and
possibly aluminum if there is enough contamination due to the Alumina Silica ratio relationship –
roughly 10 parts silicon to 1 part aluminum is fairly common.

Another common test to monitor contamination is particle count. A note about particle count
though, it is unselective in the particulate it is counting. Water, air, dirt, fibers, metals and everything
else will just make a “particle” so to be more selective in what kind of contaminant you are look at if you
are using particle count, you will need to do some additional testing or look at other results from the oil
analysis test.

Typical recommendations on your oil analysis will be to first repair the ingression point. This is not
always feasible to the end user, but the protection of the equipment should be first and foremost for an
analyst making recommendations and it is unfortunately fairly common for the lab and the end user to
not have this level of interaction. In lieu of having this knowledge, the analyst should be making the
safest bets for the equipment.

Next you will likely have a suggestion to filter the lubricant. Again, this is not always feasible for the
site or possibly the equipment isn’t on-site, but knowing that it is physically possible to filter most
lubricants and it is better to not open a system if you don’t have to, filtration should be a first option in
most cases.

If filtration is definitely not an option, you may receive a suggestion to change the lubricant. This is
not as optimal as filtration, but when you have contamination it is very likely that your new lubricant will
be much cleaner than the lubricant in the sump, and will in effect dilute the problem contaminant
reducing the abrasive wear.

The last most likely recommendation you may see would be some type of exception testing. This
will depend on if there is obvious wear in the system according to the wear metals. Analytical
Ferrography or Filter Patch Analysis can help to qualify the extent of the damage this unit has received,
to help determine if you need to take immediate action, or if the wear event is not as severe as it
may look.

Water
Water is the next most common contaminant likely to cause you problems with equipment. There
are three forms of water.

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 Dissolved water is usually benign except in extreme circumstances where you must have
exceptionally low levels. This is the water that has entered the lubricant via humidity or a similar
instance, and the lubricant has simply absorbed the water up to a saturation point, and does not exhibit
any signs of water contamination such as clouding.

Emulsified water is the most damaging form of water contamination. This is where there was
enough water to go beyond the saturation point, and has likely entered the lubricating stream. The
mixing action in the equipment may have made it emulsified, or this may be a function of a lubricant
additive, but regardless the primary initial identifier of this type of water is that the lubricant is usually
cloudy. The cloudiness comes from the water becoming small droplets within the oil. This form of
water is the most damaging because it is free flowing with all of the lubricant and will be in the
load zone.

Free water is somewhat less damaging than emulsified water, but is still a problem. Some lubricants
will not hold water in suspension past the saturation point, and will drive the water out. Water is
heavier than the hydrocarbons lubricants are made with, so it falls to the bottom of the sump. The
problems resulting from continuing water contamination include allowing water to become part of the
lubricating stream, possibly breaking the ability of the lubricant to shed water (demulsability) and letting
it emulsify, possibly starting to grow biological contamination which will further degrade the oil and also
start to plug filter, and there also exists the possibility of a safety hazard if you allow free water to
continue to enter a sump and overflow it.

With water contamination there is just as much if not more damage to the lubricant as there is to
the equipment. The main source of equipment degradation is going to be rust. Any time you have a
degraded lubricant with water contamination, there exists the possibility of rusting on nearly any
iron/steel surfaces. Rust is very hard, harder than steel, and creates abrasive particles along with the
existing water problem.

Another problem from water contamination includes hydrogen embrittlement. In this

phenomenon, the water is cracked into oxygen and hydrogen, and the hydrogen is absorbed into the
metal surfaces. This creates a harder but more brittle surface that is unable to flex as needed in
elastohydrodynamic lubrication required for rolling elements to work properly, and you end up cracking
the rolling surfaces and starting spalling.

Regarding lubricant degradation, the primary issue with water is going to be having it in the load
zone of the equipment. Water in a load zone is incapable of supporting a load, so the load continuously
collapses onto a much thinner lubricant film and can allow significant surface to surface contact,
resulting in wear.

Water will cause premature aging of a lubricant – it is a fairly well supported idea that water in a
lubricant will reduce the lubricant life to 1/10th of the original potential life.

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 Water in a lubricant sump can also cause sludging; this is primarily a factor of simple premature
aging of the lubricant, but this factor should be considered separately because it causes different issues
such as thickening of the viscosity and potentially preventing splash lubrication, or possibly having a
filter plug from the sludge material.

The last most prevalent oil degradation issue is that water has a strong tendency to not enter a
lubricating system by itself. External surfaces of equipment tend to be dirty, and the water will suspend
this dirt and then enter the system with the dirt, causing not only water damage to the lubricant, but
also abrasive damage to the unit.

Identification of water contamination can be done on-site in many cases. The first most likely
source of identification is going to be visual – emulsified water in oil will become milky. The other likely
issue with a cloudy oil is going to be air entrainment, so you should go further than just a visual check,
but this initial check should get you moving in the right direction.

The next source of checking for water can be done on-site as well as at most commercial labs – the
hot plate. You can do a go-no go test by just cranking up a hot surface temperature and seeing if the
sample sizzles like bacon when you put it on the surface – this should of course be done with caution for
the same reason you should cook bacon with caution as it can spatter very hot liquid if there is a lot of
water. There are other methods available, but the hot plate is a good initial detection for general
purpose water analysis.

If you need a more exact water measurement, or you need to detect water at very low levels, you
should be looking to have a Karl Fischer water test done. There are multiple variants of this test (the
most common are coulometric and volumetric) and these variants all have similar capabilities but you
should check which is being done and if it is going to meet your needs – Coulometric tends to be more
accurate at low levels, and volumetric tends to be more accurate at higher levels, but there are
modifications that can improve the abilities of both. There are also lubricant additives that can interfere
with this type of water test, and this should be taken into account – primarily, any sulfur containing
additive (ZDDP, EP, etc.).

Typical oil analysis recommendations should include again correcting the source of water. Any
further action in most cases should happen after this if possible; in some applications you continually
have to remove water from a process that the water ingression cannot be stopped, in those instances
you will generally just need to skip to the next steps.

The next most common recommendation is going to be to change the lubricant. This
recommendation may come in conjunction with or may be replaced with other water removal
suggestions (water drain-off, dehydration, centrifuge, etc.) depending on the lab’s knowledge of sump
size and site capabilities. This recommendation is common because the damage that water does can be
significant and to protect the equipment the water needs to be removed completely if at all possible.

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Incorrect Lubricant
Incorrect lubricant problems come in a myriad of forms, so for the sake of the forum given, I
have selected the most common we see: Mineral oil in a Glycol-based lubricant sump, Missing
Additive/Wrong Additives, and Wrong Viscosity.

With a mineral oil in a glycol based sump, we tend to see increased viscosity and sludge
formation to start with due to the chemical reaction that happens between hydrocarbon products and
glycol products. If you have ever seen an engine with a coolant leak, this is what starts to happen. If
you have not, just consider that two of the larger components of blacktop are a hydrocarbon product
and a glycol product.

Once this chemical reaction starts, you can also start to see excessive wear because the
lubricant viscosity is excessively high. Because the two lubricants do not typically mix you may also see
elevated wear because the load zone lubricant film will not be a single lubricant, and can have a reduced
load carrying capability.

You will likely see significantly reduced lubricant life because of the chemical reactions that
happen also, though in this case there is little you can do to resurrect a glycol contaminated with a
mineral so the lubricant life is essentially zero if you have incompatible lubricants.

Also because of the increased viscosity and sludge formation, you can have slow flowing or even
plugged filters. Along with the theme of chemical reactions, you can have an increase in acid formation
as a degradation byproduct, which can as a result start to attack the lubricated surfaces if allowed to go
on too long.

Identification of a mineral oil in a glycol sump will likely be found primarily in viscosity testing
and metals analysis. The analyst would also have to have information about the lubricant in use to be
able to discern that what the test results were showing did not match what they should be showing.

About the only recommendation you will receive if a mineral/glycol contamination issue is found
is to flush the sump. A lubricant such as this, once contaminated, has no option for a filtration removal
method or a way to drive off the incorrect chemical such as with water, so you have to physically
remove the contamination.

Another recommendation you may have here is to review relubrication practices, as the primary
way this type of contamination happens is from misidentification or missing identification of the
lubricant(s) in question.

As a side note to this, there are a lot of big changes happening in the world of glycol-based lubricant,
particularly in the realm of mineral-compatible glycols. These glycols derived from butylene are far
more compatible than the older technologies using propylene and ethylene, and the oil analysis of them
is still evolving. While some of this information may change, it should be taken into consideration if
reviewing oil analysis data from a glycol-based lubricant system.

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 When you are dealing with missing or wrong additives, there are many possible interferences
and problems, so I will cover the most likely you will see. It is common to see a missing EP or AW
additive in a gear/bearing/hydraulic application. If you are missing one of these additives and the
equipment requires it, depending on the tolerances and work load, you could see mild excessive rubbing
wear up to and including severe sliding wear. This is because the function of these additives is to
physically separate the loaded surfaces when the lubricant viscosity is insufficient, and without them
you are contacting these loaded surfaces.

If a lubricant with a detergency additive is added to a system designed to shed water, the
detergency additive will completely destroy this shedding property of the lubricant it is added to, and
generally the only solution is to remove and completely replace the lubricant, or risk having a water
ingression problem immediately start wearing bearings to an exceptional degree. An unfortunate fact is
that this problem when found is most common when dealing with large turbine sumps that have been
contaminated with diesel engine oil. As little as a quart of DEO can fail a 2000 gallon sump of turbine
oil’s demulsability.

If a system with yellow metal (copper alloys) has a manufacturer recommendation to not use
EP, this is usually because when the EP reaches activation temperatures it is highly corrosive to yellow
metals and will degrade them rapidly.

In these instances, the first test that will show you the problem is again a metals test. This test
will be able to detect additives and you can see changes in the additive levels from what the baseline
should look like.

Another test that may see a change is oxidation or nitration if tested. These tests have detection
ranges in the same place as where some synthetic additives are detected, and can cause the level to be
elevated from the baseline artificially.

Lastly, you may be able to see an incorrect additive with an IR spectrum comparison/overlay. In this
test, two lubricants can be tested and overlaid on a single graph to see if there are any chemical
signature differences present in the infrared signal. This is not a typical test and should be viewed as an
exception test in most cases.

Common recommendations on oil analysis reports with these problems can include exception
testing (analytical ferrography, etc.) if there are elevated wear problems to see if there has been
significant surface degradation. They can also include a recommendation to check the manufacturer’s
specifications as well as operating temperatures in how they relate to the equipment lubricant selection.

The last more common incorrect lubricant issue we come across is an incorrect viscosity. With a
viscosity that is too high, in gear systems you may see an increase in wear due to reduced or no
splashing ability if the system requires splashing to lubricate properly. In hydraulics, a high viscosity can
result in slow performance, and low filtration rates.

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 In nearly all low viscosity situations, you will end up in elevated wear due to the fluid film not being
thick enough to prevent surface to surface contact during operation.

To detect a viscosity problem you should have a viscosity test. You should also consider having a
baseline test done with viscosity on the new lubricant if possible, as viscosities can change from batch to
batch, and a lubricant top-off with a similar lubricant of a different viscosity may not be readily evident.

You may also be able to detect this type of issue with metals testing – the reason for this is that
additive levels will commonly fluctuate along with a viscosity change, even within the same product line
as the base chemicals used to achieve the needed properties are not always going to be identical from
viscosity grade to viscosity grade.

Recommendations with viscosity problems can be fairly involved. This is because along with the
possibility of having put the wrong viscosity into a unit, there may have also been an operating change
that has affected the unit and cause the issue. If the ambient temperature goes up, there is a possibility
that the viscosity will now be too low for the operating temperature and wear will start to elevate.

Outside of this possibility, the recommendation to change the sump is going to be the most
common. If the sump size is significant, you may also receive a recommendation to do a sump sweeten,
or drain off a portion of the sump and replace with fresh lubricant to improve the viscosity if it is not too
far out of spec.

As you take in all of this information and try to apply it to your situation, keep in mind that testing
capabilities of a laboratory are an ever-changing field. New technologies and improved methods are
coming available and becoming a better, more financially available option constantly. If you have a
problem that you need testing for, make sure you are getting the best, most effective testing you can
find. Also, this is a small portion of the problems that arise, and a somewhat narrow field of the issues
within these problems that you face. If you have a specific problem you are contending with, be sure to
contact your oil analysis lab – they should be willing to give you a hand in if they can help, and if they
can’t they may even be able to point you in the right direction.

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 Oil Monitoring as a Tool for Optimizing
Hydraulic/Lubrication System Performance

Mrinal Mahapatro, Pall Corporation

Introduction
The detrimental effects of water contamination on fluid service life and on system performance is
well recognized. Water can have serious adverse effects on the physical and chemical properties of
hydraulic and lubricant fluids. The loss of crucial fluid properties, central to useful service life of the
fluid, can result in inefficient system performance and accelerated chemical wear processes1-3.
Extending the service life of hydraulic and lubrication fluids has become necessary due to regulatory
requirements on environmental discharge. In addition, there are significant economic benefits
associated with extending the service life of hydraulic and lubricating fluids which include reduced fluid
disposal costs and reduced new fluid procurement and replenishment costs. Therefore, detection and
removal of water in hydraulic and lubrication fluids is required.
In this paper, attention is focused on the mechanisms by which water can have a detrimental effect
on hydraulic and lubricant fluids, the monitoring of water contamination on-line to provide real time
data, and removal of water contamination via vacuum dehydrators.

Detrimental Effects of Water Contamination

Hydraulic and lubricant fluids are carefully formulated for specific areas of application and are
comprised of a base stock and an additive package4. The additive package consists of chemical
compounds designed to protect the base stock, as well as system components, and to ensure proper
performance of the system. Typical additives in hydraulic/lube fluids include rust & oxidation (R&O)
inhibitors, anti-corrosion, anti-wear, anti-foaming and extreme pressure (EP) agents, and viscosity
index improvers.

Water contamination can arise from a number of sources including leaks from inadequate sealing
surfaces, condensation of humid air or from open reservoirs. In addition a reduction in temperature of
the fluid can lead to the generation of free water from dissolved water. Each fluid type has a typical
water saturation profile based on the base stock and additive package. Water contamination affects both
the base stock and additives adversely as discussed below.

Water is a poor lubricant, and significant concentrations of water in hydraulic and lubricating fluids
can result in decreased viscosity, load carrying ability, and dynamic film thickness. This can lead to
greater surface-to-surface contact at sliding and rolling dynamic clearances, and hence, increased
component wear.

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 Water, in combination with a metal catalyst, can lead to the formation of oxygenated compounds,
notably acidic compounds in the case of hydrocarbon, poly-ol ester, or phosphate ester base stocks, and,
eventually, high molecular weight polymeric compounds. The polymeric compounds often are insoluble
and settle out of the fluid as gums, resins or sludges.

Table 1 summarizes data from tests carried out to determine the effect of metal catalysts and water
on oil oxidation a turbine grade oil as per ASTM D943.

Water Hours Neutralization

Catalyst
Number

None No 3500+ 0.17

None Yes 3500+ 0.90

Iron No 3500+ 0.65

Iron Yes 400 8.10

Copper No 3000 0.89

Copper Yes 100 11.20

Table 1. Effect of metal catalysts and water on oil oxidation.5

The neutralization number, tabulated in the last column, is a measure of the extent of oxidation and
the results show that the extent of oxidation is greatly increased: roughly 48-fold for iron/water and
65-fold for copper/water within 400 hrs. and 100 hrs, respectively, compared to the baseline test
without water and metal catalyst (Table 1).

Fluid base stocks that are comprised of ester compounds, such as poly-ol esters and phosphate
esters, can undergo hydrolysis in the presence of water under operating conditions in the system. This
results in the formation of acidic compounds that can react with materials of the system components
leading to corrosion and insoluble corrosion products.

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 Depleetion of additiives can occur either by th
heir physical removal from the fluid or bby chemical
reactions in which theyy are converted to non-fun nctional prod ucts. The solu
ubility of man
ny additives iss
critically dependent
d onn fluid compoosition. The presence
p of w
water can leadd to the precip
pitation of these
additives from the fluid d, as shown in
n Figure 1 below. In addit ion to being rrendered non n-functional, tthe
precipitatted additives contribute too the particulaate contaminaation level in the fluid.

Figure 1. Ca/S
C additive precipitated
p fro
om a paper maachine oil.

Monito
oring Watter in Fluiids
A variety of on-line
e monitors aree available fo
or monitoring water conce ntration in flu uids. Some
monitors can be interfaaced with fluid purificationn devices so tthat fluid purification is au utomated (i.e..
without operator
o interrvention) baseed on preset threshold
t conncentration liimits for wateer content.
Typical on
n-line water monitors
m are adaptations
a of
o relative hu midity measu urement devices. They
measure the
t percent saturation
s of water
w in the fluid,
f i.e., freee water is 1000 % saturation.

Figuree 2 depicts a portable

p wateer monitor th
hat can be inccorporated in the fluid systtem for on-lin
ne
sampling in a continuoous mode. Th he normal outtput of the waater monitor is dissolved wwater
concentraation as perce
ent saturation
n along with the
t corresponnding temperrature.

Figure 2. Portable
P water sensor.

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871
 The percent saturaation value can be converte ed to an absoolute water co ontent by perrforming a
calibration
n for the fluid
d in question. A standard procedure
p forr this type of ccalibration haas been
developed d, allowing eaasy inter convversion betwe
een % saturattion and abso olute water co oncentration in
various flu
uids.

Remov
val of Watter Contam
mination
Extern nal purificatio
on devices (flu
uid purifiers),, in addition tto removing pparticulate contamination and
water, also remove volatile solventss and dissolve ed gases. Twoo common ty pes of extern nal purification
devices arre vacuum flaash distillation n and vacuum m dehydrationn systems. In the former d device, pre-heeated
fluid is inttroduced intoo a high vacuuum chamber. The combinaation of high heat and vacu uum causes ffree
and dissolved water, gaases and solvents to be disstilled off resuulting in dehyydrated fluid. One of the
drawbackks of the flash distillation method
m is thatt it exposes thhe fluid to eleevated tempeeratures whicch
may lead to thermo-oxxidative degraadation of the e fluid base-sttock and/or aadditives.

In vaccuum dehydraation systemss, as shown in n Figure 3 beloow, the fluid is exposed to o a low humid dity
atmosphe ere in a partiaal vacuum chaamber resulting in the trannsfer of free aand dissolved water, solven nts
and gasess from the fluid to the atmosphere in th he vacuum chhamber. To faacilitate this trransfer, ambient
air is intro
oduced into th he vacuum ch hamber. As itt expands in tthe low humid dity chamberr, the air beco omes
drier and moisture and d other volatile gases are transferred froom the fluid tto the air streeam. This mixxture
of gases iss then exhaussted through a de-mister filter to removve any residual fluid in thee air stream.
Vacuum dehydration
d syystems operaate at lower teemperatures compared to o flash distillattion units witth the
advantage e that they do o not degradee the fluid.

Figure 3. Schematic
S off vacuum deh
hydrator.

In the
e final stage of the purifier,, the de-aeratted and de-hyydrated fluid exits the vacu uum chamber
through a particulate contamination
c n control filte
er. These finee filters have h
high efficienccy particle rem
moval
characteristics in the smaller size ranges while exxhibiting a higgh dirt retenttion capacity.

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872
Field Experience
It has been demonstrated that predictive oil monitoring is more cost effective than a preventive or
reactive oil monitoring6. Incorporating both water detection and water removal technologies into an
effective predictive condition monitoring program was implemented at a US paper mill. This program
monitored the water content at various locations within the paper mill. The frequency of the monitoring
depended on the level of water content in that particular fluid system, with more frequent monitoring
occurring when the water content was above 1000 ppm (0.1%). The data from the fluid analyses was
stored in a centralized database which was color coded to ensure easy identification of locations/systems
which were potentially problematic (see Figure 4). If the water content reached a threshold level of 500
ppm (0.05%), which is typically more that the saturation level of most hydrocarbon based mineral oils,
then a water reduction program using vacuum dehydrator technology was installed to lower the
water content.

Facility Location ID Location Component Sample Date Test Date Freq. PPM
PUMP, EAST LOW
PAPR C-200 DENSITY STOCK Pump 9/10/2012 9/10/2012 14:51 Monthly 170
PUMP, WEST LOW
PAPR C-201 DENSITY STOCK Pump 9/10/2012 9/10/2012 14:44 Monthly 144
PUMP, WHITE WATER TO
PAPR C-222 LOW DENSITY Pump 9/10/2012 9/10/2012 14:49 Monthly 108
PUMP, EAST WHITE
WATER TO BLEND
PAPR C-224 CHEST Pump 9/10/2012 9/10/2012 14:45 Monthly 108
PUMP, WEST WHITE
WATER TO BLEND
PAPR C-225 CHEST Pump 9/10/2012 9/10/2012 14:47 Monthly 280
BOWSER TANK
PAPR BC-1007 RESEVOIR Tank Resevoir 9/10/2012 9/10/2012 7:24 Random 71
BOWSER TANK
PAPR BC-1007 RESEVOIR Tank Resevoir 9/11/2012 9/11/2012 6:44 Random 109
BOWSER TANK
PAPR BC-1007 RESEVOIR Tank Resevoir 9/12/2012 9/12/2012 7:18 Random 15
BOWSER TANK
PAPR BC-1007 RESEVOIR Tank Resevoir 9/13/2012 9/13/2012 7:16 Random 110
BOWSER TANK
PAPR BC-1007 RESEVOIR Tank Resevoir 9/14/2012 9/14/2012 7:21 Random 85
PUMP, SOUTH BROKE
PAPR C-313 DILUTION Pump 9/10/2012 9/10/2012 14:53 Monthly 109
DRYER FIRST SECTION
PAPR D-709 CW Gear Box 9/10/2012 9/10/2012 0:14 Random 74
DRYER SECOND
PAPR D-710 SECTION CW Gear Box 9/10/2012 9/10/2012 0:17 Random 127
DRYER THIRD SECTION
PAPR D-712 CW Gear Box 9/10/2012 9/10/2012 0:18 Random 94
DRYER FOURTH
PAPR D-713 SECTION CW Gear Box 9/10/2012 9/10/2012 0:20 Random 80
DRYER FIFTH SECTION
PAPR D-714 CW Gear Box 9/10/2012 9/10/2012 0:22 Random 80
BREAKER STACK
PAPR D-715 BOTTOM CCW Gear Box 9/10/2012 9/10/2012 0:24 Random 102
CALENDER
INTERMEDIATE SECTION
PAPR D-717 CW Gear Box 9/10/2012 9/10/2012 0:26 Random 76
CALENDER SECOND
PAPR D-718 SECTION TOP CW Gear Box 9/10/2012 9/10/2012 0:28 Random 120
PAPR D-719 REEL DRUM CCW Gear Box 9/10/2012 9/10/2012 0:30 Random 87
Legend
Green W orld Class
Yellow Mill Target
Red T ake Action
Any units above 500 ppm - take action to reduce moisture
Sample individually and more frequently above 1000 ppm

Figure 4. Results from oil monitoring program.

Reliable Plant 2013 Conference Proceedings |

873
Summary
In this paper, the role of both particulate and water contamination in contributing to the
degradation of fluid properties and component performance in hydraulic and lubrication systems was
discussed. Consequently, there are significant costs associated with fluid disposal and replacement,
labor costs due to increased maintenance as well as costs incurred from repair and/or replacement of
system components. An effective oil monitoring program can mitigate these costs by taking a pro-active
approach to detecting the ‘health’ of the fluid on a continuous basis. More important, a predictive oil
monitoring program can utilize the information that is obtained by monitoring and applying corrective
action on a real-time basis. Data from this type of approach to ensure effective water removal at a paper
mill was presented.

References

1. Beercheck, R. C. (1978 July). Machine Design, “How Dirt and Water Slash Bearing Life”.

2. Cantley, R. E. (1976). 31st Annual ASLE Meeting, Philadelphia, Pennsylvania, “The Effect of Water in
Lubricating Oil on Bearing Fatigue Life”.

3. Swain, J. C. and Adams, C. E. (1970). Proceedings of the National Conference on Fluid Power, Vol. 24:
214, “Some Effects of Dirt and Water Contamination on Vane Pump Life”.

4. Editor: Satriana, N.J. (1982). No. 207, Chemical Technology Review, “Synthetic Oils and Lubricant
Additives - Advances since 1979".

5. Weinschelbaum, M. (1969). Proceedings of the National Conference on Fluid Power, “A Study of the
Invisible but Measurable Particulate Contaminant in Hydraulic Systems”.

6. Electric Power Research Institute (2006), “The Benefits of a Pro-Active Approach using Preventive
and Predictive Maintenance Tools & Strategies – Actual Examples and Case Studies”.

| Reliable Plant 2013 Conference Proceedings

874
Planning and Scheduling in an RCM Environment
Reliable Plant
Columbus, Ohio
April 16 - 18, 2013
Matt Midas
Sr. Account Executive
GenesisSolutions

875
GenesisSolutions

Agenda
• Introduction
• Planning and Scheduling Defined
• Planning and Scheduling Detailed view
• Fundamentals of Planning and Scheduling
• Planning and Scheduling KPIs
• Benefits of Planning and Scheduling
• Questions

876
ABS Group of Companies

ABS Group is a wholly-

owned subsidiary of the
American Bureau of
Shipping (ABS).
ABS Group strives to be the global leader in mitigating risk, improving safety
Founded in 1862 to serve enhancing quality and minimizing adverse environmental impact.
as the non-profit American
Classification Society,
ABS is the leading
classification, certification
and verification firm in the
world for marine shipping,
Safety, Risk, Integrity and Management Catastrophe
offshore and onshore
Performance Management Systems Certification Risk Modeling
industries.
Services
GenesisSolutions is one of the only fully-integrated EAM
service providers – from EAM strategy and business
process improvement to reliability analysis and PM/PdM
programs, to full implementation and support of all major
EAM systems and technology.

Safetec is a leading provider of integrated risk and asset

management offering life-cycle optimization services, from
concept evaluation to decommissioning.

Protection of life, 877

property and the environment
ABS Consulting Services

Sustained Managed Optimized Achieved

SAFETY RISK INTEGRITY PERFORMANCE

Supporting Both Providing Total Risk Supporting Asset Integrity Maximizing Operational &
Occupational & Analysis Needs Needs Business Performance
Process Safety Needs
• Safety Management • Natural Hazards • Project Quality • EAM
Systems • Hurricane, Management (PQM) • Reliability &
• HSE Support Services Earthquake, Wind • Procurement Inspection Maintenance Mgmt.
Damage • Project Mgmt. &
• PSM Audits • Inspection Mgmt.
• Financial Impact Technical Staffing
• PSA, PHA Assessments • Risk Based Inspection
• Operating Hazards • Mechanical Integrity • Operational Excellence
• Safety Culture
& Performance Mgmt.
Assessments • PRA, QRA, PHA • Engineering Verification
• Manmade Hazards • Training & Competency
• Incident Investigation • Vendor/Supply Chain
• Security Threat Assurance
• Root Cause Analysis Audits
& Vulnerability
• Facility Siting
• Blast & Explosion
Modeling

878
GenesisSolutions Overview
Maintenance and Asset Management Services
Reliability Services Strategy & Business Process Services
• Equipment / Asset Walk Downs • Maintenance Master Planning
• Reliability Engineering • EAM Strategy Planning & Process Consulting
• PM Optimization • KPI Development / Benchmarking Assessments
• Predictive Maintenance Program Development & • MRO Supply Chain Optimization
Implementation • Maintenance Best Practices
• Spare Parts Program • Work Flow Optimization
• Planning & Scheduling • Educational Services & Certifications
• Reliability Program Implementation

Systems & Technology Services Systems &

• System Source Selections Technology
• System Gap Analysis
• EAM / CMMS (Maximo, InFor, DataStream, SAP
PM, JDE, Oracle) Implementations & Upgrades
• Calibration / Metrology Solutions Reliability
• Document Management & GIS Systems Services
• Hand-Held Technologies Strategy &
• System Integration Business
• System Validation Process
Services
• EAM / CMMS Support
• ASP Hosting

879
Benefits of EAM Systems and a Maintenance Master Plan

ROI

Increased Asset Reduced Maintenance

Availability Costs

Reduced Improved Planned Planned

Downtime Performance Labor Material

Extended
Asset Life

880
EAM Drivers

Other 15%

Knowledge Transfer 57%

Sharing Best Practices 62%

Corporate Social Responsibility 62%

Reduce Energy Costs 65%

Calibration for Quality or Yield 74%

Safety & Risk Management 86%

Extend Asset Longevity 91%

Cost Control for labor & Parts 92%

Improve uptime 95%

0% 20% 40% 60% 80% 100%

65 Participants / 1,300 (+) Plants / 463,000 (+) Employees

*ARC Advisory Group 2010 EAM and Field Service Mgt 09

881
Maintenance Maturity Continuum

Don’t just fix it, Improve & sustain

improve it
Measure & fix
Performance Measures

Reliability Enterprise
Fix it BEFORE it fails
Predictive Alignment
(shared vision)
Planned Eliminate Defects Integration
Fix it AFTER it fails Predict (Supply, Operations,
Improve Precision
Plan Redesign Engineering)
Plan
Reactive Schedule Value Focus Differentiation
Schedule
Coordinate (System
Coordinate
Defer Performance)
Maintenance Alliances

Overlapping Defined Roles & Cross Trained /

People “Fire Fighting” Heroes
Responsibilities
Role Based Training
Responsibilities Bench Strength

Planning Materials & Kitting Materials & Monitoring Technician Total Productive
Processes Limited Development
Inventory Management Scheduling Technicians Work Execution Maintenance

CMMS PM CMMS Planning & CMMS Scheduling & CMMS Automated CMMS Lifecycle Cost
Systems Management Inventory Management Robust Reporting Work Generation Tracking

Electronic Document Mobile Handheld Barcoding & RFID

Technology Limited Utilization
Management Systems
Predictive Technologies
Devices Utilization

Minimal Performance Leading & Lagging Continuous Organizational Metrics

Governance Tracking
Lagging Indicators
Indicators Improvement Efforts Aligned

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GenesisSolutions

Planning and Scheduling

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Introductions

Attendees
To What Level are you Planning and Scheduling?
• Work Orders
• Labor & Materials

What Methods do you use?

• Stones and Chisels
• Paper
• Spreadsheets
• Maximo
• Add Ons

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Planning and Scheduling and the Reliability Strategy

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What is Reliability

Capable of being relied on; dependable

- American Heritage Dictionary

“… the ability of a person or system to perform and maintain its functions in

routine circumstances, as well as hostile or unexpected circumstances.”
- Wikipedia

The probability that a component part, equipment, or system will satisfactorily

perform its intended function under given circumstances, such as environmental
conditions, limitations as to operating time, and frequency and thoroughness of
maintenance for a specified period of time.
- Answer.com

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Reliability Centered Maintenance

A Reliability Centered Maintenance Process answers the following seven questions:

1. What are the functions and associated desired standards of performance of the asset in
its present operating context (functions)?
2. In what ways can it fail to fulfill its functions (functional failures)?
3. What causes each functional failure (failure modes)?
4. What happens when each failure occurs (failure effects)?
5. In what way does each failure matter (failure consequences)?
6. What should be done to predict or prevent each failure (proactive tasks and task
intervals)?
7. What should be done if a suitable proactive task cannot be found (default actions)?

Source: SAE JA1011 standard

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Reliability Centered Maintenance

Components of Reliability Centered Maintenance Program:

1. Complete Master Equipment/Asset List (Functions)
2. Asset Criticality Ranking (Effects, Consequences)
3. Complete List of Job Plans and Tasks; including labor, material, tools (Default Actions)
4. PM Optimization (Proactive Tasks and Task Intervals)
• Calendar Based PMs
• Condition Based PMs
• Event Based PMs
• Predictive PM
• Inspection PM
5. Complete list of Inventory Items, Bill of Materials for Assets
6. Planning and Scheduling Processes
7. Standardized Maintenance processes
8. Communities of Practice

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Asset Management Overview

Building Blocks Action Plans Maintenance Scorecard

(by asset, equip or Plan. & Sched.
Equipment History system) • Regular PMs –
Preventive, Maintenance
– Oral & written
PMs – Job Plans Predictive & CMs Execution
Equip Failure Task Lines • Minor Shutdowns • Breakdowns
Investigations • Major Shutdowns • Scheduled PMs
• Unplanned • Predictive
Spare parts – ID, • Rebuilds
MR Analysis Shutdowns
Sourcing & Stocking
Lube Analysis
Lubrication – Plans
OEM Equip & Routes Update Asset Equipment
Evaluations
Plans History
Asset Strategy –
RAGs, FEMAs & • PMs • Performance
Repair, Rebuild,
RCFA • Spare Parts • Repairs
Replace
• BOMs • Improvement
Spare Parts & • Lube Plans Statistics by Qtr.
Usage “Bad Actor” • Asset Strategy
• PM, PDM Plans
Equip Failure • Run to fail?
Maintenance • Repair, Rebuild,
Investigations
Excellent Replace
Investigations

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Planning and Scheduling Defined

Work Planning:
The process in which maintenance work is documented, resources are assigned, work
procedures are identified, safety procedures are identified, labor & materials are
identified, and interfaced with the scheduling element.

Work Scheduling:
The process in which all resources required for work are scheduled for execution within
a specified time frame. Requires an understanding of the equipment/asset availability
as well as technician and material availability.

Coordination:
Logistical efforts of assembling necessary resources so the job is ready to be scheduled.
Requires coordination of both Scheduling and Planning activities

Maintenance Excellence:
Having an effective maintenance strategy that eliminates non value added activities,
maximizes condition based maintenance and focuses resources on the most critical
assets
Doing the Right Jobs, with the right parts, at the right time……… the First Time
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Processes Defined

• Work Identification
• Work Planning
• Work Scheduling
Work Work Work
Identification Planning Scheduling
• Work Execution
• Work Completion
• Work Analysis

Work Work Work

• KPIs?? Analysis Completion Execution

Asset Reliability Maintenance Reliability

Effectiveness Efficiency

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Planning & Scheduling for Maintenance Excellence

Right Right Right

People Materials Tools Right
Information

The Maintenance Activity Right

Timing

Follow-up Right
Analysis Improvements Permission

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Maintenance Planning Principles

1 – Separate Department for Planners

2 – Focus on Future Work
3 – Maintain Component Level Files
4 – Estimates Based on Planners Expertise & Historical Data
5 – Recognize the Skill of the Crafts
6 – Measure Performance with Work Samplings

Source:
Maintenance Planning & Scheduling Handbook
by: Doc Palmer

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1 Separate Department

• Planners are organized into a separate department from the craft maintenance crews to
facilitate specialization in planning and scheduling techniques as well as focusing on
future work.

• Planners are not members of the craft crew for which they plan

• Planners report to a different Supervisor than the craft crews – a key best practices
indicator. This avoids reassigning a planner to a toolbox. Separation reduces
temptation.

• Planners plan work and the crews execute the planned work

• Key Metric: % Labor hours spent on unplanned work

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2 Focus on Future Work

• Planner concentrates on future work – work not started – provides maintenance at least
one week of backlog that is planned, approved, and ready to execute

• One Week backlog allows crews to work primarily on planned work

• Crew supervisors handle the current day’s work and problems. Any problems that arise
after any job begins are resolved by the craft technicians or supervisors

• Two “Rules of Repetitive maintenance”

– The 50% Rule – if a piece of equipment needs work, there is a 50% chance it will need the
similar, if not the same, work within 1 year
– The 80% rule – there is an 80% chance the equipment will be worked on again within a 5-year
period
• Conclusion: feedback on jobs completed is path to increased productivity
– After the completion of every job, feedback is given to the planner
– Planners use the feedback to improve future work
– Benchmark: 6 months of feedback make job estimates and costs more accurate
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3 Component Level Files

• Planners maintain a simple, secure file system based on equipment/asset numbers –

Best practice: individual component level – not by manufacturer or vendor.

• Information allows the planners to utilize equipment data and information learned on
previous work to prepare and improve work plans – especially on repetitive tasks

• Historical information consists of both work order history and equipment databases

• Cost history assists in making repair or replace decisions

• Supervisors and engineers are trained to use these files to gather information they
require with minimal planner assistance

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4 Estimate Job based on Planner Expertise

• Planners use personal experience and file information to develop work plans that will
avoid anticipated work delays, quality or safety problems

• Planners are typically experienced senior level technicians, who are trained in the
appropriate planning disciplines and techniques

• Planner training – specialized techniques including Industrial Engineering, Statistical

analysis, etc. – on-the-job training and feedback is most effective

• Best Practices:
– Choose from the best crafts persons to be planners
– Expect to see a department productivity loss for a few months when an experienced person
transitions to planner

• Payoffs - Good execution on an excellent scope job or excellent execution of the wrong
scope job
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5 Recognize the Skills of the Craft

• Best Practice: all work is planned with a minimal level of detail in the job plans – use
some standard plans
– Choice: highly detailed job plans for minimally skilled crafts or less detailed job plans for highly
trained crafts
– Control the workforce or empower skilled, knowledgeable people?

• The planner determines the scope of the work request

– This includes clarification of the originator’s intent where necessary
– Engineering requirements are gathered before planning

• The planner determines the strategy of the work (repair or replace)

– Planners attached helpful procedures from their experience, files or reference documents for
the technicians reference
– Craft technicians use expertise to determine how to make a specific repair or replacement

• Key Metric: Actual versus Planned Hours

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6 Measure Performance with Work Sampling

• Measure how much time technicians actually spend on the job versus other activities
such as obtaining parts, waiting for instructions, etc.

• Wrench time = the proportion of hands-on time a technician spends working per hour –
Best Practice: 60%
• Gives everyone a measure of how much Planning helps “put everyone on their tools in
front of a job” instead of doing something else.

• Work that is planned before assignment reduces unnecessary delays during jobs and
work that is scheduled reduces delays between jobs

• Management question: Is time spend obtaining parts or tools part of the job or is it a
delay to be avoided?
Note: Wrench Time can only be accurately
measured by a properly structured,
statistical observation study – completed
• Key Metric: % Wrench Time over several weeks or months
• Key Metric: % Wasted Time = 1/Wrench Time
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Maintenance Scheduling Principles

1 – Plan for the Lowest Required Skill Level

2 – Schedules and Job Priorities are Important
3 – Schedule from Forecast of Highest Skills Available
4 – Schedule for Every Work Hour Available
5 – Crew Leader Handles Current Day’s Work
6 – Measure Performance with Schedule Compliance

Source:
Maintenance Planning & Scheduling Handbook
by: Doc Palmer

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1 Plan for the Lowest Required Skill Level

• Job plans need to identify the skills required to perform the work.
– Are there special crafts that are required that will need to be informed of the work
– Are there special tools needed

• Includes number of technicians, work hours per skill level and total duration for the job.

• Why do we call for the lowest skill level?

– If we list two mechanics, one being a helper, we don’t want to send our two best mechanics
when it is not necessary
– Impacts our ability to get other jobs accomplished
– Limits the impact on wrench time

• Avoid two common traps

– Always assign two workers
– Estimates should not be based on half or whole increments of a shift

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2 Schedules and Job Priorities are Important

• Weekly and daily schedules need to be followed

• Priorities should be used appropriately for new work

– Consider how to handle break in or emergency work
– Do you have a process defined? Asset Criticality?

• Any disruptions to the schedule impacts the overall process

– We are setting goals for maximum utilizations of available craft hours
– When a schedule is interrupted, consider postponing a job not started rather than interrupting
a job in progress – the job site needs to be secure before moving to the emergency repair.
– Restarting the interrupted job may require additional review
– Document how you will handle in-progress, urgent and non-urgent work

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3 Schedule from Forecast of Highest Skills Available

• Develop a one week schedule for each crew based on forecasted hours available for the
highest skill level

• Consider the following for the schedule

– Job priority and job plan information
– Multiple jobs on the same piece of equipment or system
– Proactive work

• Supervisor for crew provides forecasted hours available

• Schedule should be based on how much work the crew can finish

• The goal of scheduling is to accomplish more work by reducing delays

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4 Schedule for Every Work Hour Available

• Assign work for every available hour

• Include easily interruptible jobs for emergencies and high priority reactive jobs

• Complete higher priority work by under utilizing available skills

• Consider the following

– 100% - all available hours are scheduled which improves accuracy of reporting (KPIs) on work
accomplished vs scheduled based on total available hours
– 80% - building inefficiency into the schedule by leaving a 20% buffer. If we hit the 80%, we
need an additional 20%
– 120% - Having additional work in the schedule ensures poor performance on schedule
compliance.

• What defines emergency work? Consider a week without an emergency.

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5 Crew Leader Handles Current Day’s Work

• Supervisor develops the daily schedule one day in advance based on

– current job progress
– The one week schedule
– New high priority, reactive work

• The supervisor matches the personnel skills and the tasks

• Supervisor handles current day’s work and addresses emergency work

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6 Measure Performance with Schedule Compliance

• Wrench time is the primary measure of work force efficiency and of planning and
scheduling effectiveness
– Best measure of scheduling performance
– Schedule Compliance – jobs scheduled vs jobs started

• Work that is planned prior to assignment reduces unnecessary delays during job by
eliminating non value added time

• Work that is scheduled reduces delays between jobs

• Schedule compliance is the measure of following the 1 week schedule and its
effectiveness

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Waste in Maintenance

Labor Productivity Stores - Materials

• Waiting for Materials
• Waiting for instructions
• Travel time to obtain materials
• Time to move materials to job site
• Looking for supervisors • Time to identify untagged materials
• Time to find substitute materials
• Checking out the job • Time to find parts in
remote/alternative locations
• Multiple trips to stores • Requisition/Purchase Order
• Time to prepare
• Special tools • Time to obtain approvals
• Time to process, check status,
• Waiting for approval answer questions
• Time lost due to:
• Excess craft technicians per job
• Other crafts having material
problems
• Wrong materials planned,
ordered, or delivered
• Materials out of stock

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Some Data to Consider

• Most organizations have implemented maintenance planning and scheduling to some

degree, but the effect on productivity and reliability varies depending on how well it is
implemented.
• Improved planning and scheduling procedures lead to higher production and lower
manufacturing and maintenance costs.
• A study of 19 similar paper manufactures operated by the same company showed a
direct relationship between increased levels of planning and scheduling and both lower
maintenance costs and higher machine availability
• Higher asset availability translates directly into increased production volume.

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Some Data to Consider

How good are organizations at planning and scheduling?

• In some observations, the average organization plans and schedules about 20-30% of
daily work, 5%-10% of weekly work and about 45-50% of shut-down work

• These numbers will vary depending on the definition of a "planned and scheduled job" –
(a job that is properly planned and entered on a schedule before an agreed upon cut off
time.)

• How is your organization planning & scheduling?

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What do you need to Plan & Schedule

A Work Order!

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What do you need to Plan & Schedule

First things first - Do you have a documented definition of a planned job?

• Does the person planning the job verify the job scope?
• Craft, Materials, Tools.
• Are special resources needed and identified?
• Are required skills identified?
• Is there a documented description of job steps (job plan).
• Are there any Lock-out, tag-out or other safety issues identified?
• Necessary technical documentation is available?
• Are crafts people involved in the planning process?
• Are labor hours by skill identified?
• Any permits required, are they available?
• Any physical and environmental constraints.
• Approvals????
• Operations/customer impact??

Do you have a formal documented Checklist?

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Planning & Scheduling Data Elements

What do we need to support planning and scheduling

• Labor – Need to know who is available for work
• Plans – Specifying resource requirements on a work order or task level allow users
to properly resource level during the planning process
• Craft Labor Hours
• Materials
• Tools

Resource Information
• Shifts and Calendars – are essential for determining labor availability when
scheduling
• Person Availability – Used to specify non-working time. Provides accurate labor
availability while planning and scheduling work

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Key Ingredients for Effective Planning

• Up to date Asset Records; P&ID’s, Criticality

• O&M manuals, Equipment History files
• Experienced Planners
• Spare Parts & Materials
• Robust Work Order management system
• Skilled Technicians & Operators
• Maintenance Shops & Satellite Stores
• Specialty Tools & Equipment
• KPI’s (MTBF, MTTR, etc)
• Reliability Centered Maintenance strategy

As part of the Planning and Scheduling process, information should be collected

that can be used for performance analysis…… if you don’t measure it, how can
you improve it?

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Key Ingredients for Effective Scheduling

• Work Priority System

• Early work identification
• Adequate planned work order backlog
• Resource (labor) availability list
• Process to manage break-in work (i.e. emergencies)
• Operations schedule of equipment/asset availability
• Engineering / projects requirements for maintenance involvement
• Efficient coordination between multiple inputs

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Planner/Scheduler Role

Main Elements
• Receive & review work notifications
• Visits job site for clarification – “field trips” for personal evaluation
• Confers with requestor for clarification and coordination
• Confirm work classification & priority with originator
• Consult with expert (s) to define the work
• Estimate the craft labor required
• Reserve all stores material required
• Order all non-stock material
• Ensure all resources are available before work order is scheduled
• Develop standards for repetitive jobs
• Develop historical job estimates
• Develop and tracks craft/crew backlogs
• Determine labor capacity for schedule
• Prepares weekly schedule for approval
• Track work orders to completion
• Shutdown Planning & Scheduling – member of the leadership team
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Maintenance Supervisor Role

• Management accountability for appropriate and safe maintenance

• Reviews weekly schedule
• Assigns daily work from weekly schedule
• Assigns all reactive work - forwards work to be planned to planner
• Audits work order for completion information
• Oversees all field activities for assigned crew
• Management responsibility for work quality, duration and cost
• Coordination across organizational boundaries (including breaking log jams)
• Professional development and training for each Maintenance Member

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Operations Role

• Submit maintenance requests

• Review daily schedule
• Communicate with maintenance supervisor
• Communicate with maintenance mechanics
• Lockout Equipment - Safety permits

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GenesisSolutions

KPIs and Benefits of Planning and

Scheduling

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KPI’s for Planning & Scheduling

Planning & Scheduling Metrics

• Schedule Compliance • Backlog
• Work order completion (timing) • Work Orders with Hours
• Jobs completed vs. jobs scheduled • Number of Work Orders
• hours completed vs. hours • Planning Efficiency (Estimation
scheduled Accuracy) based on activity
• Percent Planned Work • Labor Hours - Est. vs. Actual
• work orders processed thru planning • Downtime
over total work • MTBF, MTTR
• Planned work vs. Unplanned • Parts & Materials
corrective work • Maintenance Productivity
• By work type • Wrench Time
• Percent Scheduled Work
• Work order labor hours scheduled
vs. total labor hours available

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A Fully Integrated Global EAM Service Provider – www.GenesisSolutions.com – 203.431.0281
KPI’s for Planning & Scheduling

Other Related Metrics

• Percent Work in Progress/Scheduled (Status)
• Past schedule date
• # hours
• # jobs
• Scheduling Efficiency
• Schedule Compliance X % Scheduled Work

Reports:
• Activities with Associated plans
• Work Order Aging Report
• Work orders not processed past the “Planned” status in days
• Activities not finished where actual hours are higher than estimated

920
A Fully Integrated Global EAM Service Provider – www.GenesisSolutions.com – 203.431.0281
KPI’s for Planning & Scheduling

• Planned Work Backlog

• Planning Accuracy: actual time to complete work vs. estimated: Goal +- 15%
• PM & CM Schedule Compliance (weekly, MTD, YTD)
• Rescheduled PM Work orders (Weekly)
• Schedule attainment: Target 99.5%
• Planned work vs. Unplanned corrective work (craft hours spent): >80%
• Percent (%) of PM and CM Work Orders with actual work hours
• Maintenance Downtime Hours: Goal – trending downward
• Wrench time - Increasing

921
A Fully Integrated Global EAM Service Provider – www.GenesisSolutions.com – 203.431.0281
Benefits of Planning and Scheduling

• Average “wrench time” (maintenance efficiency) is 25 - 35%. Leading practice is more

than 60% - how to close the gap? Effective Planning & Scheduling

• Maintenance Overtime – average is the US: over 14% (Leading practice: below 4%),
Cause: reactive maintenance. Result: higher cost. Solution: better planned and
scheduled maintenance work

• Planned work versus unplanned work has a cost ratio of 1:5 – that is, planned work cost
about 20% as much as unplanned work;
• Why? All work has the potential for delays and will benefit from historical analysis
and planning
• Solution: Planning by experienced Crafts persons. Best Practice: > 80% of all
maintenance work is planned

922
A Fully Integrated Global EAM Service Provider – www.GenesisSolutions.com – 203.431.0281
Benefits of Planning and Scheduling

• Extra Stores inventory – about 50% of the average maintenance budget is spent on
spare parts. In reactive organizations up to 20% of spare parts is not needed.
• Stocking too many spare parts -- “just in case”
• Expediting spare parts delivery (unplanned usage)
• Single item purchase orders
• Spare parts that “vanish” (Sometimes called “shrinkage”)

• Wasted energy consumption: well maintained equipment requires 6 to 11% less energy
to operate than poorly maintained equipment. Major Sources of wasted energy
(below). Solution – planned maintenance
• Air leaks
• Steam leaks
• HVAC cleaning
• Coupling alignment
• Coolers and heat exchangers

923
A Fully Integrated Global EAM Service Provider – www.GenesisSolutions.com – 203.431.0281
Planning and Scheduling Best Practice

Accurate Job Steps

• Document the critical steps to performing the job

Coordination
• Document any specific information around job coordination

Manpower / Labor
• Document the specific craft, number of individuals, and duration

Materials
• Document and procure all necessary materials to complete the job (direct
purchase needs to be documented as direct issue)

Tools
• Document any specialty tools needed or any specific information around job
coordination

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A Fully Integrated Global EAM Service Provider – www.GenesisSolutions.com – 203.431.0281
Leverage of Planning and Scheduling

 Productivity = Money & Time

 Consider: 3 crafts persons working in Maintenance
 Use average productivity (wrench time): 35%

Case #1: 3 technicians without planning: 3 x 35% = 105%

 Output: 1 Full Time Person (plus a little extra)

Case #2: 2 technicians with 1 planner: 1 x 0% = 0%

: 2 x 55% = 110%
 Planning boosts productivity by more than 50%
 Output: 1 Full Time Person (plus something more than above)
 Planning leverage: 55%/35% = 1.57

 Productivity Leverage
 Apply leverage to entire maintenance organization
 Use ratio of 1 planner: 25 technicians (common practice)

Case #3: 25 technicians leveraged with 1 planner: 25 x 1.57 = 39 technicians

925
A Fully Integrated Global EAM Service Provider – www.GenesisSolutions.com – 203.431.0281
Planned Maintenance

Maintenance Practice - Planning and Scheduling

Typical Job Planned On-the-Run

Same job if Professionally Planned

Planning Activity Work Activity

Typical Maintenance Worker’s Day - Reactive vs. Proactive

Reactive without Proactive with
planning & scheduling Planning &
Scheduling
Receiving instructions 5% 3%
Obtaining Tools and materials 12% 5%
Travel to and from job (both with and w/o tools and materials) 15% 10%
Coordination Delays 8% 3%
Idle at job site 5% 2%
Late starts and early quits 5% 1%
Authorized breaks and relief 10% 10%
Excess personal time (extra breaks, phone calls, smoke breaks, slow return from lunch 5% 1%
and breaks, etc.)
Sub-Total 65% 35%

Direct actual work accomplished (as a % if whole day) 35% 65%

926
A Fully Integrated Global EAM Service Provider – www.GenesisSolutions.com – 203.431.0281
Planning and Scheduling
Wrench Time Improvement

Represents an increase of 2.95 FTEs

927
A Fully Integrated Global EAM Service Provider – www.GenesisSolutions.com – 203.431.0281
Return on Investment

ROI Opportunities present at each State

Enterprise
Performance Measures
Reliability
Enterprise Asset
Predictive Management
Don’t just fix it,
Planned improve it
Measure & fix
Reactive
Fix it BEFORE it
fails
Fix it AFTER it
fails

Wrench Time 25% 35% 50% 60% 70%

OEE - Availability Factor 80% 84% 90% 95% 98%

Labor Cost Savings 35% 30% 20% 10% 0%

Contractor Cost Savings 35% 30% 20% 10% 0%

Material Cost Savings 20% 15% 10% 5% 0%

Inventory Carrying Cost Savings 20% 15% 10% 5% 0%

Safety Improvement

Quality Improvement

928
A Fully Integrated Global EAM Service Provider – www.GenesisSolutions.com – 203.431.0281
Typical Mechanics Day
(Industry Standard)

929
A Fully Integrated Global EAM Service Provider – www.GenesisSolutions.com – 203.431.0281
Planning and Scheduling Improves Productivity (Industry
Standard)

930
A Fully Integrated Global EAM Service Provider – www.GenesisSolutions.com – 203.431.0281
Benefits of Planning & Scheduling

• Planning maximizes maintenance productivity & work quality

• Optimizes equipment/asset uptime

• Scheduling maximizes maintenance productivity by eliminating lost time between

jobs

• Can increase the number of Technicians that a Planner can effectively plan up to 20-
30 Technicians, instead of just 15-20.

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57
Sustained Safety
We have led the way for safety in the workplace for decades
by providing training, developing and managing HSE protocols.

Managed Risk
We provide dependable risk analysis throughout a project life cycle
that enables owners and manufacturers to optimize their assets.

Optimized Integrity
We provide due diligence on projects; we are unrivaled
in the verification and quality assurance fronts.

Achieved Performance

932
Planning and Scheduling

Questions and Answers?

Matt Midas
GenesisSolutions Asset Management
An ABS Group Company Safety Management
Phone: (443) 285-3501 Risk Management
[email protected] Integrity Management
[email protected]
Performance Management
www.genesissolutions.com
www.absconsulting.com

933

59
 Air-Tight LLC
1300 West Industrial Ave.
Unit 103
Boynton Beach, Fl. 33426

Henry Dombroski President

P-561-509-0455

F-561-509-0453

C-561-704-9266

Web-airtighthubs.com

[email protected]

934
 Preventing Ingress Contamination
by providing Bearing Cavity
Pressurization

1. Hermetically seal the bearing cavity

2. Pressurize the bearing cavity with low air or nitrogen
3. Automatically control the pressure in the bearing cavity 24/7
4. Give a visual indication of the amount of pressure in the cavity
5. Indicate bearing cavity integrity 24/7

Protection by the “Laws of Physics”

935
 1. Hermetically Sealing the
Bearing Cavity

A. Use bearing isolators that are not open to
atmosphere (Magnetic Bearing Isolators)
Magnetic attraction force to positively mate
optically flat seal faces.

936
B. Lip seals made with certain materials
designed to statically and dynamically hold
pressure running on a stainless steel sleeve,
hardened to Rockwell C30 or higher, with a
surface finish plunge ground between 9 and 17
micro inches with a smooth surface profile for
maximum life. (Note: For greater than 3 psi bearing cavity pressure)

937
 C. Unitized Seal

Note: These seals are designated for effective oil and lubricant retention over
long periods of time under rugged conditions. Our standard units operate at 0
to 10 psi; 10 to 250 F temperature: and up to 3000 FPM speed at seal face.
Special materials can be supplied to withstand higher operating pressures and
temperatures, when requested. (AMS Seals)

938
C. V Rings for added seal protection externally

939
 D. Eliminate Breathing

e.g. Oil Cleanliness in Wind Turbine Gearboxes

Minimizing Ingressed Contamination

Breathers are used to vent internal pressure when air enters through
seals or when air within the gearbox expands and contracts during
normal heating and cooling. The breather should have a filter and
desiccant to prevent ingress of dust and water. It should be located in
a clean, non pressurized area away from contaminants such as brake
dust and water. In especially harsh environments, the gearbox
should be completely sealed and have an expansion chamber
with a flexible diaphragm to accommodate pressure variation.

Most wind turbine gearboxes have labyrinth seals that provide long
life and adequately seal in oil, but may allow contaminant ingression.
Therefore, V-rings should be used as external seals. They are
effective, but should have metal shields to protect them from damage.
(Machinery Lubrication Article)

940
2. Pressurize the Bearing Cavity
with low Air or Nitrogen

A. Port the bearing housing, spindle, or
axle to access the bearing cavity

941
B. Plumb the port to pressurize the bearing
cavity

942
Mark V Navy Seal Trailer

943
Grinding/Deburring Machine

944
 3. Automatically Control
the Pressure in the Bearing Cavity
24/7

945
Filtered Control Box Regulates
the Amount of Pressure

946
Freeport Regional Water Authority
(FRWA) Intake Facility

947
Freeport Regional Water Authority
(FRWA) Intake Facility

948
Pulleys may be under water up to
a depth of 12 feet

949
950
Different bearing cavity pressure for different
environments

6 PSI 1 PSI

951
4. Give a visual indication of the
amount of pressure in the cavity

952
5. Indicate Bearing Cavity
Integrity 24/7

953
954
 Savings

Bearings ,races, and parts replacement costs

Damaged caused by failure costs
Downtime costs

Benefits
System check for bearing cavity integrity
(Monitor seal condition 24/7)
Absolute protection (No Gray Area)
Planned maintenance
OEM and retrofit

955
 Applications

Applications where the bearing cavity
needs to be hermetically sealed.

Applications where the system needs to
be monitored.

Harsh Operating Environment (moisture,
salt, sand, dust, etc.)

Gearbox Head Space (prevent
condensation)

Wash down maintenance

956
 Keep Contaminates out Period!

Studies show that bearing lubricant contamination can account for

over 55% of all bearing failures.

It is a fact that an increase in moisture and solid particle ingress
reduces bearing life exponentially. As little as twenty parts per
million moisture contamination reduces bearing life by 48%.

Preventing moisture entering the bearing chamber is an essential
strategy to maximize equipment uptime.


Aesseal Literature
957
Protection by the “Laws of Physics”

958
 Process Performance OptimizationSM (PPO)
Combining Reliability, Lean and Change Management

Bruce Wesner, MBA, Managing Principal

Life Cycle Engineering

Introduction
Today, leaders of organizations are stretched to do more with less. They are asked to cover more
areas with fewer resources, with less time and smaller budgets. Given these constraints, how can we
continue to drive improvement and achieve success? We must focus tactically to drive improvement
and eliminate issues that impact our ability to perform. Focused improvement efforts can provide
significant bottom line impacts and be sustained after the project.

Chronic and persistent issues can be solved using a targeted Process Performance OptimizationSM
(PPO) approach that integrates best practices in change management, lean and asset management. In
order to effectively drive PPO, organizations should focus on this four‐step approach along with weaving
in an appropriate level of change management to sustain the gains.

The Process:
PPO approaches improvement as a four‐step process that has effective change management and
continuous improvement incorporated into every step (Figure 1).

Figure 1. Process Performance OptimizationSM (PPO).

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959
The First Step is to Identify the Losses
In identifying the losses, we recommend understanding the value‐stream of the process being
evaluated. This value‐stream map should capture all the known steps of the process and incorporate any
associated data around the process steps (Figure 2). This is accomplished by pulling a cross‐functional
team together to map it. After the value‐stream is captured it needs to be evaluated and the “loss”
opportunities identified should be listed. This list will need to have some associated data that can be
defined as an opportunity or value that would yield benefit or a return on investment through some sort
of action.

Figure 2. Value Stream Map.

Second Step is to Pareto the Losses

Once the value and potential projects are identified, it is essential to Pareto them to put some
priority on where to focus (Figure 3). The projects with the highest value will not always be the best
problems to solve because the investment cost may be large or the time needed to address the issue
may be beyond the capability of the team. Many times there may be multiple smaller projects that can
be easily addressed in order to significantly improve performance. Using a baseball analogy, you can win
the game by hitting singles and bunts! Much of the value proposition will be highlighted during the
problem‐solving step. Sometimes the value may not be quantified in dollars! There could be value or
benefit of morale or soft‐side related improvements. Always keep that in mind.

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 Figure 3. Pareto the Losses.

Third Step is to Conduct Problem Solving

Now that we have identified our losses and prioritized the projects that require additional problem
solving we need to define the business case and actions needed to move forward. We typically focus on
the four M’s – Man, Machine, Materials and Methods in order to drive effect and overcome the losses
associated with the project (Figure 4). This step is creating the detailed actions to address the problem.
We would recommend that this be a team activity so that there is buy‐in and understanding of how the
problems are going to be resolved. Most times we find underlying reliability issues that need to be
resolved in order to address the impacts to the value‐stream. Reliability engineers work to address the
losses and define actions that eliminate risk and lower the cost of operation and ownership.

Figure 4. The Four M’s.

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Fourth Step is Action Plan
The last step is to create an action plan that will used to manage the project(s). It is recommended
to manage the action plan using an A3 document (Figure 5). “A3 Thinking” defines a systematic method
for realizing opportunities for improvement in the workplace. A3 Thinking has been a key tool In
Toyota's quality‐focused history. This simple tool has supported continual improvement programs,
delivering accelerated efficiency and other benefits.

Figure 5. A3 document.

The A3 reporting process itself only reflects half of the story. The development of an improvement
and change‐focused company culture is at the core of A3 Thinking. Deployment of an A3 reporting
process in an organization enables a company‐wide improvement culture to flourish. A3’s achieve the
following:

 Provide a logical thinking process

 Clearly present known information objectively

 Focus on and share critical information around the organization

 Align effort with strategy/objectives

 Provide a consistent, visual approach throughout the organization

 Provide a robust problem‐solving process

 Provide a means to measure performance gains (KPIs/metrics for success)

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962
Don’t forget the Change Management!
Interwoven and essential to the overall success of the PPO process is including effective change
management and continuous improvement. In order to support the technical side of the PPO effort we
have incorporated essential change management steps into the process. Essential steps that need to be
addressed in order to prepare the organization for the project include defining the strategy:

a. Communications Plan

b. Sponsor Roadmap

c. Resistance Management Plan

d. Coaching Plan

e. Training Plan

Summary
Each of these steps has specific tools that support sustainability and delivery of success.

Process Performance Optimization is a highly effective and structured approach to driving

sustainable change using change management, lean concepts and reliability engineering. Should you
have any further questions, please contact: Bruce Wesner at [email protected] or (843) 991‐7404.

Reliable Plant 2013 Conference Proceedings |

963
 Protecting Machine Surfaces from Chemical Attacks

Wes Cash, Noria Corporation

Lubricants serve a vital role in all tribo-systems. They reduce friction, reduce heat, transfer
contaminants, and they also help protect the machine surfaces from chemical attacks. These attacks
can come from several different sources. The mechanism we are most familiar with is that of water
ingression leading to rust.

When we are talking about corrosion of machine surfaces there are many different names
associated with this process, such as: corrosion fatigue, fretting corrosion, cavitation corrosion, erosive
corrosion, stress corrosion, galvanic corrosion, etching, crevice crack corrosion and static corrosion.
Each of these reactions is slightly different but they all lead to corrosion. Now there are different types
of corrosion attack modes as well.

o Uniform attack is when the surface in contact with a corrosive substance wears
uniformly across the entire area. You may see this mode in a reservoir where there are
incompatible metals with different corrosion inhibitor packages.
o Intergranular attacks happen between the grains of the metal. As alloys are made there
are different grain patterns and fluids attack these metals at different rates especially at
the grain lines where boundaries of different metals exist.
o Pitting is perhaps the best known attack and easily the most recognizable. In this a pit is
formed on the surface of the metal due to the corrosive nature of the fluid in contact
with it.
o Subsurface attacks happen below the surface of the machine. There could be a small
visual effect seen but the majority of the damage is hidden underneath. Think about a
rotten tree; it may seem healthy on the outside except for a few dead branches, but
when it is cut down you can see the real damage.

While there are other forms of corrosion these are generally the most prevalent. They are caused
by chemical reactions between the metal and some other substance most usually acidic in nature. It
could be moisture in the oil, acids, bacteria, salts, and a number of other contaminants. Of course if the
machine is operating in a hot environment it speeds up the reactions leading to quicker corrosion
(Arrhenius Rate Rule).

Each type of contaminant leads to a different form of chemical attack. Solid contaminants (dirt,
metals, soot, etc.) can lead to oxidation which of course forms acids, and also varnish which is a form of
chemical attack of surfaces. Varnish starts with the upset of the lubricant. This can be due to
incompatibility, contamination, oxidation, and a variety of other problems. Chemical reactions begin
taking place and the products of these reactions become insoluble and begin the fall out of suspension

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964
of the oil. This is when we begin to see sediment and sludge. These compounds are polar in nature and
migrate to machine surfaces and bond. Over many thermal cycles (heating and cooling) the soft layer
cures to a hard varnish.

Water is a well-known corrosive fluid, especially when in contact with metal. It is the central
promoter of rust and causes a variety of other problems in the oil. Water reacts within in the bulk of the
oil to form acids which in turn are more corrosive than the water by itself. It also changes the viscosity
of the oil which can make boundary conditions more prevalent and leads to the degradation of machine
surfaces by mechanical forces.

Oxidation is one of principle contributors to acids within oil. As oil ages especially in the presence
of pro-oxidants (heat, air, water, and metal catalysts) this process occurs much more rapidly.
Byproducts of this reaction with oxygen include long-chain molecules which in turn form sludge, tar, and
can lead to varnish problems. On the other side of the reaction acids are produced which in turn begin
corroding metal surfaces by one or more of the afore mentioned processes.

There are several lines of defense against the onset of corrosion. Additives offer a wide range of
benefits against this process depending on the formulation/blend of the adpac (additive package). The
majority of these additives are polar in nature and bond either with that machine surfaces or
contaminants within the bulk of the oil.

Rust inhibitors are very common in oils. R & O oils (rust and oxidation inhibited) have this additive
to help prevent the onset of rust. These additives form a polar film that adheres to metal surfaces and
repels water thus slowing the onset of rust. Similarly chelating or metal deactivating additives work in
the same way. Some of these additives prevent water from being in contact with metal while others are
more robust and help protect against acids as well.

Dispersants, common in engine oil formulations, help to remove harmful water and acidic
molecules within the oil before they have the chance to cause corrosion problems. Unlike rust inhibitors
or metal deactivators these additives work within the bulk of the oil and bond with molecules to render
them less harmful. They envelop (surround) the acids or water, depending on the additive formulation,
and form a structure known as a micelle to keep these molecules from joining together to make larger
ones, or coming in contact with the machine surfaces.

Most of these additives play more than a single role or have more than one function. Especially in
engines these additives are “over-based” referring to their place on the PH scale. This is true with
detergent additives that not only help keep surfaces clean of deposits but also because of their basic
nature they help neutralize acids. This is why base number trending is so important in engine oil
analysis.

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965
 Then there are additives like antioxidants or oxidation inhibitors that resist the onset of oxidation.
We discussed how oxidation attacks machine surfaces in a number of different manners so by reducing
this process we in turn have machines that last longer. It is important to point out that all of these
additives have a finite life and become depleted. Monitoring additive levels is very important when
looking at the overall health of a lubricant.

Not all additives behave the same way. Extreme pressure and Anti-wear additives bond with the
metal surfaces and has a mild reaction resulting in a ductile metal soap on the surface of the machine
that is sacrificial and wears away under boundary conditions. This process is generally very mild and
helps reduce wear of machine surfaces due to mechanical forces.

Since not all oils are the same it is important to know what types of additives are present and be
aware of what components we are putting these into. Take for instance the example of EP (Extreme
Pressure) additives and some of the risks associated with them.

Gear oils are notorious for containing EP additives but not all gear oils are good for every gear set.
The best example of this is in worm gears. Worm gears, more so than traditional gear sets, are
commonly made of some form of yellow metal (an alloy containing copper). These metals are softer
than steel and depending on how active the sulfur phosphorous of the EP additive is; corrosion can
occur and be quite devastating to the component. Severe pitting and corroding are the effects of this
process and lead to failure of the gearbox in question. This same process can occur in the windings of
electric motors if an EP grease is forced past seals and into the inner workings of the motor.

To be sure an oil is compatible with the yellow metals in a system refer to the Copper Strip
Corrosion Test (ASTM D130). In this test a strip of copper is bathed in the oil being tested and then
heated to a prescribed temperature for 3 hours. The strip is then removed and compared against a
reference chart to mark the degree of corrosion. The range of results go from 1A (little reaction) down
to 4C (heavily corroded) and tell you the danger of this lubricant in contact with copper alloys.

In review corrosion is a large factor in machine degradation and can be minimized by keeping
track of a few factors. Oil analysis is key to truly mitigate corrosion as well as being aware of what is
actually going into the machine. Check the data sheets to ensure they have all the additives that the
machine required to operate properly. Corrosion can be mostly avoided if you follow the adage of
keeping your lubricants clean, cool, and dry.

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966
 Putting New Life in Your Oil Analysis Program
Improve Your Existing Plant or Corporate Oil Analysis Program

Robert Scott
Noria Corporation / Lubeworks Ltd.

Has your oil analysis program been running for a few years, or maybe a long time, in its current
state? Have you been wondering if it could be improved? Consider an evaluation and maybe a tune‐up.

We tend to implement programs in our facilities and then leave them to run on their own while we
move on to other projects. A comprehensive review of your oil analysis program may be just what is
needed to revitalize the program, fix some shortfalls and maybe eliminate some unnecessary testing or
sampling. The review should include; the equipment being sampled, the lab being used, sampling
locations and frequency, the tests being run, alarms and limits, reporting, the responsibilities of the
people involved, training and certification, and cost/benefit analysis. You will likely find some
improvement is possible and needed.

Improve Your Existing Plant or Corporate Oil Analysis Program

Many plants have existing oil analysis programs and have had for many years. But like most things
in life, we continue to learn and want to improve the way we do things. Is it time to revisit your oil
analysis program with the latest approaches and technologies?

There are improvements to oil sampling in both the selection of the locations from which to sample
and the hardware used to obtain a better sample. There are improvements to laboratory tests. Several
new test methods have emerged in the past few years related to particle counting, varnish potential
detection and antioxidant (and oil) life remaining. Also, knowing how and when to apply test methods
that have been around for a while has evolved. There are laboratory software improvements for oil
analysis data that provide more useful information to maintenance specialists. The calculating and
plotting of wear rates, or the rate‐of‐change of wear, are very useful but require good records of the
hours that the oil has been in service. Make‐up oil volumes can have a significant impact on wear rates
if the volumes vary considerably between oil samples. All of these items could make a significant
improvement in the effectiveness of your oil analysis program, making it more cost effective and more
likely to catch major faults before they become costly failures.

In any discussion on oil analysis and when evaluating a program, always keep in mind that the
program should provide (or has the ability to provide) information about three separate topics.

‐ Condition of the oil (as related to oil changes)

‐ Condition of the equipment (as related to increased wear)
‐ Contaminants in the oil (water, dirt, glycol, soot etc.)

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967
 Also, remember that oil analysis is just one of the valuable tools that is at our disposal to assist with
analysis. We also have vibration, thermography, ultrasonics and motor current analysis available to us.

With respect to your oil analysis program, the place to begin is with an evaluation of the current
program, a baseline. What is the performance of your current program? What parts of the program are
functioning well and contributing to the desired results versus those parts that would benefit from
improvement.

An evaluation usually includes a site visit to discuss the current program with several maintenance
personnel. During the visit, the oil analysis records are reviewed to check for completeness and to
identify the tests being performed, and the procedure for taking a routine oil sample is observed to
check various aspects of the sampling equipment and procedure used.

An evaluation can consist of multiple categories. These include:

‐ Equipment Selection for the program

‐ Laboratory Selection

‐ Alarms and Limits

‐ Test Slate Selection

‐ Data Handling (calculations)

‐ Field Oil Sampling Technique

‐ Oil Sampling

‐ Reporting

‐ Interpretation of Data

‐ Training and Certification

‐ Tracking and Cost / Benefit Analysis

Each of these will be discussed briefly to provide some insight into the contents of the category.

Equipment Selection for the oil analysis program begins with a complete list of all of the oil
lubricated rotating equipment in the facility. Proper selection involves ensuring that a process was used
and is in place to decide exactly what equipment is most critical to the function of the plant from a lost
production, safety and environment perspective. Usually the top 33 or 50% of the equipment should be
included in the program. However, there are likely many smaller pieces of oil lubricated equipment that
cannot justify the cost of being included in an oil analysis program.

Laboratory Selection involves an overview assessment of the laboratory being used. During this
evaluation, it is important to determine if one primary laboratory is being used and if that laboratory has

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an apparent level of competency and ISO certification. The lab needs to have a reasonable turn‐around
time for the analysis, a variety of different tests available, good computer software to calculate and plot
the data generated and a mechanism to handle emergency situations. This evaluation could be greatly
expanded into performing a complete and very detailed laboratory assessment or audit if needed. It is
important to determine if any on‐site oil analysis testing is being performed at the plant level and if so, is
it being performed properly?

Alarms and Limits assesses the validity or usefulness of the current warning and condemning limits
or flags. Who set the flags that are being used and what information are they based on? Are they OEM
limits or oil supplier limits or have they been calculated by the laboratory based on a statistical
treatment of historical data? Have they been changed by field staff to reduce the number of alarms
received? Alarms and limits can be a very important factor in the success of the program. Most
maintenance staff are too busy to look through every oil analysis report and therefore may rely heavily
on the alarms and limits to flag the reports that need their attention. If a flag is not assigned by the lab,
to a given report, then that report may not be viewed by the maintenance staff. The improper use of
alarms could mean a failing piece of equipment could be missed and proceed into a catastrophic failure.

Test Slate Selection addresses whether the appropriate lab tests are being performed on an oil
sample based primarily on the type of equipment but also on the age of the oil, the sampling frequency,
and the budget. Often, tests are not performed as a cost saving measure. This needs to be assessed
against the risk of not detecting a fault in the machine and to a lesser degree against the aging or
condition of the oil. A “basic” oil analysis package may be less expensive but it may not provide the
information that a more comprehensive test package provides. There can be significant differences
from one lab to another in the tests that are included and in the cost of a basic package. In recent years,
there has been an increase in the use of particle count testing, Karl Fischer water determinations and
ferrous density (large iron) measurements, as well as some newer technologies such as Direct Image
Particle Counting (formerly Laser Net Fines™), Linear Sweep Voltametry (formerly RULer™) and
Membrane Patch Colorimetry (formerly Qualitative Spectrophotometric Analysis) testing. These new
approaches and technologies need to be assessed for their application to your facility.

Data Handling investigates how the raw data (for example, spectrographic wear metals) is treated
and presented. Are just the raw parts per million (ppm) values for each metal provided or are wear
rates (ppm/hr.) calculated and plotted based on the hours that the oil has been in service? This is
important. Most labs provide the end‐user with only the raw wear metals data and provide very poor
quality plots or graphs of the data. A proper “hours in service” is needed to generate a meaningful wear
rate. This requires that the field or plant staff provide accurate information on oil changes and how
many hours the oil has been in service at the time that the oil sample was taken. Another factor that is
often overlooked is the amount of make‐up oil added during an oil change interval. If widely varying
volumes of oil are added as make‐up during different sampling periods, then the larger volumes will
dilute down the wear metals that are being generated and give the illusion that the machine is
generating less wear. Make‐up oil volumes should be noted and taken into accounted when calculating
accurate wear rates.

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 The Field Oil Sampling Technique observes how an oil sample is taken from a piece of equipment in
the field. It is a critical part of the evaluation. A verbal description of the procedure is not enough. Oil
sampling is a critical step in the oil analysis program that occurs early in the process. A poor sample will
create inaccurate results. Garbage in = Garbage out. In an overall evaluation, physically taking an oil
sample may be considered the most heavily weighted (most important) category of the program. The
oil analysis program cannot recover from a poor sample and the erroneous data that it will generate.
Clean, new sample bottles and tubing, proper sampling ports and locations are all critical to the success
of the program. Absolute consistency in the sampling process is critical.

The Oil Sampling evaluation category goes beyond taking a physical sample. The plant should have
a comprehensive list of all of the equipment that is being sampled. The program should also include
taking samples of the new oils being delivered to the plant, both in bulk and from random drums. This is
necessary to ensure that quality control measures, primarily for contamination reasons, are being
adhered to by the oil supplier. A written oil sampling procedure may sound like an unnecessary step but
it will help to ensure consistency in the samples that are taken. The frequency and the consistency that
samples are taken can be determined from viewing the oil analysis reports and are important to the
success of the program. Samples also need to be sent off to the lab within 2 working days to ensure the
timeliness of receiving results back from the lab.

The Reporting of data back to the client needs to be timely and to the appropriate plant staff. The
format should be through an electronic format to ensure timeliness. This should occur within about five
or six working days of the sample being taken and a method of reporting highly critical emergency
conditions should be established.

The Interpretation of the Data is greatly enhanced by having a history of data for the machine. It is
very useful to know the hours of operation on the oil and when filter carts etc. have been used and
when in‐line filters have been changed. It is again, very useful to have an analysis of the new oil as a
reference and to take a sample 24 to 48 hours after an oil change, after the new oil has mixed with the
old residual oil in the system. This is a very good baseline for the future samples taken of that fill of oil.
Most laboratory reports only offer generic computer generated interpretation comments for the client.
A few organizations offer personal interpretation of the data. The ability of the individual (client) who
receives the reports to interpret the data is important. Also required is an established chain of
responsibility within the organization for acting on the interpretation. It needs to be clear, who receives
the lab results, who is responsible for interpreting them and who is responsible for taking action on
those results. It may be, and possibly should be, one person.

Training is necessary to keep staff abreast of new technologies and techniques. It helps all of us to
continue walking down the road of continuous improvement. It can provide insight into the reasons
why a maintenance procedure is required. It helps to remind us of what is important. Each of us tends
to develop bad habits and short‐cuts that may compromise the value of the work we perform. It is a
good habit to receive retraining every three to five years on a scheduled basis. Retaking the same basic
course is often the best approach as only a fraction of the material presented is retained.

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 Certification is a means of confirming that the training is effective and can provide a sense of
accomplishment.

Tracking and Cost Benefit Analysis The oil analysis program needs an overall leader who is
responsible for being sure that the program is being implemented. Otherwise, it will likely fade away
and eventually die. This person should ensure that the performance of the oil analysis program is being
tracked and that some cost / benefit analysis is being performed in order to justify the program to
management.

In summary, in the audit or evaluation of an oil analysis program, each of the questions in each
category are scored and weighted for their relative importance. These figures are then used to calculate
an overall score for the oil analysis program of the facility. Strengths, Weaknesses and
Recommendations are provided with a priority assigned to the Recommendations.

This type of oil analysis program evaluation could revitalize an existing oil analysis program which
has not kept up with changes or has been only marginally or even moderately effective for years. Or,
quite simply, one that was not set up properly in the first place. To properly protect your capital
investments and prevent unnecessary downtime and lost production, it would be worth seriously
considering an evaluation of your oil analysis program.

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 Rapid Analyses for Fuel and Antifreeze
in Used Engine Oil
Timothy Ruppei PhD, PerkinElmer LAS, Shelton, Ct.

Introduction
Two separate analyses will be presented for the determination of contaminants in used engine oil by
gas chromatography. The presence of fuel in used engine oil can be caused by leaking valves, piston
rings or fuel injectors. Diesel is the primary fuel of interest but the method can also differentiate
between diesel, gasoline or biodiesel fuel. The presence of ethylene glycol in used engine oil is an
indicator of engine coolant leaking into the engine crankcase past sealing gaskets. If left unchecked,
either problem will cause premature engine failure and loss of engine productivity. Downtime from
disabled engines will greatly reduce profits generated from engines earning daily income. The routine
analysis for these contaminants can predict engine problems allowing for preventative maintenance
before engine failure causes more costly consequences.

High throughput automated analysis requires less than 3 minutes per sample or more than 400
samples per day. Older methods in ASTM require 45-60 minutes per sample. Both methods are currently
in the process to gain approval as official ASTM methods. ASTM status will be highlighted.

Fuel in OIL Legacy Methods

Fuel (diesel, biodiesel and gasoline) passes into the lubricating oil during normal engine operation.
Changing the oil too soon is wasteful and expensive. Changing the oil too late will cause reduced
performance and ultimately engine damage. The solution is testing the oil regularly for fuel dilution
contaminants to determine the necessity and timing of corrective maintenance.

A previous technique used relied on heating a single oil sample to cause flash point combustion of
the fuel, but interpretation could not accurately quantify fuel concentration or distinguish between fuel
types. Older ASTM methods utilize gas chromatography (GC) to separate hydrocarbons from fuel but
the oil matrix must also elute from the column before the next sample analysis. This process can take
50-60 minutes between samples injections. High throughput laboratories must work much faster or
purchase many more instruments or use alternate, less definitive testing techniques. In 2001, the
Caterpillar Corporation, Peoria, Illinois, USA, requested assistance from PerkinElmer to help develop
techniques for high throughput testing of fuel dilution in used engine oil.

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 Gas Chromattograph

Typical chrromatogram of thee diesel fuel components followed by

b the huge
hump of thhe motor oil requirring 50-60 minutes between injectio
ons

Gas Chromatogrraphy witth Preven

nt in Back
kflush Mod
de
Gas chhromatography separates componentss of a complexx mixture for identification n and
quantificaation. The dieesel fuel peakks are summe ed together too calculate a ttotal fuel con
ncentration. B
By
adjusting the GC colum mn oven temp perature, lesss resolution bbetween indivvidual components is achieeved
but the suum total is still unchanged, and at a savvings of time. Further timee savings could be recognizzed if
the chrommatogram did d not have to wait for the large late elutting oil matrixx to
clear the column
c beforre the next injection.

The Prevent accesssory in the gaas chromatograph is set upp in a backflussh

mode. With
W injector pressure
p P1 hiigher than Auux pressure P22, carrier gas flows
forward through the co olumn. A liquid sample iss introduced iinto the injecttor and
chromato ographic separation takes place
p as norm
mal through thhe column. A At a
selected time,
t P2 is raised and P1 iss lowered. Th
his will revers e the flow off carrier
gas in the
e column fromm the detectoor end back toowards the injjector, backfllushing
any comp ponents off thhe head of thee column andd out throughh the split vennt.

Throuugh a combinaation of oven temperature e control and backflushingg, the

fuel and oil
o chromatoggram is reduce ed to less thaan 1.5 minutees.

Prevvent plumbing diagram

Fuel in
n OIL (FOIL) Method
The original used engine
e oil sam
mple is utilizedd with no cleaan-up. A representative aaliquot of in-
service enngine oil is inttroduced intoo a gas chromatograph thr ough a progrrammable split/splitless
injector. Carrier
C gas traansports the vaporized
v aliq
quot throughh the dimethyyl polysiloxanee bonded phaase
capillary column
c where e the hydrocaarbons are se eparated by thhe chromatoggraphic proceess. Once the
hydrocarb bons of fuel are
a sensed by the flame ion nization dete ctor, the carrrier gas pressure at the head of
the colummn (P1) is lowered and an auxiliary
a gas supply
s locate d at the end of the column (P2) is
increased. The change in pressure forces
f the dire ection of the carrier gas too reverse direection and flo
ow
back through the injector. The resid dual hydrocarrbons from thhe oil matrix aare back flush hed out of thee

| Reliable Plant 2013 Conference Proceedin

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973
column through the injector and out through a charcoal trap and out the split vent. The detector signal
is processed by an electronic data acquisition system and the fuel profile is grouped into gasoline, diesel,
and biodiesel. The components are identified by comparing their retention times to ones identified by
analyzing standards under identical conditions. The concentrations of all components are determined by
percent area by normalization of the peak areas.

GC conditions are controlled to allow all fuel to elute within 1.5 minutes and to backflush the oil off
the head of the column for an additional minute, allowing the next automated sample injection in less
than 3 minutes, a 20 fold improvement over older techniques.

Complete chromatographic resolution of each hydrocarbon component in the fuel is not necessary
to determine the concentration and type of fuel present. This reduced resolution makes this FOIL
analysis chromatogram quite unique. Instead of complete resolution of all components, integration is
controlled to combine all components into a single integrated area as total fuel. The later eluting oil
matrix is backflushed out the front of the column. This allows fast, isothermal GC analysis. Total
analysis time between injections is reduced to less than 3 minutes per analysis.

Different types of fuel are differentiated by the chromatogram graphics. Gasoline is a light
petroleum distillate and elutes as a single peak under these conditions. Diesel fuel is a medium
petroleum distillate and is separated from the gasoline into a combined diesel cluster. Biodiesel is
identified and quantified by the large C18 range fatty acid methyl ester peak.
- 0 43
- 0 51

- 1 25

- 0 40

- 0 86

- 1 21

500
100

400
80

300
60

200
40

100
20
B io d ie s e l

B io d ie s e l

5% diesel fuel in used engine oil B100 biodiesel in used engine

D ie s e l

D ie s e l
G as

G as

0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0 1.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.9 2.0 2.1 2.2 2.3 2.4 2.5 0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0 1.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.9 2.0 2.1 2.2 2.3 2.4 2.5
- 0 40
- 0 45

- 0 43
- 0 51

- 1 21

200
300

150
200

100

100
50
B io d ie s e l

2% gasoline in used engine Biodiesel and diesel in used engine oil

D ie s e l
G as

G as

0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0 1.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.9 2.0 2.1 2.2 2.3 2.4 2.5 0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0 1.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.9 2.0 2.1 2.2 2.3 2.4 2.5

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Summary Fuel in Oil (FOIL)
Some fuel dilution of in-service engine oil is normal under typical operating conditions. However,
excessive fuel dilution can lead to decreased performance, premature wear, or sudden engine failure.
This method provides a means of quantifying the level of fuel dilution, allowing the user to take
necessary action. This high speed screening method allows more than 20 fold improvement in
throughput over previous methods. Autosampler capability allows more than 400 samples per day. This
method is presently in use in more than 60 oil laboratories on 6 continents and as of early 2013, is in the
final approval processes for acceptance as a certified ASTM method.

A sister method to this analysis quantifies anti-freeze (glycols) in used engine oil (GOIL) introduced
to ASTM in 2012.

Antifreeze (ethylene glycol) in oil (GOIL)

The presence of Ethylene Glycol (EG) in used engine oil is an indication of an antifreeze coolant leak
and can cause premature wear and breakdown of an engine. The detection of this coolant leak has
proved to be important to the life of a given engine.

Traditional methods of analysis include:

Colorimetric Tests: Easy to do, not particularly sensitive or fast, prone to interference and
interpretation therefore not very quantitative, not cost effective

Direct Injection/GC: Typically for aqueous samples, High molecular weight oil onto column must be
removed before the next injection

Extraction/GC: ASTM-D4291-98
Dilute with hexane, extract into water, inject aqueous into GC. Labor intensive, slow, inaccurate due
to extraction inefficiency.

In 2002, the Caterpillar Corporation, Peoria, Illinois, USA, requested assistance from PerkinElmer to
help develop techniques for high throughput testing of antifreeze dilution in used engine oil.

In-Situ Derivitization Headspace-GC

Problems with ethylene glycol (EG) analysis include issues such as: Low molecular weight, low
volatility, high polarity, difficult to extract from highly polar water in coolant system and peak shape
requires a very polar column.
Derivatization can improve performance by converting EG to the phenyl boronate derivative on the two
hydroxyl groups of EG. This increases the molecular weight, decreases polarity, increases volatility of
the derivatized glycol and allows the use of a more stable non-polar column. Water also present in the
antifreeze will also contain the hydroxyl functional group and will be derivatized also into other non-
interfering components. To minimize the water and insure complete derivatization, only 100ul of the
used oil sample is necessary.

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 The original used engine oil sample is utilized with no clean-up.

A representative aliquot of in-service engine oil is introduced into the

headspace autosampler vial. Derivatization reagent is added; vial is
sealed and placed into headspace autosampler. The vial is heated,
causing the derivatization reaction of the glycol and the reagent in-situ
(inside the sealed vial), volatilizing the derivatized glycol into the vapor
phase. But not volatilizing the oil matrix. An aliquot of the vapor is
injected into the gas chromatograph for separation, identification and
quantification.

100ul engine oil sample is placed into a

This is a very clean injection because the high boiling point oil remains
sealed headspace sampling vial along
in the autosampler vial and never reaches the vapor phase and therefore with derivatization reagent, heated and
the oil never reaches the column. vapor phase injected to the GC

Chromatograms
Chromatographic resolution of Ethylene Glycol Phenyl Boronate (EG-PB) is easy since typically no
other components will be in the vapor phase. Some antifreeze formulations also use 1, 2-propylene
glycol (PG), which derivatizes to Propylene Glycol Phenyl Boronate (PG-PB) and elutes as a second peak
just after the EG-PB. This allows fast, isothermal GC analysis with a run time of about 1 minute and a
new sample injection every 2 minutes.

900

800 Standard Chromatogram or ethylene

700

600
glycol and 1, 2-propylene glycol
500

400

300

200

100

0.00 0.05 0.10 0.15 0.20 0.25 0.30 0.35 0.40 0.45 0.50 0.55 0.60 0.65 0.70 0.75 0.80 0.85 0.90 0.95 1.00 1.05 1.10 1.15 1.20 1.25 1.30 1.35 1.40 1.45

350

300

250
Real used oil sample containing
200

150
ethylene glycol
100

50

0.00 0.05 0.10 0.15 0.20 0.25 0.30 0.35 0.40 0.45 0.50 0.55 0.60 0.65 0.70 0.75 0.80 0.85 0.90 0.95 1.00 1.05 1.10 1.15 1.20 1.25 1.30 1.35 1.40 1.45

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 Quantitative response is quite linear to Flame Ionization Detector in the range of 50-5000 ppm.
Lower detection limits are possible with modifications to the procedure and with other selective
detectors.

Summary Glycol in Oil (GOIL)

A practical screening procedure has been developed and tested:
No sample preparation
In-situ derivatization directly in HS vial
10x increase in throughput (~2min)
Quantification 10X below decision cutoff level
Excellent quantitative linearity and precision
Results more sensitive / accurate than established methods
Rugged analysis in dirty sample matrix
Cost of analysis ~ 50cents each (HS vial and cap)
Fast analysis enables 400 samples/day

This method is presently in use in many oil laboratories around the globe and has been presented to
the ASTM in 2012 to begin the process for acceptance as a certified method by ASTM.

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 Reliability Analysis: Adding Substantial Value to a
Predictive Maintenance Program
Identifying trends for adding precision to maintenance

John Pucillo – Predictive Service & Scott Sutfin – Kaman Industrial Technologies

Most Predictive Maintenance program’s function fairly well identifying impending equipment issues
utilizing PdM technology and address them with corrective measures. However, what many programs
fail to do well is the extra analysis to identify trends that help reduce or eliminate problems from
reoccurring. Many of the issues can be traced back to or amplified from a lack of precision in the
maintenance effort.

This paper describes how to identify the failure modes, capture and trend them for periodic analysis.
Through a Pareto analysis method, item effecting production, quality or availability can be identified and
subsequent strategies put in place for improvements.

Reducing predictable problems adds reliability to an operation, thus taking a PdM program to the
next level. Ensuring the program is not just predicting the same problem types over and over but
identifying these trends to reduce or eliminate the failure modes through precision maintenance
techniques.

 Identifying trends to improve your PdM programs effectiveness

 How to determine and track failure modes by PdM technologies
 Performing pareto analysis of the trended data
 Identifying areas to add precision maintenance techniques
 Reducing predictable problems through analysis

The Value of Predictive Maintenance

If a manufacturing or processing business is to be successful, the
reliability of the equipment it depends upon must not be taken for
granted. A failure of just one machine integral to a production process
can result in significant losses in terms of repair costs, downtime and
throughput, and thus it is crucial for operators to take steps to foresee
breakdowns or inefficiencies whenever possible. For this reason,
many companies have turned to predictive maintenance (PdM)
partners to detect potential issues and determine solutions before
emergency situations ever occur, allowing for more effective planning.

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 Predictive Maintenance programs use special measuring devices to analyze the health and
functionality of every component of a specific piece of critical machinery. If functioning properly the
program provides early warning of pending failure and providing long-term assessment of equipment
condition to help plan for maintenance and avoid downtime during normal production hours. When we
analyze a piece of equipment, we utilize methods such as vibration analysis, infrared inspection, oil
analysis and sensory inspections to determine what risk factors exist
for that specific unit. For example, we may find flaws are developing
in a rolling element bearing that will eventually fail, and will notify
the equipment owner to allow for repairs or replacement to be
scheduled conveniently, not during an emergency.

Beyond offering savings by greatly reducing the likelihood of in-

service equipment failure, PdM is helpful in avoiding unnecessary
costs related to premature maintenance on functional machinery.
By determining when maintenance is truly needed based on the condition of equipment instead of
adhering to a generic, calendar-based maintenance program, machine downtime is avoided and service
costs are minimized. Additionally, servicing a piece of equipment only when necessary reduces the
likelihood of issues occurring as a result of human error during service-related interactions with
machinery.

Predictive maintenance is of definite value for helping companies avoid costly problems with their
equipment, but it often results in a temporary solution to a problem. The PdM process can be cyclical if
potential issues are only identified and fixed for the moment. Sometimes the root cause of equipment
problem is not addressed as part of the PdM process, resulting in future of redundant issues. While a
substantial amount of money is still being saved through the PdM engagements when compared to an
instance where equipment failure actually occurs, there is still opportunity for more extensive savings if
root causes of problems are investigated and long-term solutions are implemented based on well-
supported findings.

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The Next Step: Increasing Reliability
It is here that the idea of reliability analysis and subsequent consulting comes into play. Every time a
PdM group analyzes equipment, they have an opportunity to record what risk factors were detected,
how often, and how expediently problems must be addressed based on potential severity. By tracking
historical data for every piece of equipment analyzed, it becomes possible to determine trends in the
equipment’s behavior and devise strategize to address recurring problems as a result.

Figure One – Percent problems found benchmark for equipment classes

For instance, if a belt drive used to turn a part within a machine is a cause of increased vibration
levels, a predictive service program using vibration analysis techniques may be able to isolate the
problem and determine the recommended corrective action. If this finding is recorded reliably within a
database (see figure two), it becomes possible to look back at the history of the machine and determine
whether there are repeat issues with belts, or whether it is simply one of a variety of issues experience
over time with that unit. In the event that it is determined that there is a history of belt issues across all
machines, an opportunity presents itself to go beyond simply suggesting replacement of the belt—but
can choose to also ask the obvious question: “Why?”

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 Vibration
600
532
500

400
299
300

200 158 147 135

109
100 53 44 42 33 29 25 25
3 1 1 1
0

Figure Two – Vibration program failure mode review over three years

The first step in taking your PdM program to the next level of reliability is changing the mission
associated with the program. The idea of “repair before it breaks” need to be replaced with “Don’t
repair it, eliminate the root cause”. The basic parts of the PdM program functionally work the same, the
routine data gathering, analysis and subsequent reporting. However, enhancing how the reported
findings and corresponding failure modes are tracked and periodically analyzed to identify recurring
issues or problem trends. As these trends are established, a deeper dive into the root causes would then
be conducted and a recommended course of action developed. Many of these issues, based on
experience, have been found to be a lack of training and/or precision in the maintenance practiced.

It is at this point that the PdM group moves beyond simply providing PdM services to become a true
reliability partner. No longer concerned with dealing in the “here and now” and only identifying
potential issues, a reliability partner looks to the future by consulting recorded data and positing why
failures or potential failures are happening. The service provider can then collaborate with a customer
to determine what steps can be taken to avoid the need for maintenance and parts replacement in the
future.

Consider the case of the belt drive. If it is discovered that a PdM provider has indicated several times
in the past that belts are being worn out quickly, they can take their research a step further, asking, “Is
this belt lasting as long as it should be according to the manufacturer? If not, is another factor causing
failure?”

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 It is frequently the case that faulty parts are not responsible for creating risks: A human element is
often to blame. In the case of the belt drive example, belts generally require proper tension and
alignment be applied to be effective—something easily thrown off by improper installation, training or
tools, not poor equipment design. If this is found likely to be the case, steps could be taken to alter
procedures or retrain employees on proper techniques or ways to add precision, ultimately diminishing
the need to replace the belts and, in turn, diminishing the amount of money lost in relation to the
purchase of new parts and machinery downtime. In the end, the unit’s reliability is improved long-term.

Improving Reliability at No Additional Cost

While it may seem against a PdM group’s self-interest to take steps to minimize the amount of PdM
required in the future, Kaman & Predictive Service has learned through their experience that reliability
analysis should be standard to every program engagement. Improving reliability of the plant assets
should be the number one goal of any PdM program. Eliminating or reducing failure occurrences and
not just predicting problems should be inbred in the program’s DNA. Our customers have come to rely
upon us for our unfaltering dedication to identifying and preventing failures within their facilities, adding
value to our relationships by minimizing potential issues even further.

Examine not only equipment and material problems, but all issues affecting maintenance and
reliability. It could be the case that certain tools need to be deployed to address a problem, such as a
laser alignment device, or it may be that facility processes need to be revisited. Whatever the situation,
an experienced program analysts should work to develop customized, step-by-step improvement plans
to achieve an effective asset-management strategy. We are dedicated to working with our customers to
eliminate defects and, ultimately, improve precision in operations.

Whereas other PdM vendors keep analytical data private or only record the results of their service
visits in one-off, static documents, we maintain a dynamic database of years of PdM events and failure
modes to ensure we can efficiently share what we find with our customers to deliver maximum value.
Our web-based Viewpoint® data storage system makes historical information readily available and easy
to share with our customers, whether for a single facility or every facility a customer operates.
Viewpoint’s intuitive reporting of robust, cumulative data makes it simple for us to distill trends and
work toward identifying root causes of failure.

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Predictive Maintenance and Reliability Analysis: A Recipe for Savings
There is substantial savings inherent to PdM. By keeping strong records through a Viewpoint system
or a maintenance management system, the ability exists to deliver cost justification for PdM programs,
and can help to calculate ROI. According to the data we’ve gathered from thousands of PdM events, the
cost of recommended repairs is a mere fraction of the millions of dollars that would have been lost by
customers as a result of lost production value during downtime or equipment replacement due to
failure. In fact, these repairs cost can even be challenged by the energy wasted due to inefficient or
failing equipment. Additionally, well-conducted PdM could eliminate the cost of hundreds of
unnecessary maintenance events over time.

Reliability analysis takes savings to an entirely different level. Through program management and
close collaboration, the predictive maintenance group can help manufacturers and processors greatly
increase throughput, reduce the need for maintenance and realize operational efficiency thanks to our
proven assessment methodology and process/product management advice. We make it easy to see how
making tweaks to the way your business operates today will yield undeniable value for years to come.

Choose the Right Reliability Program Approach

When it comes to keeping your operations running smoothly, whether running an in-house program
or outsourcing to a program provider, predictive maintenance is a great investment. Making the right

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decisions on your PdM organization including, staffing, interfacing with other departments, work flow/
work management and inventory management are all keys for success in PdM. For an in-house staffed
program, having the ability to capture and trend the appropriate reliability data within your current
systems and your staff’s bandwidth, should be essential to moving your program to the next level.
Conversely, it is prudent if choosing to outsource the PdM function, to consider the overall value the
vendor provides. A low-cost provider might seem like the most economical choice for PdM services at
first, but further research will likely unveil that they cannot or will not provide value-added reliability
analysis.

Using Kaman Industrial Technologies and Predictive Service’s program as an example, we together
deliver a proactive approach utilizing our data management system, ViewPoint®, reliability analysis and
proactive parts management, to eliminate failures rather than continually predicting them, fully
ensuring the PdM program provides value to the operation. Whether consulting for in-house programs
or our service programs, we combine our expertise in reliability, PdM technologies, engineering,
precision maintenance, training, and supply chain management; including selecting the right high quality
parts to ensure the PdM program is reaching the improved reliability that most companies are searching
for today.

In summary, PdM programs have proven to be a valuable component to a proactive maintenance

strategy. However, if left to the basic program design and not driving the results towards trending the
root causes of problem, it can and will likely resurface in time. It is generally the case that business
operators are not aware of issues with their equipment until it is too late, making it important to
understand fully how root cause analysis, precision maintenance, and proactive parts management
should be a key components in today’s PdM programs.

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 How Cloud Computing will Advance Your Predictive
Maintenance Program
Cloud-based technology enables maintenance departments to collaborate and
share the results of its maintenance and reliability analysis in near real-time and
across entire enterprises

Tim Kelley

Throughout the past year, cloud computing has swept through enterprises in many industries;
condition monitoring and predictive maintenance are no different. Predictive maintenance solutions
within the cloud utilize a broad reach of resources to give more insight into a plant’s overall
performance and the value provided by the maintenance department.

From The Grounds to The Cloud

When a plant chooses to bring its predictive maintenance program to the cloud, it is important to
understand all of the benefits offered through this service along with who will be responsible for the
management and success of these cloud-based systems. Utilizing cloud technologies have resulted in
improved efficiencies within predictive maintenance programs, while ensuring these benefits:

 Centralization- PdM data is centrally stored to improve accessibility by multiple users and
multiple locations
 Integration- PdM actionable data accessible to data exchange with CMMS or other business
systems
 Transparency- Multiple users/visibility to PdM information
 Elimination of IT Costs - All hardware, software, infrastructure, and support costs are provided
from the cloud hosting vendor

Internal analysts within maintenance departments are the employees that continue to play an
instrumental role in achieving the goals listed above throughout the implementation and execution of a
PdM cloud-based model. These employees continue to be responsible for the review of online data,
collection and upload of PdM data to the cloud, as well as using hosted software from the cloud to
perform scheduled data analysis. The exponential advantage is collaboration among analysts internal to
the company, and the ability to collaborate with experts outside the company for confirming or
obtaining more technical opinions of machine anomalies.

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A Conventional PdM Startup or Restart
The decision to implement cloud-based systems and equipment needs to be accompanied with
standard training processes for employees. Companies are often spending more time selecting
equipment than they spend training the individuals running the programs. In most circumstances, PdM
vendors will provide training in which the proper use of equipment and cloud-based analysis programs
are covered. While it is recommended that a Level II certification combined with several years of
analysis experience is necessary for a successful PdM program, it is common place for this important
requirement to be ignored. To ensure continued success with new systems and equipment, it is essential
to sustain continuous educational programs focused on training and best practices. Putting mentors in
place to review the work of analysts that are learning the trade is also highly recommended. These
cloud analysis experts provided by the host, are able to assist in route development, database setup and
management, while providing guidance, system recommendations and machinery training.

Expanding Opportunities
A facilities’ predictive maintenance program going live on the cloud allows for expanded
opportunities involving the collaboration of internal analysis with outsourced experts at multiple sites.
Reinforcing your PdM program with multiple outside expert analysts presents opportunities to compare
results and share best practices and internal resources across facilities without spending on travel
expense. Outside expert analysts are also able to provide on-demand analysis and consultation support
to ensure consistency in practices throughout all of an organization’s manufacturing sites.

Predictive maintenance in the cloud has become more than a best cost and remote data storage and
analysis option, it is here and it is the best option for success within maintenance departments. Through
cloud-based systems, facilities are assured the latest software and hardware technologies, given access
to external experts and have the ability to work off a platform allowing for collaboration across an entire
enterprise.

About Azima DLI

Azima DLI is the leader and premier provider of predictive maintenance analytical services and
products that align with customers’ high standards for reliability, availability and uptime. Azima DLI’s
WATCHMAN™ Reliability Services utilize flexible deployment models, proven diagnostic software and
unmatched analytical expertise to deliver sustainable, scalable and cost-effective condition-based
maintenance programs. The company delivers machine health reliability solutions with global reach that
reduce risk, improve safety, increase production and optimize efficiency. Azima DLI is headquartered in
Woburn, Massachusetts with offices across the U.S. and international representation in Asia-Pacific,
Central America, Europe and South America. For more information, call +1 (800) 482-2290 or visit
http://www.azimadli.com.

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 Secrets to Achieving Lubrication Excellence
Jeremy Wright, Noria Corporation

Have you ever wondered what industry leaders are doing and what makes them the leaders? In this
presentation, the five main attributes of world-class organizations will be revealed. You will also learn
what many companies do wrong when trying to transform to lubrication excellence so you can be sure
to avoid the same mistakes and reap the benefits of becoming a top performer in the lubrication field.

There are five key pillars or core attributes in lubrication excellence that all world class companies
have in common. With a breakdown in just one of these areas it becomes all but impossible for the
company to achieve their goals of reaching the optimum reference state. These attributes are very easy
to define yet most clients struggle with the comprehension of how they work to support a world class
program. The goal of this commentary is to help define, explain, and coach companies to recognize and
focus on these key areas.

People, Training, and Culture

Noria has touted for years the “rights of people”. In brief this means if you want to be successful you
need the right people, with the right training, given the right support, operating within the right culture,
with the right tools, and following the right work plans. If any of these “rights” are lacking, the entire
program will suffer and the work and effort in other areas will be degraded.

Perhaps the single largest opportunity to make lasting change is through training. Few individuals
set out with the sole purpose of “doing a bad job” and appropriate training serves to point already
motivated individuals in the right direction. For individuals dedicated to lubrication, it is recommended
that each of them attend training in machinery lubrication basics. This training should provide much of
the knowledge and skills based information required for these individuals to understand what is
required to achieve excellence in lubrication and will be an important and key component to achieving
“buy-in”. Taking the concept a step further, in a plant truly wanted to be world class It is recommended
the plant adopt a knowledge – and – skills upgrade training plan, not just for those directly responsible
for lubrication, but the entire plant. The material should be tailored to the roles and responsibilities of
each individual – basic awareness and inspections for operators, lubrication application and
contamination control for mechanics, program goals, metrics and performance tracking for
management. Below is a recommendation for training and certification based on job duties.

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 Training and Certification Recommen
ndations by Jo
ob Duties

There
e have been multiple
m case studies that demonstrate
d the power off an educated
d workforce. One
of the mo
ost famous waas conducted by the Amerrican Society ffor Training aand Developm
ment which
d that an annual investment of $625 in training per eemployee yieelded and return of $47,00
concluded 00.
ass organizations commit 10% of annuaal work hour s to training.
World cla

Contam
mination Control and
a Proacctive Main
ntenance
As a consultant
c forr Noria I have
e traveled the e world helpinng companiess solve their lu ubrication
troubles. In almost eve ery case the number
n one loowest hanginng fruit (easieest opportunitty for greatesst
effect of bottom
b line while
w presentiing the lowesst cost in term ms of man pow wer, money, and energy) iis
contamination control. Throughoutt the last few years Noria hhas published d multiple casse studies on the
effect that contaminattion has on th he reliability of
o industrial m machinery. Co ompiling the data from these
studies annd taking a step back to formulate a sum mmary, I’ve cconcluded thaat solid particcles are the
number one
o contributo or to machine ery failure, peeriod. It standds to reason tthat if an orgaanization wannted
to make a lasting difference in term ms of machine ery reliability, controlling tthese particlees should be aat the
top of the
e priority list. This can be achieved
a in th
hree easy stepps:

Step 1: Set Cleanline ess Targets.

ng a cleanliness target is free and easy to
Settin t do. The tarrget should reeflect the reliability goals o
of the
company.. The cleaner the oil is the higher the likkelihood thatt the machinee that containns the oil will have
a longer liife. Careful co
onsideration must be used
d as not to sett targets thatt are not achieevable or crooss
the point of diminishin ng returns.

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Step 2: Take Specific Actions to Achieve the Targets.
The first action item should be to focus on reducing the ingression of the contaminate. It is 10 times
more cost effective to keep the particulate out than it is to take it out later on down the road. This
means concentrating on headspace management (making sure that the system is sealed), cleaning new
drums as they arrive, keeping the lubricant clean as it is being transported from the storage facility to
the component, etc. No matter the amount of precaution taken there will always be a small amount of
contaminant that does find its way to the machine. There must exist a way to remove this left over
“built in” and “generated” debris. This is often as simple as employing quality filtration.

Step 3: Measure Contaminant Levels Frequently.

As with most any other task, if there is something to measure and a way to compare those
measurements, the likelihood of success increases. In the case of particle contamination it is very easy
to measure and control the action items with a simple piece of on-site equipment. A desktop particle
counter may be one of the most useful tools a reliability program can have. They come in a variety of
shapes and sizes from many different manufactures, but the end result for the program is the same. If it
gets measured, it gets done.

Lubricant Selection
Most people assume the lubrication requirements for a specific application can be satisfied by using
general-purpose lubricants. This assumption can no longer be made. the past lubricant selection was
typically based on experience and knowledge and when asked why a particular lubricant is being used,
the answer is typically “that’s what has always been used”. Today, this approach is no longer viable due
to the requirements of the current demanding environments to run faster, longer, and hotter. Machines
and components are no longer designed for general purpose applications. They are being designed to do
very specific functions at specific rpm’s, loads, etc. In most cases this means that the general purpose
lubricant of yesterday may not be the optimum selection today. Today's lubricants must satisfy extreme
requirements that are specific to each application. Just because a machine will run with a particular
product doesn't mean that product is ideal for the application. Most lubricant mis-specifications don't
lead to sudden and catastrophic failure, but rather they shorten the average life of the lubricated
components and, thus, go unnoticed.

Two “traps” that I see a lot of clients falling into are the lure of cheap oil and the false promise of
forgiveness by using expensive synthetics. When attempting to save money, one of the last place to look
(if ever) is the expense of lubricants. Economy formulated lubricants are just that, lower quality, lower
performance, and lower life expectancy. This strategy may save a few dollars in the very short term, but
could cost millions upon millions in the long term with costly machine outages, production loss, more
frequent maintenance, etc. On the opposite end of the spectrum is a practice that I’ve seen a lot of
lately. Plants are attempting to remedy bad lubrication practices by buying the most expensive,
premium lubricants. While there are great and many benefits to purchasing quality lubricants, these
lubricants cannot be used as a band aid to remedy failing programs. Good lubricants and good
lubrication are mutually exclusive concepts, but work in unison.

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The Physical Act of Lubrication
Many companies assume that lubrication is easy. For those of us that have been through the pain of
designing and implementing a program, we know better. Just like the “rights” that were discussed
before when referring to people, there are rights to lubrication. This means using the right product, in
the right quantity, on the right frequency, while using the right procedure. Again, if any part of the
process is lacking, the entire program suffers. It must all be correct.

There are many methods for helping calculate some of these factors. Take for instance frequency for
relubrication. I like to use a method that takes into account operational and environmental influences.
I’m also an engineer so I like calculations and finite answers. I use the following to help determine
frequency for rolling element relubrication:

It takes a lot of work to properly set up a lubrication program. This calculation will need to be done
for every grease lubricated bearing in the facility. Couple that with the calculations for viscosity, film
thickness, additive packages, volume, etc. and multiply that times the amount of components you have
and you are looking at a daunting task. All the effort will be for nothing if it is not captured in the form of
a written procedure or job plan. Not just any procedure will do. The procedure needs to be designed so
that it embodies the optimum reference state for each and every individual piece of equipment. The
procedure should be thorough enough to act as a training device for a person that has never completed
the task. If done correctly, procedures can have an important effect on an organization. When written
clearly and properly, they can help systems and people function better. If your people know what to do,
when to do it, how to do it, and how not to get it wrong, you can reduce frustration and save a
tremendous amount of time, money, and effort.

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Program Metrics and Oil Analysis
Metrics, or key performance indicators (KPI’s), are wonderful management tools. When used
properly, they help managers ensure that the organization’s performance is properly aligned with its
mission and goals. When used improperly, managers become enslaved by the metrics.

In most organizations, upper management holds lower-level managers, supervisors, engineers,

technicians and craftspeople accountable for hitting their targets on KPIs and other metrics. In the right
environment, this can help drive change. In the wrong environment, it can drive otherwise ethical
employees to the point that they are willing to change and misrepresent data in their favor. Who really
wins if the metrics we are using are not as accurate as possible?

Experts agree that the best way to overcome a catastrophic machine failure is not to have one in the
first place. However, those in the maintenance field understand that machine reliability comes at a
price. Inevitably, the more reliable you want a machine to be the more money, time and energy you
must spend on that machine. Monitoring key performance indicators of machine reliability alone may
fail to control wasteful and ineffective expenditures that were half-heartedly intended to reduce failure
and downtime. To the other extreme, initiatives that slash current maintenance expenditures without
considering long-term reliability consequences are just as foolish.

For most companies, you are what you measure. Metrics shape and define an organization. Modern
maintenance strategies involve the deployment of many performance metrics directed at optimizing
machine reliability. A well-conceived maintenance dashboard is a command post of key performance
indicators, some leading indicators (what’s going to happen), and some lagging (what did or is
happening). It broadcasts those measures that are the most important at a macro level but enables
greater detail and specificity on command. A reliability command post should report good news and bad
news in near real time, depending on priority (risk, criticality, etc. The most serious alerts should be
quickly voiced to planners and schedulers to allow prompt interventions to be carried out on the fly.

Managers must be very careful what is measured. Most people are programmed to work to the
metric. Selecting the right mix of metrics has the potential to produce stellar performance. However, if
you make metric mistakes, you sadly risk unrealized goals or even disaster.

When used properly, measurement and metrics can be a powerful asset to managers who are
determined to drive change and improvement and keep things on the right track.

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 Simple Ways to Monitor Lubricant Conditions
Using common senses

Bennett Fitch
Noria Corporation

Let’s say you’re part of the reliability department at the local refinery. You oversee the operations of
well over a hundred pumps and motors, and maybe a dozen or so turbines and blowers. Your supervisor
just walked into your office in the morning telling you to go check on the assets today and make sure
everything is in good condition. After you agree to his request, you print out an asset list and you head
out to make your runs. You’re at the first few pumps and motors and you begin looking at them, they
seem to be operating still, the Trico oilers show sufficient oil, so you check it off your list and head to the
next one on the list. You proceed with this process throughout your entire inspection route; head back
to the office, submit your checked-off asset list and head off for lunch.

Now with this type of asset inspection, do you feel confident your inspections were thorough?
Maybe you do, maybe that’s the way you were taught and things have always been done. In reality it is
common for this type of asset check to occur. Sometimes even with less effort, just a simple “yeah that
asset still exists” check is all that happens. Well this needs to change. What is described below is a few
simple ways you can monitor the lubricant conditions within your pumps, motors, turbines, blowers, etc.
And to take it a step further, a few simple ways to perform a quasi-oil-analysis to help give you clues to
the lubricants health.

Route Checks
When making inspection routes through a plant you have to be able to first work off of what your
senses can tell you; touch, taste, sound, smell, and sight. For health reasons we’ll leave out the
taste part.

Sounds
First thing your senses might pick up are sounds and smells. Assuming you (still hypothetically being
a reliability operative, if you’re not already in real life) recognize the typical sounds of the pumps and
motors around you then you will be able to know quickly if something doesn’t sounds right. It’s easy to
pick up on an atypical clicking, clanking, high pitch, low pitch; they all mean something. Low pitch could
mean misalignment and high pitch could mean overloading. If you hear a distinct click, clack, or rattle,
it’s very likely something is starting to interfere with the internal components and the asset could fail
very soon.

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Smell
Some people have good sense of smell and some have bad sense of smell. So often other people
would walk into the building with me and they could immediately smell something burning while I could
swear there was no smell at all. If you’re blessed (or sometimes cursed) with the strong ability to sense
unusual smells, then use that nose wisely. Clearly a burning smell could be a stark indicator that your
asset is undergoing thermal instability. Furthermore, your sense of smell will be in most use if a small
lubricant sample can be extracted. Lubricant oxidation has been characterized to have a sour and
pungent odor or even resemble the smell of rotten eggs. Other unique odors from the lubricant might
be easy to pick up on may be fuel dilution or refrigerant. Don’t underestimate your sense of smell to
pick up on these scents because they could likely be linked to an undesired contamination.

Touch
The sense of touch can come in handy when analyzing severe vibrations or thermal characteristics.
Machine exterior surfaces can increase to extreme temperatures with unexpected internal conditions;
although I am not recommending touching expected hot surfaces. Unusual vibrations can also be a sign
of misalignment or other internal issues. Again if a lubricant sample is taken, you can test the feel of it
between two fingers to observe such things like hard particles, pasty and sticky textures. If the lubricant
feels hard, pasty, and/or sticky this could be a sign of sludge formation. Where touch might be your
most impractical sense (after taste) in determining lubricant conditions, the next sense, sight, will be
your most useful.

Sight
Fourth and foremost, sight; it might be the most important sense you can utilize during your asset
routes as it comes natural and is fairly effortless. It is very important that visual leak checks are
conducted. Although sometime leaks are expected, others could not be, and knowing what to expect is
half the job here. Sight glasses and level gauges should be the next visual check as they are one of the
easiest to observe. Any change in oil level, sight glass foaming, darkening, hazing, or vanishing on that
glass are all unwanted signs and indicators that there is a serious concern. Bottom Sediment and Water
bowls (BS&W) needs to also be checked for free water, hazy oil appearance, sludge accumulations, or
large wear debris. Depending on your asset type you might be visually seeing some other unusual
characteristics like exhaust, gas smoke, fumes or vapors from unexpected areas

When lubricant samples are taken, doing a quick visual check is very important. Sometimes lubricant
samples can takes weeks to get results back and some critical answers can be given by simply knowing
what to look for in a visual check. A hazy look or even a thick buttermilk look can be a sight of emulsions.
Color changes, why they might be a simple photo catalytic reaction, it could also be a sign of something
more serious like incompatible lubricant mixing, soot, chemical contamination, or oxidation
degradation. An obvious, but important, check is any signs of sediments. Heavy contamination
sediments need to be of immediate concern. Even suspensions such as decompressed entrained air or
fisheyes and steamers appearing on the surfaces are causes for concern.

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Other Common
C Quick and Easy Ways
W to Mo
onitor Lub
bricant Co
onditionss
There
e are several products
p and methods outt there to anaalyze lubrican nts quick and easy. Below iis a
table thatt lists these allong with their testing purrposes. Tests such as blotter tests and p patch tests arre
among the most popular. It can go a long way if a few of thesse simple testts are conduccted when a ssmall
lubricant sample is takken. The best procedure would be to firrst conduct th he checks bassed on your seenses
explainedd above, then when you haave indicted something
s is nnot right, wheether it oxidaation,
contamination, viscosity change, ettc., you can prroceed to usee one of thesee methods ass an immediatte
double chheck to validaate your conccern. You can learn more aabout these teests by takingg a Noria train ning
or from items in the No oria bookstorre online.

Making
g Common Sense a Practice
Our se
enses are ourr primary tools, without th
hem we couldd not accompplish anything. It is imperattive
to know howh to use them to our ad dvantage whe en making assset routes or lubricant sammple analysis. And
it is best when
w they are n simple and easy method s. Just like a d
e mastered in doctor does dduring a visit, he
first make ections before proceedingg to instrumenntal tests. He looks at your nose, ears, and
es visual inspe

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mouth, he feels your neck and torso for anything unusual, and he may listen through a stethoscope for
any unusual sounds in your lungs. Your doctor has been taught to know what to look, feel, and hear for.
Likewise, a reliability engineer should know how to use their senses to pick up on the obvious indicators
to a critical issue. Using this common sense can be your cheapest and most effective way to preventing
the most serious of issues.

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 Proactive Lubrication in Practice

Dale Jones

Several reliability studies have identified that approximately 70% of all equipment failure is
attributed to lubricant contamination. What this is really telling us is that approximately 70% of all
potential equipment reliability gains can be obtained with a proactive lubrication program. One of the
biggest opportunities for increasing equipment up time and reducing maintenance cost is in the field
of lubrication.

What is proactive lubrication? We are all aware of the critical roll lubrication plays in equipment
function, but what is the meaning behind proactive lubrication? Below is a common definition of
proactive:

[Pro + reactive]: acting in anticipation of future problems, needs, or changes.

Given the definition of proactive, I believe it would be accurate to say that proactive lubrication is
the application of lubricants with the intent of reducing or eliminating future failures or faults that could
be addressed through lubrication. This does not mean simply checking fluid levels, performing the
required oil changes and putting a shot of grease in a bearing when it is starting to make noise, but
actively seeking ways to extend equipment life and improve its function.

Most machinery rides on a film of lubrication. Theoretically if we can provide a film of oil that will
never allow metal to metal contact and is free of contaminants that can abrade and wear on opposing
surfaces, the machine should run forever. Well theory is nice to talk about, but we don’t live in a perfect
world. Contaminants do get into oil and we have operating conditions that constantly challenge the
integrity of the lubricants we use. If we refuse to accept the common mentality of good enough and
focus on improving fluid cleanliness, there is big money to saved everywhere!

This article will first discuss filtration, followed by a real life case study supporting the argument that
improved fluid cleanliness is a big hitter when it comes down to cost savings and the bottom line.

Filter Ratings
When considering filtration choices don’t be fooled by the advertising. Filter manufacturers have
one goal, to sell their filters! Salesmen are not commonly concerned about which brand of filter is best
for your application; they are determined to convince you that their brand of filters are the best thing
since apple pie and baseball.

Be careful when looking at filter specifications. Some filter manufacturer’s rate filter performance
with a simple micron rating, like “3 microns”. A rating such as this actually tells the consumer very little
about how the filter will perform in a real life application. Another ploy in advertising is to advertise an

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efficiencyy rating in percent of efficie
ency at a certtain micron. TThe better qu
uality filters are commonlyy
advertised d with a Beta Ratio rating.

Beta Ra
atio
The beta ratio rating of a filter is be expresssed somethinng like this “β β3µ=1000” which means the
o for 3 micron
beta ratio n sized particles is 100. Wh hat this is sayiing is that forr every 1000 p particles 3
microns in
n size, that en
nter the filterr, only 1 will pass
p through. Likewise, if a filter is rated d β3µ=200, fo
or
every 2000 particles 3 microns
m in size
e, that enter the
t filter, onl y 1 of those p particles will pass through the
element. Below is a vissual representation of betaa ratio that efffectively illustrates the m meaning.

(Cou
urtesy of HY-PPRO)

The teest for beta raatio ratings iss effectively standardized, but not abso mean to say is that
olute; what I m
the test caannot emulatte the varyingg operating co ounter in real life applicatio
onditions a fi lter will enco ons,
but it doe
es provide a sttandard for comparison.

To illu
ustrate the siggnificance of beta ration raatings, the foollowing case study is provvided:

The te
est was conduucted on a 3000 gallon rolling oil system
m that is used to flood work rolls as matterial
is passed through a cold rolling mill. The oil drain
ns into an opeen sump and is returned to the reservooir by
a transferr pump. The particle
p countt was conductted in house, through a minimess port,, with an on ssight
particle co
ounter. Both test were takken under sim milar operatinng conditions and are repreesentative off the
average frrom several test
t that were e conducted. The first test report repreesents the perrformance off a

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name brand filter elem
ment with an advertised
a peerformance raating of β3=775 and the seccond test wass
taken afte
er replacing the original element with one
o that has a rating of β3=1000. (The p particle count
representts the number of particles per milliliter of fluid)

Thinking back to when

w d my career ass a maintenannce lubricato
I started or I did not fullly understand the
significance of filter rattings and in no
n way would d not have exppected such a difference b between two
filters with the same micron
m rating. Obviously th
he results idenntify significant disparitiess in the singlee pass
efficiencyy of the two filters.

This presents
p a com mmon proble em for many trained
t lubriccant professio
onals when it comes time tto
order filteers through th he purchasingg departmentt of their com mpanies. If thee call out is fo
or a 3 micron filter,
the purch haser will firstt look for a 3 micron
m filter rating and th en (commonly from presssure to reducee
cost) lookk for the cheapest 3 micron n rated filter they can findd. The problem m is that you commonly geet
what you pay for! In th he above case e study, the β3=75
β filters ccost about $550 each and th he machine takes
6 filter ele
ements per ch hange out, fo or a total channge out cost oof $300. The eelements werre changed seemi
annually, on a scheduled PM work request,r for a yearly total of $600. The β3=1000 filteer elements ccost
around $1 130 each and are changed out 3 times year y (change out intervalss were modified as determ mined
through condition
c base ed monitoring) for a total annual cost oof $2340.00. SSo what is thee company gaaining
for the exxtra annual exxpense of $17 740.00?

Within 6 weeks of implementin ng the filtratio

on system upggrade, the deepartment engineer
approached the lubricaators and askked if we had implementedd the proposeed upgrade yeet? Managem ment
was seeinng a 10% prod duct yield incrrease throughh final inspecttion due to su
urface qualityy improvement,
but could not identify where
w it was coming from m. It was from improved lubricant cleanliness and savves
the $100,,000.00 a ye ear! As an addded benefit, the
t bearings tthat support the work rollls are also
lubricated
d by the rollin
ng oil. Work rooll bearings have
h customaarily been chaanged out at ssix month
intervals, the current set
s of bearinggs have exceeded twice thee life expectaancy and are sstill going stro
ong.

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If this pattern of increased bearing life repeats, there will be a verifiable reliability improvement with a
cost savings of $140,000.00 a year. That is a total savings of $240,000 a year!!

In a nut shell, the purchasing agent can save the company $1740.00 a year by buying cheaper filters,
but a pro active lubrication strategy saved the company just under a quarter million dollars a year by
identifying an opportunity for improvement and spending a little more on filtration.

The above case study is not an isolated occurrence or the largest realized savings we have seen from
employing a proactive approach to lubrication. We have realized significant decreases in mean time
between failures, increases in equipment uptime due to improved reliability and in some instances
product improvement due to better responsiveness from the machines controls.

When initiating a lubrication improvement, please take every opportunity to measure the fluid
condition before and after the modification. Document the gains, work with production, engineering,
purchasing and management to document, implement and measure the improvements. If you can’t
show a gain, you will not invoke the support of your company and there will likely be no opportunity to
prove and advance proactive lubrication practices in your facility. The value of proactive lubrication
practices is largely overlooked and until you can document gains, management will not be able to realize
the value added.

Training
Lubrication is a maintenance trade, without the proper training it is difficult to become proficient
at it. A facility that is serious about equipment reliability will seek to train their lubricators and recognize
the value in a skilled and dedicated lubrication program. From a professional standpoint, seek to obtain
all of the training that is offered. I am fortunate to work in a facility that believes strongly in the value of
pro active lubrication techniques and has eagerly encouraged and supported advanced lubrication
training to anyone that is willing to work at it.

Because of the opportunity afforded to me by my employer, I have benefitted by receiving training

from top notch companies like Noria, Lubrication Training Consultants (LTC), SKF, Chevron University
and The Society of Tribologist and Lubrication Engineers. (STLE) With the training I’ve received, I have
been able to obtain numerous certifications that have significantly improved my knowledge, enhanced
my skill level and helped me to advance within my company. To an employer that may be reading this
article, I would like to say that if you have a maintenance employee who wants to put the extra time and
effort into training and certification, it will likely pay big dividends. If you are an employee reading this
article and your employer is willing to invest in training and certification, jump on it!

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 Tools for Successful Reliability Partnerships
Vendor Selection and Evaluation Matrixes

Ward Bond, Covance Inc.

In the mind of an average layperson, reliability is a concept comprised of the predictable continuous
function of a system. My first exposure to this concept came to me as a teenager in the form of our
family car. Fundamentally, I learned that if I wanted to use the car, I had to perform maintenance on it.
When I joined my company’s reliability team I learned that the reliability of an asset can impact our
company’s overall operations. Our Greenfield site is made up of multiple business units occupying
approximately one million square feet. Each business unit has a group of functions and a unique list of
support requirements which are critical to its continuous operation. The reliability team supports the
function of these critical systems by working with our shops and craftspeople to facilitate those needs.
It was because I was a part of that group that I really begun to understand what reliability is. I also
learned that the reliability of critical systems is very different in scope, yet similar in that most basic
need I understood as a teenager. If you need it to function, it must be maintained as part of a program
of preventive and predictive maintenance.

What determines the criticality of a system can vary widely and may be based on a number of
factors. In the case of our site, it is often the business unit the system supports and to what degree that
systems function may affect life, fire, safety and scientific data. When one seeks to employ the
expertise of a vendor to meet a need for reliability, it is necessary to first evaluate the need based on
system criticality. Once a thorough review and ranking is completed, it is possible to determine what
reliability services are required. When then considering the vendor options available, a selection matrix
can be a valuable tool for evaluating potential vendors, and improving the fit of the vendor to the
service desired..

The Successful Reliability Partnership

All partnerships take effort to establish and maintain. In the case of a reliability partnership this is
especially true. It may be necessary to dedicate a substantial number of hours to determine what the
needs of a single system are. It may even be that the help of an expert will be required to determine
those needs. At the very least it will require the acknowledgement of the level of expertise required and
its availability. In the examples I will give here, I had the advantage of the availability of a staff reliability
engineer, mechanical engineer, and several excellent craftspeople with many years of dedication to
their chosen fields. All of whom I am proud to be a colleague of and support through my work as a
CMMS Administrator. I joined this group as part of an effort by the reliability engineer to reestablish a
reliability program. Our reliability program consists of several teams, each with a leader, craftsperson(s)
and or an SME. The team leader of each group is also a member of the larger advisory reliability group,
and acts there as a representative for their team. The first order of business of the reliability group was

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to perform
m a criticalityy assessment of all assets currently
c tracked in our CM
MMS. Each asset was then n
scored baased upon a predefined
p sett of criticalityy criteria and any correspoonding weightting (multiplieer)
was applied, resulting in a numericaal representation of the asssets criticalitty. It was thiss process of
ranking crritical assets that
t gave me the idea of raanking potenntial vendors vvia a similar mmethod.

I then developed a set of criteriaa by

which we would
w evaluaate vendor
qualities too find the besst fit for a give
en
type of wo ork. Our need d at the time was  Service(s)  Prep
paredness
for vibratioon data collecction and
 Quote  Writtten Commun
nication
analysis. Since
S our staff lacks the
training annd expertise ofo a skilled  Verbal Comm
munication  Expeerience
vibration analyst,
a we soought out a
reliability partner
p to fulfill this need.  Distance to SService Point  Availability
After identtifying a group of potentiaal
vendors a brief discussion was held  Personality  Appeearance
with each, wherein a se et of predefined
questions was presente ed based on our o
criteria andd scope of wo ork documents.
Each discussion include ed three
members of o my team who w provided
their own score for each of the
selection criteria.
c

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1002
 Thee mean of eacch criteria total was then assigned
a as thhe given rank for that criteerion; higher
numbers being the bettter result. Eaach criterion was then rannked by its im mportance as o one through tthe
number inn the list with
h the greatestt number bein ng the most i mportant, an nd a corresponding multiplier
applied. Thusly,
T the most
m importan nt criterion in a list of ten ccriteria would
d have a maxiimum multipllier of
he least would have a multiplier of one or effectivelyy none. I theen developed a comparativve
ten and th
matrix fro
om the data fo or a side by side view and the final rankking. Once th he leading po otential vendo or
was identtified, contracct negotiation
ns proceeded and were finnalized shortlyy thereafter.

We liked the com mparative anaalysis approach so well thaat we agreed to perform further analyssis of
the vendo or’s performaance during th he initial set up
u phase, andd after each sservice intervaal. In this way we
are able to trend changges in the ven ndor’s performance over ttime. Througgh the use of tthis tool we h have
identified a few service e issues, and worked with our vendor tto address theem. An addittional advantaage
t added value of facilitaating feedback to the vend
to using this or a similaar method is the dor. Essentially
this tool iss used for tracking and treending service e performancce.

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1003
 Since we communiicate both higgh
and low trends with ou ur vendors soo they
are betterr able to targe
et our
expectatioons and help us to avoid
unnecessaary changes. Since expensses
are one of the criteria we trend, we e can
also avoid
d vendors who bid low and d
consistently seek addittional out if scope
work. All of which wou uld have an immpact
on the overall satisfacttion score wee
communicate to the ve endors in the
program. This entire process
p aids in
n the
developmment and main ntenance of ana
open commmunication channel
c and helps
h
us to mainntain successful reliability
partnershhips.

The criteria we use ed for evaluattion are based on our speccific needs. EEven though n
not all servicee
types are the same sim milar qualitiess may be obje
ectively evaluaated and trennded over tim
me. So we bassed
our speciffic criteria on these ten basic categoriess.

Sccope of
Work
W Qualitty Comm
munication Regulatio
ons Cost
W
Work

Value
Responsse
Scheduling Work Time Addded Perrsonality
Time
Servvice

e examples off how these te

Some en categoriess are used as a base for critteria creation
n are as follow
ws:

Workk Quality – Re
eport Quality, Quality, Resu
ult, Function of finished prroduct, Fitnesss of design

Sched
duling – Impaacts other sch
hedules, Rework, Met duee date, Met prroject timelin
ne.

If we are willing to subject

s ourselves or our em
mployees to rrigorous perfformance man nagement annd
evaluationn standards, why
w are we willing
w to poteentially acceppt less from our service pro
oviders? Certtainly
the inform
mation we gatther on vendor performan nce is not as ggranular as a performancee managemen nt
documentt used to tracck personal grrowth. But att what point w would we waant to reevalu uate a vendorr’s
status as a service provvider? I say anything
a less than
t averagee is less than u
unacceptablee performancee.

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So I have set the mid-point of all possible scores to be that action point. In a matrix as I have described
with 10 weighted criteria and scoring from 1 – 5, that number is 165. This score is reflected in the
Contracted Services list where we track vendor information and contract expenses. If the value falls too
low the conditional formatting reminds us of the vendor’s performance s score.

PO Value Average Bill

Contract Manager / Contract Remaining
Vendor Name Score Vendor Contacts Phone General Scope Acc. Code PO# PO Value Remaining Per Service Re
Point of Contact Term Term
This Term Interval

Average Joe's Reliability Services 219.25 Tom Tomlinson 800-555-555 Ward Bond Vibration Data collection and analysis 12345 61542 $00,000 $00,000 $0,000 24 23

The use of selection/evaluation matrixes forces us to objectively examine potentials based on real
needs, rather than subjective personal preferences. I believe the inherent process also supports
competition among potential vendors and likely reduces the choice of a vendor based solely upon a past
relationship. After all, isn’t that the point of reliability, to prevent and/or predict failure? Then why
would we accept anything less from our choices.

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 Clear & Bright: Transforming
Lubrication Procedures to Best
Practices at OG&E

1006
 OR:
How I learned to stop worrying
and love the LOQM

1007
 About Me

• Oklahoma Gas & Electric

• Reliability Engineering Supervisor

• 8 technicians covering 23 power generation units
• Vibration, Thermography, etc.
• Recently started LOQM
•US Navy

• Dwight D Eisenhower
• 400 technicians, mechanics, & electricians covering 2
nuclear power generation units
• Vibration, Thermography, LOQM
1008
 OG&E Company History
• Oklahoma Gas & Electric

• Founded in 1902
• Largest Utility company in OK
• 3rd largest company overall after Devon & Chesapeake
• 738,000 customers & growing
• Coal, gas, and wind power generation
• Smart Grid
• More than 90% of customers are on Smart Grid
• 2011 Utility of the Year
• Electric Light & Power magazine

1009
 Reliability Practices

• Strong Areas

• Vibration
• Permanently installed monitoring eqpt
• Monthly checks of all operating eqpt
• Thermography
• Motor Testing (MCE/MCSA)
•Weak Areas

• Lubrication Oil Quality Management & Analysis

1010
 State of LOQM 2011

• Some plants had water chemists draw semi-regular samples on large/vital equipment

• Most plants had a contract of some type with a lab for oil analysis

• No plants had seriously analyzed LO practices in terms of storage, procedures, disposal

1011
 Partnership with Noria

• Evaluation of current practices, hardware, storage, analysis

• Recommendations

• New installed equipment

• Improvements in stowage and handling
• Across the board training
• From the newest operator to the plant manager
•Continued support

1012
 Proof is in the pudding

• Specific examples of equipment failure identified and stopped due to gained knowledge
and technology of LOQM (not all are listed)
• MK6 water in oil issue
• Reduction in numbers of LO/Grease used from 27 to 13, saving in money and misc
storage

1013
 Estimated savings to company

• $$$$$

1014
 Future of Reliability Improvements at OG&E

• 3 of 7 plants have been surveyed for LOQM improvements

• Training budget for current technicians greatly expanded for certification
• Reconsideration of other reliability centered improvements, specifically integration of
online monitoring of vibration, LO, motor current

1015
Questions?

1016
 Two-Tiered Predictive Maintenance Programs for
Multiple Plant Organizations
Brent Miley, Predictive Maintenance Team Leader, Metropolitan Sewer District (MSD) of Greater Cincinnati
Wastewater Treatment (WWT) Division
Jack R. Nicholas, Jr., P.E., CMRP, Self Employed, Sole Proprietor
John Shinn, Jr., P.E., Maintenance Manager, MSD of Greater Cincinnati, WWT Division

Introduction
The Wastewater Treatment Division of the Metropolitan Sewer District of Greater Cincinnati
recently established a two-tiered predictive maintenance (PdM) program. The two-tiered PdM program
has both centralized and decentralized components to serve its seven (7) widely separated plants.

The PdM program plan was developed with internal staff and facilitated by an external subject
matter expert through a series of workshops, plant site visits and personnel interviews. The centralized
component consists of a team of predictive maintenance technicians (PdM team), trained and certified
(where certification requirements are established) in at least one predictive technology, initially. Team
members are encouraged to be trained and certified in additional technologies as their workload
permits, in order to provide backup for each other during absence from the team for vacation, training,
illness or other need. The PdM team members are supported to become as competent as possible in
assigned technologies. The PdM team is centrally based at the largest of the plants and members are co-
located in the same office. Team members have dedicated vehicles for transportation to other plants.
They travel whenever the need arises for routine periodic data collection, post-repair or new asset
baseline data collection or support of maintenance crew members in diagnosis of equipment for more
detailed identification of faults than is possible with tools routinely available to crews locally.

The decentralized component of the PdM program involves local plant maintenance personnel who
receive training and support from members of the PdM team. Local maintenance crew members are
trained to use easy-to-learn and easy-to-apply predictive maintenance instruments. Typically, local crew
personnel can be trained to use them in less than a full workday. These instruments may also be used by
the local crew after problem correction and reassembly to conduct post maintenance testing to confirm
that conditions and performance have been returned to normal.

The presentation will describe:

 Technologies selected and employed at each level of the two-tiered program

 Benefits of a two-tiered PdM Program
 The processes by which the program elements operate
 Means of communication of PdM program information between participants and all
potential users

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  Reasons for and problems encountered while setting up an in-house PdM program (as
viewed by the PdM team leader)
 Possible additional pitfalls to be avoided when trying to establish a two-tiered (or any type
of) PdM program or bring a contractor provided program in-house
 Elements of a plan that can be used to start or convert to a two-tiered (or any type of) PdM
Program.

Background
The decision to establish as internal PdM program at MSD is aligned with the Strategic Maintenance
and Reliability Plan that supports the WWT mission and vision. This plan has six (6) goals and objectives
stated below:

Mission – Preserve process functions so we protect the health of the citizens and the quality of our
environment.

Vision – Maximize plant throughput – treatment, at the most effective cost.

1. Focus on core business. Prevent and correct failures. Reduce special projects.
2. Training – Invest in maintenance and reliability program and specialized training.
3. Communication – Increase involvement and awareness through leadership listening.
4. Reliability – Generate proactive work through improved maintenance strategies and a
living program to improve uptime.
5. Maintainability – Reduce downtime through centralized and decentralized predictive
maintenance program.
6. Plan and Schedule – Planner/Schedulers are focused on the future and capturing
work history.

Fulfillment of goal and objective number (#) 5, above, is the primary focus herein. Goal and
objective #1 above will be positively impacted when the full force of the predictive maintenance
program described below comes into effect. Training for maintenance crews and PdM team members in
various PdM technologies supports goal and objective #2 above.

Additional reasons for deciding to establish an internal, two-tiered PdM capability were to integrate
PdM technologies into the culture, reduce cost, develop core competencies and to reduce the time
between completion of a repair of an asset subject to monitoring with one or more technologies and the
confirmation with post maintenance testing that the repair was successful. This, in turn, hastens the
time when an asset can be restored to service. It is most important to the overall mission of MSD to
have available (to the extent of its designed capacity) all of the equipment needed to process
wastewater in order to protect the health of the citizens and the quality of our environment.

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PdM Technologies employed
The PdM program centralized, first tier employs a full-time PdM team, initially consisting of a team
leader and four (4) team members with mechanical and electrical skills and maintenance experience.
Between them they collect, analyze and/or make other use of data from the following technologies:

 Vibration Analysis
 Infra Red Thermography
 Ultrasonic Analysis
 On-line and Off-line Motor Testing
 Lubricant and Wear Particle Analysis (separately organized and operated as
described later in this paper, but with results visible and available for use by PdM
team members)

Assignment of technologies to individual team members (including the team leader) is based upon
prior experience or previously held PdM technology certification(s). It is expected that team members
will become certified in more than one technology, eventually. This will be a progressive process,
starting with one technology each and after reaching a certain level of competency in it, beginning to
learn to apply and eventually be certified in a second, third or even a fourth. The development of skills in
application of the technologies listed above depends upon not only initial training, but also many
months of application on-the-job. Where certification levels mentioned above are defined (by such
professional organizations as the American Society for Non-destruction Testing – ASNT), the normal
time expected for a person to achieve basic certification (Level 1) is about one (1) year. Another year is
typically needed for a Level 1 certified person to achieve Level 2 certification and yet another year is
required to achieve Level 3. However, learning about how to apply multiple technologies can occur
simultaneously. For example, after achieving Level 1 certification in Vibration Analysis, and while
pursuing Level 2, an individual can begin Level 1 in a second technology such as Infra Red
Thermography. A lot depends upon the number of assets being monitored and defects encountered.
With over 15,000 assets distributed over seven wastewater treatment plants in the Greater Cincinnati
area, MSD offers an ideal environment for PdM Team members becoming certified at least to Level 2 in
multiple technologies in a relatively short time (2 or 3 years). Level 3 certification may or may not be
pursued, since the requirements for certification at that level in most technologies where it is needed,
tend to stress PdM management rather than technology principles and application.

The importance of multiple technology skill acquisition cannot be overstated. Many defects in
equipment and systems provide a variety of indications of their existence, but no one technology can
detect or provide complete, precise definition of all of them. The analysis technique called “correlation”
uses symptoms indicated by two or more technologies (or within the same technology family) to define
and help diagnose more accurately the nature of the problem being detected so that planning for its
correction can be most effectively performed. In most cases planning should begin soon after the defect
is first detected and confirmed at an incipient stage and (ideally) well before complete failure and loss of
asset function.

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 The team uses state-of-the-art, specialized (i.e., vibration, infra red, ultrasonic, etc) vendor-supplied
computer software programs to analyze data collected from assets included in the program and
communicates these findings and related information using a comprehensive, multi-technology
predictive maintenance management software (PDMMS) program described later in this presentation.

The second, decentralized tier of the PdM program involves local personnel whose primary function
is equipment preventive and corrective maintenance. Within MSD, maintenance crews at each plant or
group of (smaller) plants are led by crew leaders. Crew leaders report to supervisors of maintenance,
who typically have the most years of experience in maintenance and who have been selected from the
pool of candidates who have passed civil service exams for supervisory positions.

The technologies employed by local maintenance crew personnel are simpler, less sophisticated
predictive technology tools than those of the PdM Team. These technologies include (but, ultimately,
may not be limited to):

 Vibration Analysis with “green, yellow, red” severity readouts

 Infra Red Thermography “guns” with integrated visual imaging and digital data
transfer capability
 Ultrasonic Testing with Decibel readout and digital data transfer capability
 Laser Alignment Equipment for rotating machines

The three (3) tools listed first above are able to provide in-situ, field indication of degradation, but
have limited diagnostic capabilities. Only alignment tools require in-depth knowledge of how to do more
sophisticated analysis so that corrective measures can be taken immediately. The purpose of all
instruments provided is to empower decentralized maintenance crews to determine, with more data
than their five senses, when equipment condition or performance is normal or abnormal and in some
cases what defects are developing. After completion of repairs, the same instruments should be used to
confirm that asset condition and/or performance have been returned to normal status so it can be
turned over promptly to Operations for use.

Local maintenance crew personnel also support lubricant and wear particle analysis (L&WPA) by
collecting and transmitting liquid lubricant samples and performing lubrication using ultrasonically aided
grease guns as has been done in the past. Laboratory reports of results from analysis of liquid lubricant
samples are directed to each WWT plant for appropriate follow-up action. They are also provided to the
PdM team for use in correlation analysis (with data from other technologies), pattern recognition and
relative comparison analysis across common assets with the same operating profiles in multiple plants.

The L&WPA program at MSD was established over a year earlier than the two-tier PdM program and
has already gained recognition for its success. Rather than integrate a well-functioning L&WPA program
at the development stage of the PdM program, it was decided to keep them separate for the near term.
Only the results of analysis from the outside laboratory to which samples are sent are integrated and
made readily available so PdM team members can use them in correlation with results from other
technologies.

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 The addition of laser alignment tools at the decentralized local maintenance crew level of the WWT
organization is consistent with research findings from the Maintenance and Reliability Center at the
University of Tennessee that shows that shaft coupling misalignment, even when well within
manufacturer allowable specifications, is a major contributor to bearing life reduction and premature
failure.1 Laser alignment has been shown to be more easily performed than earlier mechanical methods
(such as the reverse dial indicator method). This leads to more precise outcomes with fewer labor hours.
Objectives and goals for laser alignment technology are delineated below.

 Maintenance Crews: - To provide the most productive and accurate available tools
for equipment alignment so as to extend bearing and coupling life and overall
asset reliability.

 PdM Team: - No direct goals - since this alignment capability is provided at the
maintenance crew level of the MSD organization. Indirectly, however, rigorous
application of laser alignment will have an impact on equipment reliability by reducing
the number of bearing and coupling failure “finds” reported by the PdM Team and
reducing the overall vibration levels for MSD assets.

The Predictive Maintenance Process

The process of predictive maintenance being conducted by MSD for WWT plants is depicted in the
figure on the next page.

As you view the MSD WWT PdM Process, keep in mind the following:

MSD established three categories for work orders WO’s in order to better track key performance
indicators (KPI’s) for:

 Corrective Maintenance (CM WO’s – unexpected repair or unexpected like-kind

replacement

 Preventive Maintenance Repairs (PMR WO’s) for scheduled preventive maintenance

inspections (non-PdM tests) and related follow-up work to remedy any defects found

 Predictive Maintenance Repairs (PDMR WO’s) for follow-up work to restore degraded
(but not usually fully failed) conditions found using PdM tools in the hands of either the
PdM team or local maintenance crew PdM practitioners.

 PDMR’s appear in both the Computerized Maintenance Management System (CMMS)

and the Predictive Maintenance Management System (PDMMS). The link is the work

1Hines, J. Wesley, Jesse, Stephen; Edmonson, Andrew; and Nower, Dan - “Study Shows Shaft Misalignment Reduces
Bearing Life,” Maintenance Technology Magazine April 1999, pp 11-17

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  order (WO) number which appears in both. Asset numbers, and terminology are
identical in both systems.

 MSD’s WO priority system has five (5) levels – Priorities 1 thru 3 are “routine,” indicating
action can/should be taken within the planning horizon starting in the next week or
more from date of origination. Priority 4 requires action within the current week and 5
(emergency) requires action immediately – either category breaking into and pushing
aside already scheduled work of lower priority, if necessary. A well-functioning PdM
program will yield very few high priority WO’s. This is because, when degradation is
detected at an early stage in its inevitable progression towards complete failure, orderly
planning and scheduling (e.g., when maintenance crew assets are available) and other

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Factors (such as weather forecasts in the event of wastewater treatment facilities) are favorable so that
repairs can be accomplished when MSD personnel, - not the asset – dictate it’s needed.

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 Processes also have been developed for periodic routine PdM data collection, post maintenance
testing, baseline testing and cost avoidance determination.

PdM data collection will be discussed in the latter part of this presentation in a segment prepared by
the PdM team leader. Post maintenance testing is discussed below within the context of a benefit of a
two-tier PdM program.

As described above, baseline testing by the PdM team has been separated from post maintenance
testing. Post Maintenance Testing (PMT) is now done at MSD by the maintenance crews. PdM baseline
data are collected by the PdM team after a successful repair near the beginning of a new operating
cycle, so that trend analysis and other aspects of the more sophisticated PdM software tools can be re-
started. That minimizes delays in returning assets to service.

An important feature of the most successful predictive maintenance programs in any industry,
government agency or utility is the continuous accumulation of cost avoidance data on equipment
monitored. Cost avoidance is calculated by subtracting the actual cost of any repairs performed before
complete failure occurs, because of knowledge applied through use of predictive technologies from
historical cost of repair determined when previously made after complete failure of an asset. The
accumulated values are compared annually to total cost of the PdM Program (including labor and
benefits cost of PdM team, personnel training and certification, contract costs such as for Lubricant and
Wear Particle Laboratory services, costs of computer services and/or software (including upgrades),
calibration and repair costs of the program equipment, consumables, etc., and capital acquisition cost
associated with PdM technology purchases, prorated over the equipment expected life cycles). Metric
integrity is assured because the run-to-failure estimated repair costs and the actual cost data are
provided by maintenance personnel. The PdM Team merely takes the data given and calculates the
difference.

Note that MSD is in the early stages of this process and isn’t attempting to collect cost avoidance
data on all PDMR’s completed. It is determined just for those meeting the threshold value for higher
cost items that, if left unattended, would have run to complete failure. This is done intentionally to
minimize the efforts of maintenance crew personnel and others who are asked to make these estimates
based on their past experience or by researching actual costs from historical data. It follows advice given
by hosts during a benchmarking visit conduced early in the development of the program described in
this presentation.2 Cost avoidance using only the high-cost items has been found to be more than
enough to justify a PdM program in terms of its return-on-investment. Pursuing low cost event financial
data isn’t worth the time and aggravation of those who would be requested to provide it.

The PdM Cost Avoidance Determination Process is depicted in the diagram on the next page.

2 The benchmarking visit was hosted by John Butine, Manager of Field Operations Services Group and PdM team

personnel of The Timken Company at their facilities in and around Canton, Ohio in August 2012.

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1025
Benefits of a Two-Tiered PdM Program
There are substantial benefits to a two-tiered PdM program at both levels. These benefits are over
and above those for a “traditional” team-only or decentralized, non-integrated approaches. Under this
two-tiered arrangement with multiple technologies, the strengths of a highly skilled PdM team with an
array of sophisticated data collection hardware and analysis software suites will be able to support and
collaborate with the maintenance crews equipped with simpler, but sufficiently sensitive tools for
detecting and confirming indications of problems developing in their plants. In addition, after a repair,
maintenance crew PdM practitioners are able to determine with sufficiently sensitive and accurate PdM
tools whether or not recently conducted actions taken were successful. Some of these benefits are
discussed further, below.

o Local maintenance crew personnel are empowered and equipped to declare an asset ready
for return to operational service. A PdM capability provides maintenance personnel with
their own quality assurance tools. This is done by having the local maintenance crews
responsible for post maintenance testing. Post maintenance testing is performed to
determine if a restorative or mitigating task has been successful in fixing any reported
problem(s) as well as to ensure that new problems weren’t introduced in the course of
maintenance. In the event post maintenance testing reveals a condition considered
abnormal (e.g., vibration level not in the “Green” zone or an infra red image shows a hotter-
than-normal or colder-than-expected condition), help from the PdM team can be requested
to define what may have gone wrong during the maintenance performed so that it can be
remedied prior to turnover to Operations. It helps avoid turning equipment over to
operations only to find out that the job isn’t over and that more needs to be done.

o There is division of labor and responsibilities in employment of predictive technologies

between PdM specialists on the PdM team and PdM practitioners on the maintenance
crews. This can pay dividends in at least three (3) ways.
1. The maintenance crews, equipped with simple, but effective tools can do the
post maintenance testing and make the “Go/No-Go” calls with a reasonable
level of assurance of being right. This boosts their confidence and self esteem.
2. Having a two-tiered program helps identify candidates who have the aptitude
and interest in becoming a PdM team member should a vacancy become
available
3. A two tier approach relieves the PdM team of the need to perform this post
maintenance testing task under time constraints (and pressures) needed to
return the asset to service as soon as possible.

Another advantage of a two-tiered PdM program over other approaches is that it provides added
opportunities for cooperation between PdM team and local maintenance crew members. For example,
when baseline testing - by PdM team member(s) - is being conducted, it is highly desirable that the
cognizant maintenance crew PdM practitioner(s) be present with their PdM tools to take readings at the
same time. This very often allows the maintenance crew member to compare readings taken on the

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simpler tools to those taken by the PdM team member(s) on their more sophisticated equipment. This
will educate both groups on each others’ capabilities (and limitations), and enhance future
communications and cooperation.

This is also important when the PdM team brings tools to the plant such as off-line and on-line
motor circuit analysis suites for which the local maintenance crew has few or no comparable, simpler
versions. The ideal arrangement for off-line motor circuit testing is to have any lock-out/tag-out by
maintenance crew (electrical) personnel done just in advance of the PdM team member making up test
lead connections and collecting data. This allows for more rapid data acquisition and minimizes time off-
line for assets being monitored. It also provides an opportunity for maintenance crew electricians to
become knowledgeable about the technology being used, so that when some defect is suspected, the
crew can communicate to the team that a particular capability is believed to be needed to diagnose
the asset.

Means of Communication of PdM Program Information

between Participants
MSD of Greater Cincinnati chose to communicate PdM program information using a securely linked,
web browser – based software service.3 There were several reasons for this decision including, but not
limited to the following:

 Wide dispersal over the geographic area in and around Cincinnati, Ohio of actual and
potential users (maintenance planners, crew leaders, supervisors of maintenance, PdM
team members and senior managers of the Waste Water Treatment Division, the current
PdM monitoring, training, mentoring and certification contractor for vibration analysis and
infra red thermography4 - and in future, hopefully - electric motor and pump repair shops
and other inside and outside repair and support organizations such the lubricant and
wear particle analysis laboratory).
 Concerns from the Cincinnati Information Technology department to allow access by
outsiders through established firewalls to the MSD CMMS or other internally maintained
programs (more on this later in this presentation).
 The overall initiative to increase MSD plant availability, reliability, maintainability and
performance that includes many other (sometimes conflicting or currently developing)
elements, including:

 Upgrading of the Computerized Maintenance Management Software (CMMS).5 It

was determined that while the current and upgraded CMMS could provide some of
the features included in the PDMMS, that there was potential for “bogging down”

3 The vehicle selected was TANGO by 24/7 Systems, Inc., of Knoxville, TN. For details see http://www.tf7.com
4 The vibration analysis and infra red thermography services, training, mentoring and certification support contractor is
IVC Technologies of Lebanon, Ohio.
5 CMMS (MAXIMO Version 4) is being upgraded to MAXIMO Version 7 in 2013, with support from Brown and Caldwell .

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 CMMS with PdM data to the detriment of CMMS performance in handling all CM.
PMR and PDMR WO’s.
 Adoption of revised planning and scheduling processes6
 Continuing Classical Reliability Centered Maintenance and Experience Centered
Maintenance Analysis.7

The PDMMS selected has a number of built-in program metrics and status report features that are
related to the work orders (PDMR’s) originated as a result of PdM program “finds.” These include:

 Dashboard level (pie charts showing percentage of critical (Red – high priority), warning
(Yellow – medium priority), suspect (Blue – low priority) PDMR’s currently outstanding
overall and within each plant)
 Detailed condition reporting features that provide essential information needed by users
to understand where and what problems currently exist in all the plants. The detailed
condition reports provide for easy insertion of PdM vibration and ultrasonic spectra and
related data, infrared and visual images, off-line and on-line motor circuit test results
including graphs, histories and other indicators of degradation.
 Route scheduling and compliance features that show what has been completed by specific
technologies and plants and what is overdue to the point of specific assets being declared
“at risk” for lack of monitoring within scheduled periodicities or actual degraded
condition(s) detected.
 Metrics such as number of PDMR’s opened over time and average days to close by month,
mean time between “failure” – defined in this case as detected, degraded condition(s)
meeting the threshold for PDMR WO initiation – as well as actual cost of repair verses
what the estimated cost would have been if the asset been allowed to run to complete
failure (discussed earlier in this presentation as the cost avoidance metric) used to
determine “return on investment (ROI)” of the PdM program.
 Repair histories (failures and repairs) for individual equipment and equipment groups
being monitored for all assets within the scope of the PdM program as well as most
frequent, most recurring and most costly modes of “failure” per the above PdM-based
definition.
 Tracking of actions required to eliminate or mitigate causes of failure (that are separately
determined from Root Cause Analysis and Defect Elimination processes that are operated
outside of PDMMS).

An immediate benefit of the availability of the web-based PDMMS was the adoption by the vibration
and infra red monitoring (and training and mentoring) services contractor of its use instead of the
quarterly reporting vehicle previously employed for MSD. While the previous method was well received

6 Under the guidance of Richard (Doc) Palmer, P.E., CMRP of Richard Palmer & Associates, author of the Planning and
Scheduling Handbook published by McGraw-Hill Inc.,
7 Under the direction of Anthony M. (Mac) Smith, P.E., of AMS Associates, Inc., with Tim Allen, CMRP, of Granite Reliability

Group, LLC, a number of analyses have been completed in the past four (4) years, many recommendations from which are
in process of being implemented.

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by users of report content, the web-based findings were more easily accessible to users granted access
to the PDMMS and actually cost less for the monitoring contractor to enter than the reporting vehicle in
replaced. This immediately reduced the cost of the on-going monitoring contract. In addition, the data
on vibration and infra red (from the contractor) were thereafter located in the same place as findings
from ultrasonic analysis and on-line and off-line motor circuit testing (from PdM team and in some cases
the maintenance crews and planners). Further to this end, lubricant and wear particle analysis
laboratory results, previously transferred into the monitoring contractor’s earlier reports are now
entered into the same web-based PDMMS reporting vehicle as is all other PdM information. Currently it
is transferred by PdM monitoring contractor personnel. Ultimately, it could be entered directly by
lubricant and wear particle analysis laboratory personnel.

Reasons for and Problems Encountered in Switching to an In-House PdM

Program (As described by the MSD WWT PdM Team Leader)
While most companies are satisfied with the performance of their out-sourced PdM program there
are some of us that recognize they have a pool of in-house talent that in time and with training can do it,
that budget cuts and pressures have forced limiting, reducing or defunding PdM contracts and/or they
just aren’t getting the desired results for the time and
dollars expended.

My experience in our move to an in-house program is a mix of the above. Using local maintenance
crew personnel, we have been doing ultrasonic analysis and on and off-line motor testing for several
years to help complement our contractor managed vibration and infra red (IR) thermography program.
The problems at MSD (assigning no fault to our contractor) were with PdM data collection, correlation,
communications (particularly feedback and follow-up on PdM initiated work orders) and planning
and scheduling.

For point of reference it should be known that our contractor has no access to the in-house
technology and CMMS databases. This is because of strict firewall maintenance imposed by information
technology (IT) managers who enforce security measures needed in today’s potentially hostile and
sometimes dangerous cyberspace environment. This makes correlating data very difficult or impossible
for those outside the firewalls. All in-house technology databases were run by our planners who issue
work orders based on the red (urgent) or yellow (suspect problem) status described as a result of the in-
house testing but without much internal analyzing. The planners also handled writing the work orders
from the quarterly PdM report (provided under our earlier program via a file sharing service) from the
contractor. Opportunities for data correlation were often overlooked or too difficult to perform by those
not trained and dedicated to doing so.

Our former program operated under a pretty basic plan. We had the contractor perform vibration
analysis and IR thermography on a quarterly basis on assets deemed “critical” to the waste water
treatment process. An asset list was sent out the week before contractor quarterly visits. The week of
their visit to a large plant, during the first one or two days, they would collect data on all running
equipment. The second or third day it was up to operations to switch “missed” equipment so it will be

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running the last days of the week of data collection. Smaller plants took less time. While some of you are
saying, “That sounds like a decent plan,” there are some out there that can see all the inherent flaws it
took us years to try to correct and for which we had to devise “work-a-rounds.”

Not having in-house PdM technicians skilled in even basic vibration analysis and infra red
thermography became problematic almost immediately after the start of the contractor-based PdM
program several years ago. If critical equipment was unable to be switched by Operations (for any
number of - sometimes mystical - reasons) that piece of equipment was missed until the next quarterly
contractor visit (or longer) to that plant. To be fair, when any equipment is first brought on-line in a
WWT process stream, it sometime takes days to get the whole systems “settled” and running smoothly
again. Or, if a piece of equipment only runs during the wet season, let’s say, and it doesn’t rain that
week the contractor is there, we miss an opportunity to collect data. There are many difficult-to-
overcome scenarios that I can come up with, but I’m sure you get the idea.

Delays in post maintenance testing (PMT) was another issue we had. When the contractor identified
a problem, the in-house maintenance crew would make the repair. Well, how do we know if the
reported defect was corrected? We couldn’t let a machine that wasn’t repaired properly run (or remain
idle) for full quarter before PdM readings were taken! We decided we would call in the contractor to do
PMT and, if satisfactory conditions were found, to take new baseline readings before turning it over to
Operations. It could take a couple days to get the contractor to the asset to be tested, results analyzed
and reported. But, in developing that process we discovered that we were calling them in for PMT on
only one item several times a month. That started to get pricey, according to management thinking. So,
we built another work-a-round to minimize cost. We would call in the contractor when we had more
than one asset ready for PMT. Well, this put us right back in the same sinking boat; we just had to use a
bigger bucket to bail.

After several years of trial and error, and countless meetings about “improving” the program, it was
decided that we needed an effective in-house PdM capability.

MSD engaged an individual with over 40 years of PdM experience to guide us in this most recent
PdM program development.8 After an initial survey of what already existed and what was working and
what wasn’t, a five year plan outlining tools, training, software, workflows and budgets was developed.
What came out of that was a two tiered system of low-end and high-end PdM technology tools and
users serving all of the seven plants within MSD of Greater Cincinnati.

High level tools (vibration analysis suites, IR thermography tools and analysis software, ultrasonic
analysis devices and associated software and on-line and off-line motor circuit analysis suites) were
placed in the hands of PdM team members selected from the in-house maintenance crews based on
their past experience and aptitudes. Previously, motor circuit testing had been carried out by
maintenance crews, but with highly variable results. Again this was because of crew personnel turnover

8The individual engaged was Jack R. Nicholas, Jr., P.E., CMRP an independent consultant and co-author of 10 books on
maintenance subjects, including Predictive Maintenance Management published by Reliabilityweb.com

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and the need for substantial training and field experience in order to become proficient in use of the
equipment and to perform proper interpretation of data from testing.

The PdM contractor supports a training, mentoring and certification program with appropriate
milestones, number of hours and courses needed to make the team fully capable in vibration analysis
and infra red thermography.

Quarterly contractor visits for monitoring became quarterly “shadowing” sessions where initially the
PdM team would observe the data collection process and learn the basics of the technologies in which
they were ultimately going to become certified. After one or two quarters, the PdM team started
collecting the data - with the mentoring assistance of the contractor in some cases. Getting to this point
was a huge milestone in the program. Instead of missing a lot of equipment each quarter the PdM team
collects data on the missed equipment throughout the quarter, sends the data to the contractor for
analysis and entering findings into the PDMMS. The PdM team initiates work orders in the CMMS for
crews to repair and conduct PMT. This more relaxed but complete approach to data collection has been
well received by Operations as it is less aggravating then the earlier method.

Vibration meters, simple infra red (IR) “guns,” fairly sophisticated laser alignment tools, simple-to-
learn ultrasonic detection devices were acquired after some research by crew leaders. They selected
from the many available tools in the marketplace those that are best suited for waste water treatment
assets and maintenance crew personnel who would be assigned as PdM practitioners. Ultrasonic sensor-
aided grease guns had been acquired previously and had been used by local maintenance crews for
some time. This was continued. Sophisticated ultrasonic analysis devices previously issued to the
maintenance crews but not used very much because of their complexity and crew member turnover
were transferred to the PdM team. An existing, well run and managed outside laboratory supported
lubricant and wear particle analysis program remained in the capable hands of local maintenance crews
and their planners.

Maintenance crew PdM practitioners who received the simple-to-learn tools (that require only a day
or two of training) began using them to conduct PMT after corrective repairs of degraded conditions
found by the contractor and the PdM team.

Note: I cannot stress enough how important it is to have people with the desire and drive to make the
PdM program work both within the PdM team and the local maintenance crews.

Our average time to complete PDMR work dropped from over 73 days down to 6, a huge
improvement. The graph below shows real data indicating progress as of end of 2012 only six months
after the PdM team was formed and four months since local maintenance crew initial training began.

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 Annual alignment PM’s were developed and workflows made to get baseline readings on newly
installed equipment and rebuilds or major repairs. Once alignment is completed a task is created for the
PdM team to acquire new PdM baseline readings.

After the newly formed team was in place, a predictive maintenance management software
(PDMMS) contract was established to allow MSD personnel engaged in the PdM program manage and
correlate data from all the PdM technologies resulting from efforts of the team, outside contractor and
maintenance crews. All routes in CMMS were inactivated and put into the PDMMS for condition
assessment tasks. Asset identification and descriptions used in the CMMS were duplicated exactly in the
PDMMS, to minimize confusion of users of both programs. Some minor customization was done by the
PDMMS contractor on their software to allow for entry of data needed for cost avoidance metrics.

The PDMMS is web based and operates outside our computer network firewalls. However, because
it operates outside of the firewalls, some manual transfer of data (such as work order numbers, etc.,)
between CMMS and PDMMS must be done. This requires daily effort on the part of PdM team
members. Hopefully this will be remedied (or mitigated) when the upgraded CMMS is fully functional.
Other features of our PDMMS are described in more detail earlier in this presentation.

Happily, outside contractor9 personnel supporting the CMMS upgrade previously mentioned were
on site when the PDMMS was activated. They helped transfer PdM “route” data with the exact plant
asset identification and hierarchy into the PDMMS so that they “mirrored” each other. This eased the
administrative burden the team (and particularly the team leader) had to bear in order to get the in-
house PdM program up and running. The administrative burden remains high, however, because of the
increased number of PdM “finds” which our advisor warned us is normal during the first year or more
after startup of a PdM program. There are many other office and team related duties, such as

9 The CMMS upgrade from MAXIMO 4 to MAXIMO 7 is being supported by David Evered and other experts on MAXIMO
from Brown and Caldwell.

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attendance at meetings with various personnel at all levels of MSD, that interfere with team leader
training, mentoring and gaining field experience with the technologies assigned.

Classroom training by the monitoring contractor and technology vendor instructors along with In-
field training and mentoring is proving to be invaluable. Once hours of on-the-job practice are met,
certification in the assigned technologies is required. This is overseen by a Level 3 PdM specialist from
the outside contractor providing vibration analysis and infra red thermography services until the PdM
team takes over completely. After 2 years all PdM team members are expected to be at least Level 1
certified in at least two technologies. In some cases Level 2 can be achieved in one or more areas.

In my opinion the most important part of a two-tiered PdM system is the involvement of the local
maintenance crews. Instead of an “almighty” PdM team coming out and telling them what to fix and
whether they did their job correctly, it’s more of a Unified Theory approach. The PdM team says (via a
PDMR work order) “Hey, we found this, can you let us know when you corrected it?” The local
maintenance crew goes out, troubleshoots the problem, makes the repair and checks it with their low
level PdM tools. This gives them experience with the technologies and gets them involved with the PdM
program. This, in turn, helps change the maintenance crew from a reactive mindset to a proactive
mindset. Instead of hearing a pump making noise and tearing down for rebuild they are more likely to
grab their low level tools and try to further define the source of the noise so that a simpler (and less
costly and time-consuming) repair can be made instead of a costly rebuild. If they need more
sophisticated diagnosis, the mechanism is set up for quickly getting PdM team support. After repairs are
complete, the crew can do its own post maintenance testing, because the PdM tools they selected are
sensitive enough to give them assurance they are making the right calls. The crew can then immediately
notify Operations that the asset is ready for use.

After notification via the CMMS that the asset is ready for operation, the PdM team can schedule
baseline data collection individually through Operations or incorporate the data collection in the next
scheduled “route” to be run that includes that asset at a particular plant, if that is coming up sooner.

The vast improvement in the overall program can be seen in the increase of PdM work per quarter.
In the first quarter alone there was an increase 9% in proactive work, partially because the PdM team is
adding assets to the monitoring routes as they see the need under a new definition of what is “critical”
to have available within MSD plant to fulfill its mission and what assets should be added to reduce the
cost of repairs through early detection of degrading conditions. Thus, more assets are being monitored
and more issues being found as a result.

We are less than one year into our five year plan and I can’t wait to see what the future holds.

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Possible Additional Pitfalls to Be Avoided When Trying to Establish a
Two-tiered (or any type of) PdM Program or Bring a Contractor Provided
Program In-house
If your organization has an established contractor provided PdM program that you want to bring in-
house, it should be done only after careful analysis of expected benefits and problems that are likely to
be encountered. For example, it takes a long time for PdM technicians to become proficient in some
technologies (particularly vibration analysis and infra red thermography). Other technologies, such as
ultrasonic analysis, may be easier to learn. Actually having a competent PdM contractor already engaged
with your assets will make the transition to an in-house program easier and quicker, if the contractor is
willing and able to train and mentor your personnel in the technologies already being applied. If the
contractor has Level 3 specialists, they can also help with certification in their specialty areas, if this is
important to your organization. It should be noted (and many PdM services contractors will attest to
this) that most attempts to bring a PdM program in house fail sooner or later, not because of the
contractor, but because of internal factors and issues such as personnel turnover and failure to select
personnel suited to the practice of predictive maintenance. The factors and issues include but not
limited to:

 PdM candidates’ lack of computer literacy,

 Candidate inability to learn complex PdM technologies
 Lack of appreciation by managers, supervisors, team candidates and co-workers of the
difficulty of achieving competency in a complex PdM technology
 Failure of managers and co-workers to appreciate that while a fair portion of a PdM
technician’s work is done in an air conditioned, comfortable, office-like setting in front
of a computer and much of the rest of the time in the field is with fancy electronic
packages (rather than wrenches, hammers and screw drivers) that the job is every bit
as demanding as those of maintenance crew personnel
 Failure to create and maintain current a PdM program master plan (discussed in the
next section of this presentation)
 Failure (of management – same for all other items below)) to establish and defend over
the long term an adequate budget for all aspects of a PdM program
 Failure to educate and orient management, supervisors and co-workers on the benefits
of a PdM program to them collectively and individually
 Failure to continuously calculate financial justification (return-on-investment) and
document other tangible and intangible benefits of a PdM program in order to see its
true worth year after year
 Failure to provide for retention of PdM technicians after they become competent in
assigned technologies
 Failure to establish a succession scheme for PdM team personnel who retire or who
will move on to jobs having greater responsibility when the incentives or time is right.

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 The last item above is particularly important. If the ideal candidate(s) are selected for a PdM team,
management must expect that sooner or later at least some of them will be able to move to better
paying, higher level positions, also. Ideally this will be within the current organization, where they
should become “champions of PdM.” In the worst case they leave with only a two week notice and go
elsewhere, and it takes months to identify novice candidates or hire partially experienced or even
certified replacements and get them up-to-speed. In the meantime, monitoring languishes, reliability
may decline and, if its true worth hasn’t been documented, the PdM program may be abandoned. This
can result in declines in availability while the maintenance strategy reverts to more costly approaches
such as reactive maintenance.

To mitigate this risk, MSD will continue to have a relationship with the PdM contractor to support
the program when required.

Another pitfall to avoid is deciding that a PdM program can be done-on-the-cheap. For example,
simpler, easy-to-learn PdM technology tools are acquired, but more sophisticated suites are never
applied, even with contractor support. In such cases the diagnostic and long term analysis capabilities of
advanced PdM software and the full potential of a comprehensive PdM program are not realized.

Or (as occurred at MSD) sophisticated and costly PdM tools are acquired and put in the hands of
maintenance crew personnel who were given training they didn’t apply soon after the classes (so they
lose the benefit of it), or had too few opportunities (in small plants with few assets) to learn on-the-job
how to apply them or were transferred to other duties not including use of the tools upon which they
had been trained.

In choosing a PdM mentoring organization it is important to assure the advanced technology

hardware and software suites with which mentors are familiar (especially for vibration analysis and
motor testing but less so for infra red thermography and ultrasonic analysis) are as close as possible to
what will be acquired for use by the in-house team. This simplifies the mentoring process by limiting
learning to the team, rather than both parties.

Consultation with the contractor currently providing PdM monitoring services may help in the quest
to select the right vibration, infra red thermograph and other technology suites for the in-house
program. As a general rule, monitoring contractors select for their own use packages that are the most
productive and efficient in meeting both their needs as well as those of their customers. They may also
be able to help by providing insight on how good high-end hardware and software vendors are at
providing post-sale customer support, an important factor at all stages of development of an in-house
PdM program.

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Elements of a Plan That Can Be Used to Start, Create Major Change such
as Bringing In-house and/or Convert to a Two-tiered (or any type of)
PdM Program10
The quote “Failure to plan is planning to fail,” is widely attributed to publisher, inventor, statesman
and signer of the Declaration of Independence, Benjamin Franklin. The advice it provides is as applicable
to a predictive maintenance program as any other important initiative. Below is a list of items that are
recommended to be addressed in what at the Metropolitan Sewer District of Greater Cincinnati is called
the Predictive Maintenance Master Plan,
Within the body of the plan –

 Program Overview and How It Meets Maintenance Strategy Goals and Objectives
 Predictive Maintenance Team Description and Responsibilities
 Predictive Maintenance as Practiced by Others in the Organization (e.g., local
maintenance crews)
 Predictive Maintenance Processes
 Overall
 Data Collection
 Post Maintenance Testing
 Baseline Data Collection
 Predictive Maintenance Cost Avoidance Determination Process
 Predictive Technologies to Be Employed - Overview – Details in Annexes to the Plan
 Predictive Maintenance Report Management & Communications
 Including Publicizing Program Accomplishments
 Key Performance Indicators – For Overall Maintenance Program and Its PdM Portion
 Predictive Maintenance (5 Year) Budgets for:
 Analysis and Communications Computers, Software (including PDMMS) and
Peripheral Equipment - Printers, Smart Phones, Tablets, etc., - As Required,
Depending on Geographic Area and Number of Plants and Assets to Be Covered)
 PdM Hardware and Software Acquisition/Replacements/Upgrades
 PdM Hardware Calibration and Repair
 Training, Mentoring and Certification
 Contractors Such as for Lubricant and Wear Particle Laboratory Services

10See Nicholas, J. R. and Young, R.K text entitled Predictive Maintenance Management 3rd Edition (2007)
published by Reliabilityweb.com

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  Transportation (e.g., Dedicated Vehicles as Required)
 Consumables

Annexes to the plan should be provided for each technology as well as for training and certification
of each team member and any other participant(s) to be engaged in predictive maintenance. For
example, the following annexes are provided in the MSD PdM Master Plan:

 Vibration Analysis
 Infra Red Thermography
 Ultrasonic Analysis
 Off-Line and On–Line Motor Testing
 Lubricant & Wear Particle Analysis
 Laser Alignment Tools
 Predictive Maintenance Management &
 Communications Software (PDMMS)
 Individual Training Plans for PdM Team Members
 Group Training Plans for Decentralized local Maintenance Crew Members

Annexes provide details for employment of technologies and goals and target dates for training
courses and certification of PdM program participants employing the technologies for as far into the
future as possible (2 to 5 years).

Accompanying the plan (but not necessarily included within it) should be an action item check list
that includes all tasks needed to accomplish what’s in the plan for the next 3 to 6 months.

Depending upon the amount of effort involved to reach goals of the plan and obstacles or barriers
encountered, the plan will have to be revised. In the first year this may be required quarterly or more
often, the second year every six months and thereafter at least annually or with key personnel changes
(e.g., training plan for new PdM team member or addition of a new technology).

Summary: A two-tiered PdM program applying multiple technologies has advantages for some
organizations, especially for those serving multiple plants dispersed over a wide geographic area and/or
where semi-autonomous maintenance crews are employed.

Consideration should be given in all types of PdM arrangements (team only, decentralized or two-
tiered) to have PdM program management and communications separate from CMMS especially where
“at risk” status of assets subject to PdM monitoring and KPI’s related to the program are important
enough to be tracked.

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 Starting up from scratch or bringing in-house a PdM program being conducted by outside
contractor(s) has benefits and many pitfalls that can be avoided by learning what’s in this presentation,
given that it is done for the right reasons.

Developing a plan for what’s to be accomplished is as important for a predictive maintenance

initiative as it is for any other “game-changing” program startup or major change.11

11Acknowlegement: Aside from the co-authors and others already mentioned in footnotes to this paper, the PdM
program described would not have been possible without the active involvement and participation of the following
people at various stages in its development to date:

From MSD of Greater Cincinnati - Andrew Bass, David Bargerstock, Charlie Becker, Christopher Bingham, Aaron Conley,
Kevin Cunningham, Michael Duffy, Seth Featherston, Tom Goodman, Rick Hamant, Nancy Harrison, Jerry Hood, Rob
Johnson, Pat Kane, Steven King, Samuel Klontz, Mark Koch, Will Leveridge, Doug Little, Logan Little, Jeremy McCleese, Tim
McGrath, Richard Meade, Brent Merwin, Robert Metz, Zeno Perry, Robert Pfirrman, Andrew Sampson, Larry Scanlan, Glen
Smith, Matthew Smith, Robert F. Smith, Daniel Soukup, Eric Stevens, hardworking staff at MSD, MSD Executive Director
Tony Parrott, MSD Deputy Director Biju George, and Don Linn WWT Superintendent.

From outside MSD: Pete Epperson, Steve Smith and trainers from IVC Technologies; Sam Paske from Brown & Caldwell
and now with CH2M Hill; John Fortin of C2HM Hill; Jaclyn Gandee, subcontractor to Brown & Caldwell; Forrest Pardue
from 24/7 Systems, inc.

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 Using a Team Approach to
Achieve Maintenance Excellence:

Case Study: Autonomous Maintenance

Machine: Auto Tapper
Team: Auto Tappers

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Overview
 My Company: Toyota Boshoku America
 Lean, TPS & TPM
 Autonomous Maintenance
 Why TPM? WIIFM?
 7 Steps of Autonomous Maintenance
 Hidden costs of maintenance
 Team contributions
 Defect tags
 Output/Results
 Closing comments
 Wrap-Up and Q&A’s

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 TOYOTA BOSHOKU

• TOYOTA BOSHOKU AMERICA is a leading manufacturer of seats,

door trim, headliners, filtration systems and other interior
components. Founded in 1918 as the first Toyota Group Company,
TBA is committed to the innovative design of products.
• Toyota Boshoku aims to continue developing as a company that
contributes to society and grows in harmony with our local
communities as a good corporate citizen. We have instituted the
Toyota Boshoku Fundamental Principles so that we may continue
to enjoy the trust of our shareholders, investors, and all other
stakeholders. We shall fulfill our corporate responsibilities
through company activities based upon these principles.
• As a Tier 1 supplier for Toyota, Toyota Boshoku has several plants
across the US, Central/South America and Canada.
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© copyright <Riad Ardahji >

MAIN PRODUCTS

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© copyright <Riad Ardahji >

OUR PRODUCTS

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© copyright <Riad Ardahji >

TB Americas

1044

© copyright <Riad Ardahji >

 Total Productive Business Process
Continuous SPC/ Maintenance
Error Proofing Re-Engineering
Improvement Quality Control

Visual Factory

Waste (Muda) Continuous Flow

Elimination
5S Quick Setup

Tower Lights
Variation QS9000
Reduction
Jidoka
TS16949
1045
 Best Quality- Lowest Cost-
Shortest Leadtime, Best safety, High morale

Lean Mfg. Jidoka

Right product, People & Teamwork Quality built-in
right volume, Auto stop
Right time Andon
Takt time Person-Machine
Continuous flow separation
Pull system Visual Controls
Quick Change Error-Proofing

Waste Reduction
Leveled Production (Heijunka)
Stable & Standardized Process (TPM)
Visual Management
Toyota Way Philosophy
1046

© copyright <Riad Ardahji >

What Gets In The Way?
What prevents you from having
equipment that runs perfectly
100% of the time?

1047

© copyright <Riad Ardahji >

• The whole organization involved in equipment related
problems
• A new way of looking at equipment and its
effectiveness
• Cross-functional teams involved in design,
improvement and care of equipment
• Recognition that equipment effectiveness helps
achieve:
– Quality improvement
– Tighter delivery schedules
– Faster new product development
– Increased productivity

Total Organization Approach

1048

© copyright <Riad Ardahji >

A fundamental change in corporate culture that
includes:
• A partnership between operators, maintenance, engineering and
supervisor in the design, management and care of equipment
• Standardization and flexibility as key elements for all equipment
related issues
• Continuous reduction (or elimination) of equipment related loss
• Continuous improvement of equipment to increase availability,
efficiency and quality and the Overall Equipment Effectiveness
• Continuous improvement of all people through increase in
equipment knowledge and technical skill
Total Productive Maintenance1049

© copyright <Riad Ardahji >

Old Attitude
• I operate, you fix
• I fix, you design
• I design, you operate
• I fix you break
TPM Attitude
• We are all responsible for equipment care and
increasing overall equipment effectiveness.

TPM is a Paradigm shift

1050
12
© copyright <Riad Ardahji >
 Definition
Autonomous maintenance is
defined as increasing
independence of the
operators to maintain the
machine ………..

“MY MACHINE”!

1051

© copyright <Riad Ardahji >

TOTAL PRODUCTIVE MAINTENANCE
• Companywide • People involved with • Maintenance at the
• All people equipment: “Equipment source
should never break down” • Autonomous
• All processes
• Overall Equipment Maintenance
• All losses eliminated Effectiveness • Maintenance Prevention
• All equipment • Fundamental Improvement (design change)
• All suppliers • Minimum Life-Cycle Cost • Preventive Maintenance
• Maintainability
Improvement

Total Productive Maintenance 1052

© copyright <Riad Ardahji >

• Zero unplanned downtime

• Zero defects

• Zero speed losses

• Zero accidents

• Minimum life cycle cost

TPM Goals© copyright <Riad

1053
15 Ardahji >
• Equipment that runs perfectly when scheduled
to run – OEE > 85%
• Equipment that is flexible and can easily be
adapted to meet changing customer needs
• Standard inspection, cleaning and PM checks
that are performed on schedule and constantly
reviewed and improved
• Preventive and Predictive Maintenance
techniques practiced routinely and constantly
improved

Maintenance Execellence Vision

1054

© copyright <Riad Ardahji >

 TPM Vision (cont’d)
• People who thoroughly understand TPM and
their role in equipment care and who
constantly increase their equipment
knowledge and technical skill
• An organization that makes equipment care a
key priority and schedules for it
• A disciplined practice of documenting and
correcting abnormalities when they occur, and
making improvements every day
1055

© copyright <Riad Ardahji >

• Minor defects: rust, dirt, play, wear, slack, deformation
• Unnecessary objects: parts, tools, tape, piping, wiring and
equipment
• Contamination sources: powder, liquid, steam, gas, washing
water, hydraulic fluid, oil, grease, metal and plastic particles
• Inaccessible places: hard to operate, clean, inspect,
lubricate, tighten
• Sources of Quality defects: foreign matter, and process
defects
• Operation Malfunctions: abnormal noise, overheating,
vibration

Equipment Deficiencies 1056

© copyright <Riad Ardahji >

Purpose
The purpose of autonomous maintenance is for the
operators to:
• Maintain their equipment by:

– Performing daily checks, lubrication,

and minor repairs
– Replacing defective parts
– Taking precision measures
– Detecting abnormalities at an early
stage
• Work in partnership with maintenance, engineering and
supervisors to increase overall equipment effectiveness

1057

© copyright <Riad Ardahji >

Seven Steps to Implement Autonomous Maintenance...
One Perform Initial Clean up all dust, dirt and other
Cleaning contamination in and around equipment.
Two Address Detect and repair/replace defects in
Contamination equipment. Implement improvements
Sources (counter-measures) in equipment to
promote accessibility and
maintainability. Reduce source or
impact of contamination, and time for
cleaning and lubrication.
Three Establish Develop standards (routines) to
cleaning & support regular cleaning and lubricating
lubrication activities.
standards
Four Inspect Train, establish, and conduct inspection
Equipment procedures to detect specific changes
in condition.
1058

© copyright <Riad Ardahji >

Seven Steps to Implement Autonomous Maintenanc

Five Improve Conduct cleaning, lubricating, adjusting,

process inspecting and minor repair.
knowledge
Six Improve Improve organization and orderliness
workplace of equipment and equipment area.
organization
Seven Conduct Develop policies, goals, and objectives.
Autonomous Apply continuous improvement. Record,
Management analyze and improve reliability data
(i.e., MTBF, MTTR). Improve
equipment design.

1059

© copyright <Riad Ardahji >

 No
Develop Conduct Organize
Yes Create
Core Group Readiness Ready? Awareness
Support
of Supporters Assessment Structure

Improve Maintenance Excellence Storeroom Control

Measures
CMMS
Planning & Scheduling
PM & PdM
Excellence Structure & Control

Develop Equipment Improvement EI Teams

Operations
Engineering Maintenance
Root Cause Analysis
Teams Track & Analyze OEE

Develop Autonomous 5S
7 Steps of Auto Maint
CLAIR
Theory of Operation
Maintenance Standardization

Develop Training Job Aids Job Task Analysis

Single Point Lesson Plans
Processes
Develop Early Equipment Design Cross-Functional
Teams
Start-up Control
Tracking LCC
Management 1060
Database of Issues Maint Prevention Design

© copyright <Riad Ardahji >

 Steering Committee Implementation Team Equip. Improv. Team (EIT)

 Strategic oversight  Local tactical &  Improve OEE

 Link to business operational oversight  Address sources of
goals  Coordinate resource contamination
 Coordinate needs and sharing  Create and improve
resources
 Link to departmental machine care standards
 Remove obstacles
goals  Initiate and maintain visual
 Rewards and
recognition  Support and monitor controls
local TPM efforts  Develop action plans for
 Support and
monitor  Perpetrate the growth of machine improvements
TPM  Track and display progress

1061

© copyright <Riad Ardahji >

 The Ultimate Goal of TPM

Maintain equipment “like new” or

“as designed”.

1062

© copyright <Riad Ardahji >

 The Five Building Blocks of Maintenance
Excellence
• Improving machine Equipment Autonomous • Cross Functional
reliability and Improvement Maintenance Team involvement
efficiency Teams (EITs) in equipment care

Training & Skill

Development • CMMS
• Store room
• Involving Equipment Maintenance • Planning & sched.
stakeholders in Management Excellence • Preventative maint.
the purchase • Predictive maint.
• Work order control
Team-Based Improvement
• Improving skills
1063

© copyright <Riad Ardahji >

Types of Breakdowns...

FUNCTION
LOSS
(Sporadic)

FUNCTION
REDUCTION
(Chronic)

1064

© copyright <Riad Ardahji >

 Function Loss (Sporadic) Is...
• Infrequent or unusual
events that cause a
sudden breakdown or
obvious loss of quality
requiring remedy
through restoring the
normal condition.

• The key to correction is

restoration (getting it
back to its original
condition).
1065

© copyright <Riad Ardahji >

 Function Reduction (Chronic) Is...
SSSSSSSSSSS…
• Frequent, often subtle
events that occur
repeatedly at a certain
accepted level requiring
remedy through
changing the normal
condition (as chronic
loss is the normal
condition).

• The key to correction is

innovation.
1066

© copyright <Riad Ardahji >

Types of Breakdowns...

Sudden Failure
FUNCTION
Random
LOSS
Visible
(Sporadic)
FUNCTION Hidden
REDUCTION
Expected/Ignored
(Chronic)
Minor Impact

1067

© copyright <Riad Ardahji >

The Six Big Losses & OEE...
Availability Losses
1. Equipment Failures (breakdowns)
2. Set up and Adjustments (changeovers)

Performance Losses
3. Idling and Minor Stoppages (hang-ups and jams)
4. Reduced Speed (running equipment below design speed)
Quality Losses
5. Process Defect (defects and rework)
6. Reduced Yields (scrap and machine start-up losses)
1068

© copyright <Riad Ardahji >

 OEE Loss Structure...

Total Time (52 wks/yr; 7 days/wk; 24 hrs/day)

Shutdown
Run Time
Losses
Downtime PM’s
Operating Time No production
Losses scheduled
Speed Breakdowns No material
Net Operating Time Minor stoppage avail.
Losses Training/Meetin
Setups &
Valuable Oper. Quality Running slow changeovers g
Change wire Breaks/Lunch
Time Losses Undocumente Machine No operator
d upgrade avail.
Scrap
-idling Waiting other
Rework
-stoppage

1069

© copyright <Riad Ardahji >

Autonomous Maintenance Workshop

• What we will be doing.

– Model the seven steps of autonomous
maintenance.
– Model an equipment improvement team.
– Create awareness of improvements.
– Learn by doing... Working on equipment.

1070

© copyright <Riad Ardahji >

 Seven Steps to Implementing
Autonomous Maintenance…
Step Name Description

Perform Initial
One Clean up all dust, dirt and other contamination in and around equipment.
Cleaning

Address Detect and repair/replace defects in equipment. Implement improvements (counter-

Two Contamination measures) in equipment to promote accessibility and maintainability. Reduce source or
Sources impact of contamination, and time for cleaning and lubrication.+

Establish cleaning &

Three Develop standards (routines) to support regular cleaning and lubricating activities.
lubrication standards

Train, establish and conduct inspection procedures to detect specific changes in

Four Inspect Equipment
condition.

Improve process
Five Conduct Cleaning, Lubricating, Adjusting, Inspecting and minor Repair.
knowledge

Improve workplace
Six Improve organization and orderliness of equipment and equipment area.
organization
Conduct
Develop policies, goals and objectives. Apply continuous improvement. Record,
Seven Autonomous
analyze and improve reliability data (i.e., MTBF, MTTR). Improve equipment design.
Management

1071

© copyright <Riad Ardahji >

• Decide on roles (leader, co-leader, recorder,
safety officer)
• Select a team name
• Develop vision and mission statement for the
week (where are we going and what will we
do?)
• Primary goals for the week (targets)
• Set team rules

1072

© copyright <Riad Ardahji >

Agenda Day 1
– Team formation
– Introductions
– Lunch
– Agenda
– Equipment evaluation
– Course objectives
– Basics of TPM  View equipment
• Rational/what is TPM  Run equipment
• Why TPM  Identify lock-out
points/plan
• Benefits
– Maintenance excellence  Discuss safety specific to
– Hidden costs/life cycle costs machine
– EIT’s  Identify guard removal
 Discuss machine
documentation availability
– Close out meeting
1073

© copyright <Riad Ardahji >

Agenda Day 2

– Review of learning – Lunch

– Autonomous maintenance – Team coordination/activity
• Seven steps • Initial cleaning
– Step one: cleaning • Defect identification
• Cleaning – Close out meeting
• Safety/cleaning precautions
– Team coordination/activity
• Steam cleaning

1074

© copyright <Riad Ardahji >

Agenda Day 3

– Review of learning – Lunch

– Autonomous maintenance – Team coordination/activity
• Seven steps • Countermeasures list
– Step 2: countermeasures • Defect prioritization
• Examples • Painting
– Lubrication/tool basics
• Tightening/repair
– Team coordination/activity
– Close out meeting
• Cleaning/defect
identification
• Tightening/repair

1075

© copyright <Riad Ardahji >

Agenda Day 4
– Review of learning – Team coordination/activity
– Autonomous maintenance • Cleaning/lubrication/ins
• Seven steps pection standards
– Step 3: standards • Visual controls
• Cleaning/lubrication/
• Countermeasures
inspection
– Step 4: inspection
• Tightening/repair
– Lunch
• Daily checks/operator
– Team coordination/activity
inspections
• 6S area
• Visual controls
– Step 5: improve process knowledge • Countermeasures
• Job aids • Adjusting/tightening/re
– Step 6: workplace organization pair
• 6s’s 1076
– Close out meeting
© copyright <Riad Ardahji >
Agenda Day 5
– Review of learning – Preparation for presentation
– Autonomous maintenance – Presentation
• Seven steps • Team
– Step 7: conduct autonomous name/charter/members
management • Defect list
– Team coordination/activity • 3-key repairs
• Complete open activities • Standards
• Display board • Open issues
• Develop job aids (single point) • Key learning
• Adjusting/tightening/repair • Resource needs
– Lunch
• Display board
• Summary
– Close out workshop
1077

© copyright <Riad Ardahji >

 Expectations for this training
• Your time is valued to the team, your normal duties should not
interfere with this teams activities during the week (please
inform the facilitator if there is a problem)
• All actions are to be completed or planned and scheduled by
Friday
• Have fun and be truthful so we can change our culture!

1078

© copyright <Riad Ardahji >

 Why Are We Here?
• To Benefit
– As individuals.
– As families.
– As a company.
– As a community.

1079

© copyright <Riad Ardahji >

Total Productive Manufacturing Is a Means to
Increase Profit for Everyone
By maximizing our equipments
effectiveness

1080

© copyright <Riad Ardahji >

 Course Objectives

• Understand the need for TPM

• Learn the logic TPM is base on
• Organize a team & apply the team process
• Experience cleaning as inspection
• Develop equipment care standards
• Design and/or install countermeasures
• Fix defects.
• Improve the way we care for our equipment
1081

© copyright <Riad Ardahji >

 Basic Concepts...
• What we will address.
– History.
– TPM is defined as...
– Goals.
– Benefits.
– Real cost of maintenance.
– Foundation of TPM.

1082

© copyright <Riad Ardahji >

 History of TPM in America...
TPM has evolved through a series of steps

Breakdown Maintenance...
Preventive Maintenance….
Productive Maintenance…
Total Productive Manufacturing

1083

© copyright <Riad Ardahji >

 TPM definition…

TPM is a process to improve

machine reliability and
efficiency, by involving all
employees in the care,
purchase and improvement of
equipment.

1084

© copyright <Riad Ardahji >

 TPM Is...

• A common sense approach

• Used in thousands of companies world-
wide
• Depends on measurement, therefore,
improvement is evident

1085

© copyright <Riad Ardahji >

 What TPM Is Not!
 A maintenance program...
• It is an operations improvement process!
 An event...
• It is a process!
 A means to reduce head count...
• There is plenty of work to be done!
 A quick fix...
• It takes 5 plus years to achieve world class TPM!

1086

© copyright <Riad Ardahji >

 Goals...

• Zero safety losses

• Zero defects
• Zero breakdowns

1087

© copyright <Riad Ardahji >

 Benefits…WIIFM

• Individuals
• Maintenance
• Organization
• Community

1088

© copyright <Riad Ardahji >

 Benefits for Individuals...

• Safer environment
• Better equipment availability and reliability
• More input on equipment issues
• More training = more abilities = more
marketable
• Better relationships with other departments
(maintenance – production)
1089

© copyright <Riad Ardahji >

 Benefits for Maintenance...

• Improved working conditions

• Better trained mechanics and higher levels of
expertise
• Less fire fighting
• Free up maintenance to perform higher
functions
• Better relationships with other departments
(maintenance – production)
1090

© copyright <Riad Ardahji >

 Benefits for the Organization...

• Improvements in safety, quality and productivity

• More planned and preventative maintenance
• Improvements in inventory utilization
– Easier to meet delivery needs
• Increased equipment life span
• Improvements in production capacity =
increased productivity = increased profit $

1091

© copyright <Riad Ardahji >

 The Real Cost of Maintenance Is Hidden...

•The 3 that are measured • The ones that are not…

•Maintenance Materials •Equipment availability
•Maintenance Labor •Lost Production Capability
•Maintenance Overhead •Equipment Life Cycle Cost
•Production Overtime
•Idle Production Personnel
•Scrap and Rework
•Late Deliveries
•Lost Customers
•Untold frustration & aggravation
•Low morale

1092

© copyright <Riad Ardahji >

Cost of Compressed Air
This chart shows the cost per year of wasted electrical horsepower required to
replace the compressed air leaking out of the hole sizes listed below:

Size of CFM at 90 CU/FT Per Cost in Dollars Per Year

Leak PSIG Year
$.20/100 $.30/100 $.40/100

3/8” 152 79,900,000 $15,980 $23,970 $31,960

1/4” 66.6 35,500,000 $7,100 $10,650 $14,200

1/8” 16.9 8,880,000 $1,776 $2,664 $3,552

1/16” 4.2 2,220,000 $444 $665 $888

1/32” 1.1 553,000 $111 $166 $221

Based on 8,760 operating hours per year.
Cost and HP shown per year on one cylinder!
1093

© copyright <Riad Ardahji >

 Cost of Oil Leaks
Add in a factor of 4 for disposal and labor

Leakage Rate Loss Per Loss Per Loss Per Year

Day Month
Gall Dollars Gallons Dollars Gallons Dollars
ons
One Drop/Second 1 4 33 132 410 1,640
Two Drops/Second 2 8 67 268 821 3,284
Three Drops/Second 3 12 102 408 1227 4,908
Five Drops/Second 5 20 171 684 2045 8,180
Stream Breaking to 24 96 730 2,920 8760 35,040
Drops
1/16 Inch Stream 84 336 2554 10,216 30660 122,640
1/8 Inch Stream 268 1,072 7908 31,632 94900 379,600
3/16 Inch Stream 336 1,344 10220 40,880 122640 490,560
1/4 Inch Stream 936 3,744 28470 113,880 341640 1,366,560
1094

© copyright <Riad Ardahji >

 Foundations of TPM...
Principles of deterioration...
can be prevented! Most breakdowns are a
result of deterioration and deterioration can
be detected as a change in condition...

Point of Failure

Point of Corrective Action

Condition
Point of Noticeable Change

Time

1095

© copyright <Riad Ardahji >

Foundations of TPM
Deterioration Impact...
100
90
80
70
60
50
40
No preparation for work
30
20
10
(more downtime)
0
Wk Wk Wk Wk Wk Wk Wk
 More parts deteriorated or
6 5 4 3 2 1 0 damaged (increased material
cost)
Planning starts before equipment  Emergency (more overtime)
is down  Quick fix more likely
Less downtime
Less parts deteriorated or damaged
Better solutions (no quick fix)
Less man-hours (less overtime) Planned

Less expensive materials Unplanned

1096

© copyright <Riad Ardahji >

PHYSICAL PSYCHOLOGICAL

1097

© copyright <Riad Ardahji >

 The Auto Tapper Trappers…
Team Members
• Tim Mast (recorder) •Leader/ Facilitator:
• Doug Ringler Scott Hill
• Steve Rosson •CoLeader/Facilitator:
• Jeff Goff Fred Fleming
• Vic Ridenour •Champion: Ray Ardahji
• Jim Vanhauken

1098

© copyright <Riad Ardahji >

1099

© copyright <Riad Ardahji >

1100

© copyright <Riad Ardahji >

 Why this machine?
• Rate for Auto Tapper is 160-200/hr.
Before ACW machine was getting 50-60%
Overall machine availability
Last 8-9 months machine has been down using alternate routings
adding labor cost
– Alternate routing
• Tapping in 510 is 424/hr. (1 operator)
• Assembling leveler in 410 is 95-255/hr.
(1-3 operators)

1101

© copyright <Riad Ardahji >

G2273

1102

© copyright <Riad Ardahji >

G2274

1103

© copyright <Riad Ardahji >

G2275

1104

© copyright <Riad Ardahji >

 Safety
• Always remember to practice safe work habits.

• Use common sense.

• Know where your exits are in case of fire, and the

appropriate meeting place in case of inclement
weather.

• Work under safe working conditions.

1105

© copyright <Riad Ardahji >

 A.C.W. Charter 8/16/2010

• Rebuild Auto Tapper to build cost effective products

• Improve the reliability and efficiency on Auto Tapper,
resulting in higher up time and production, better
quality, and improve working environment.
• Mission; We will work as a team to learn and
implement the steps of autonomous maintenance
needed to achieve our vision.

1106

© copyright <Riad Ardahji >

 Goals
1. Clean to identify defects.
2. Achieve increased efficiency Through the A.C.W. and T.P.M.
process.
3. 0 Accidents.
4. Learn about the equipment.
5. Develop a plan sustain the gains.
6. Work as a Team.
7. Better understanding of the T.P.M. process.
8. Replace / repair all defected parts.
9. Update as much as possible.
10. Accountability for sustainment

1107

© copyright <Riad Ardahji >

 Cleaning
• Cleaning is the cornerstone of TPM

Clean to Inspect Inspect to Detect

Detect to Correct Correct to Perfect

Perfect to Protect!
1108

© copyright <Riad Ardahji >

Team inspection and game plan!

1109

© copyright <Riad Ardahji >

POWER WASHING the Machine

1110

© copyright <Riad Ardahji >

 Cleaning under machine

Floor before Floor after

1111

© copyright <Riad Ardahji >

Cleaning the Machine one part at a time

1112

© copyright <Riad Ardahji >

Painting

1113

75 Ardahji >
© copyright <Riad
Ray we don’t have time for ballet

1114

76 Ardahji >
© copyright <Riad
 Defect Tags
• Complete tags for
each and every
defect.
• Do not group
similar defects onto
one tag.
• Attach orange tag
to point, or nearest
point, of issue.

1115

© copyright <Riad Ardahji >

 Defect Tags
• Turn white tag into the recorder
for defect to be documented.
• Once defect is repaired then
the two copies will be mated
back together and saved.
• We will tally these defects
together throughout the week
and figure a defect completion
percentage.

1116

© copyright <Riad Ardahji >

ACW Defect Tags

1117

© copyright <Riad Ardahji >

#
1
Defect tag log sheet
Ticke t #
82172
Proble m
fix electrical conduit
Zone
electrical
Sta tus
√
W ho
Steve
2 82424 new shuttles Vic
3 82425 new air lines air √ Steve
4 82426 mount new leveler install motor mechanical √ Steve
5 82427 new fan cover electrical √ Jim
6 82433 replace cylinder mechanical √ Jim
7 82434 move oil reserve mechanical √ Vic
8 82435 new lower plate mechanical √ Doug
9 82436 repair air valve (5) air √ Jim
10 82437 replace air valve (3) air √ Jim
11 82438 loose bolts long conveyor √ Steve
12 82439 missing bolts long conveyor √ Steve
13 82440 chain guard falling off long conveyor √ Steve
14 82441 part catch falling off long conveyor √ Steve
15 82442 electrical counter broke √ Steve
16 82443 repair conduit √ Jim
17 82444 repair conduit √ Jim
18 82445 replumb entrance air air
19 82446 missing electrical plugs electrical √ Jim
20 82447 new air lines air √ Steve
21 82448 new air lines air √ Steve
22 82449 replace shock mechanical √ Jim
23 82450 replace shock mechanical √ Steve
24 82451 replace cylinder mechanical √ Jim
25 82452 replace cylinder mechanical √ Jim
26 82453 replace cylinder mechanical √ Jim
27 82454 replace rack mechanical √ Steve
28 82455 replace cylinder mechanical √ Vic
29 82456 replace cylinder mechanical √ JIm
30 82457 new air lines air √ Steve
31 82458 repair air valve (7) air √ Jim
32 82459 replace cylinder mechanical √ Jim
33 82460 remount cover to tapping head mechanical √ JIm
34 82461 replace cover with filter style electrical cabinet √ Jim
35 82462 clean conveyor conveyor √ Steve
36 82463 paint conveyor conveyor √ Steve
37 82464 clean conveyor conveyor √ Steve
38 82465 paint conveyor conveyor √ Steve
39 82466 replace missing bolts conveyor √ Steve
40 82467 replace missing bolts conveyor √ Jim
41 82468 paint guards guards √ Vic Jeff
42 82662 replace gear mechanical √ Jim
43 82663 replace cylinder mechanical √ Jim
44 82664 replace bearing mechanical √ Jim
45 82665 replace bearing mechanical √ Jim
46 82666 replace clevis mechanical √ Jim
47 82667 replace clevis mechanical √ Jim
48 82668 replace clevis mechanical √ Jim
49 82669 replace alignment coupler mechanical √ Jim
50 82670 replace alignment coupler mechanical √ Jim
51 82672 replace shock mechanical √ Jim
52 82673 replace side plate mechanical √ Team
53 82674 replace wire connector electrical √ Jim
54 82675 replace cylinder mechanical √ Vic
55 82676 replace cylinder mechanical √ Vic
56 82677 replace shock mechanical √ Jim
57 82678 replace cylinder mechanical √ Steve
58 82679 replace cylinder mechanical √ Steve
59 82680 replace shock mechanical √ Jim
60 82681 replace cylinder mechanical √ Jim
61 82682 replace cylinder mechanical √ Jim
62 82683 replace shock mechanical √ Jim
63 82684 replace cylinder mechanical √ Jim
64 82685 replace cylinder mechanical √ Jim
65 82705 replace valve
1118 air √ Jim

© copyright <Riad Ardahji >

 Team in Action!

• One hole at a time!

Hammer
Time!

1119

© copyright <Riad Ardahji >

Team at Work!

1120

© copyright <Riad Ardahji >

 Machine
Improvements
• What countermeasure can we add to machine
Auto Tapper to improve…
– Access (Guarding, Pallets, etc)
– Cleaning time (chutes)
– Inspection time
– Lubrication time (lube lines to outside)
– Repair time
– Robust Machine (Motor shaft, higher grade
materials for pallets)
1121

© copyright <Riad Ardahji >

 Machine
Improvements • AFTER
• BEFORE

Changed guard to Lexan (plexiglass) so operator can see better

1122

© copyright <Riad Ardahji >

 Machine
improvements
• BEFORE • AFTER

Chip collector under pallet at

Chip collector under machine
tapping station
1123

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Machine Improvements

Quick change removal of pallets

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86 Ardahji >
© copyright <Riad
 Machine Improvements

• BEFORE

Added chip shield to protect valves

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 Machine Improvements

Moved valves to protect from chips

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 Machine improvements

• BEFORE • AFTER

Shaft change diameter from 3/8 to ½” to prevent bent shaft.

1127

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 Machine Improvements

Filter on electrical box to keep dirt out.

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 Countermeasures

Proper operating Locate grease lines

range. into one location.
1129

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Picture is worth a thousand words

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ACW

1131

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If you do not schedule time
on your equipment for planned
maintenance, your equipment
will schedule that time for you!

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 TPM

Code
Item Daily/ Weekly/Bi- Weekly/ Monthly Machine/ DAY

Shift
Freq
checks. Section 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22
1
I once/shift tapper 2
Check tap head oil level
3
1
1 check for oil leaks once/shift machine 2
3
1
2 check for air leaks once/shift machine 2
3
1
3 check main air gauge PSI once/shift machine 2
3
1
4 check air gauge PSI shuttle stop once/shift machine 2
3
1
5 check air gauge PSI load door once/shift machine 2
3
1
6 check air gauge PSI LSP Minster once/shift machine 2
3
1
7 check air blow off at tapper once/shift tapper 2
3
1
8 inspect for loose or broken bolts once/shift machine 2
3
1
9 Inspect guarding once/shift guarding 2
3
1
10 check air line lube once/shift machine 2
3
1
11 clean machine once/shift machine 2
3
1
12 2
3
1
13 grease bearing for pivot arm weekly machine 2
3
1
14 2
3
1
15 grease shuttle bearings changeover shuttles 2
3
1
16 2
3
1
17 2
3
1
18 2
3
1
19 2

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Cleaning Standard

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 PM Inspections
• Typically generated by computer (CMMS)
– Syndicate uses Mainsaver
– Checks are performed weekly, monthly, quarterly, bi-
annually, etc…
• Inspections which produce a work order based on
failures found
• PM’s are based on:
– Manufacturers recommendations
– Equipment breakdown/failure history
– Discussions with service technicians for personal
recommendations
– Sometimes – “Trial and Error”
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ITEM: AUTO TAP LEVELER
PM SSF No. 4347
SN: IN HOUSE L&P No. 333441
MODEL:
DEPT: 570

OPER. FREQ. CHECK- OK

NO. CODE PREVENTATIVE MAINTENANCE OPERATION X -SEE NOTE

ELECTRICAL

E-1 2 INSPECT WIRING DISC / BREAKER

E-2 4 INSPECT ALL SWITCHES FOR DAMAGE
E-3 4 INSPECT ALL CONDUIT AND SEALTITE FOR DAMAGE
E-4 4 INSPECT ALL PUSH BUTTON CONNECTIONS AND FOR DAMAGE
E-5 4 INSPECT ALL PUSH BUTTON LAMPS
E-6 2 INSPECT ALL TERMINALS FOR TIGHTNESS
E-7 4 INSPECT DISCONNECT FOR PROPER OPERATION
E-8 2 INSPECT ALL CONTACTS ON RELAY--WIRING TO RELAYS
E-9 2 INSPECT ALL SOLENOID VALVES
E-10 4 INSPECT TOUCH LIGHT FOR DAMAGE AND PROPER OPERATION
E-11 4 INSPECT ALL ELECTRICAL BOX COVERS

MECHANICAL

M-1 4 INSPECT AIR CYLINDER AND VALVES FOR AIR LEAKS AND CONDITION
M-2 4 INSPECT ROLLER BEARINGS ON SADDLES AND GREASE
M-3 2 INSPECT HYDRO FOR LEAKS
M-4 2 INSPECT ENDINES
M-5 2 INSPECT V RAILS FOR WEAR
M-6 2 INSPECT V ROLLERS TO SEE IF THEY ARE LOOSE AND ADJUST AS NEEDED
M-7 4 INSPECT NUT DRIVER IF WORE AND REPLACE
M-8 2 INSPECT AUTO TAPPING HEAD FOR PROPER OPERATION / SETTINGS
M-9 4 INSPECT GEAR BOXES
M-10 2 INSPECT ALL BELTS
M-11 2 INSPECT FRAME / WHEELS
M-12 4 INSPECT FOR ASSET NUMBERS

LUBRICATION

L-1 4 INSPECT AUTO LUBE

L-2 4 GREASE BEARINGS ON ALL FOUR SADDLES
L-3 4 GREASE FLANGE BEARINGS ON SWING ARM

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PARTS LIST (1 at machine 1 in asset folder)

1137
Tracking Our Results using KPI
AUTO TAPPER Good parts Rework Scrap Maintenance time Downtime/Changeover

week of _________

Monday

1st

2nd

3rd

Tuesday

1st

2nd

3rd

Wednesday

1st

2nd

3rd

Thursday

1st

2nd

3rd

Friday

1st

2nd

3rd

1138
• Doing Kaizen means taking waste out of all processes
to increase the value-added portions …..not reducing
headcounts

• The work of an employee is to manage a PROCESS,

not a product. Controlling the process will give us the
results we want for Quality, Cost and Delivery

• We cannot afford to continue being FIREFIGHTERS …..

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• When we change our PARADIGMS, we go back to zero. It is not fun, but that’s
what we’re asking everyone to do for the good of the people and this
organization.

• When you leave here:

– put on a new set of eyes… identify & eliminate waste

– Talk with internal & external customers

– Review you work standards, create or update them

– Be supportive of Kaizen activity; participate in projects or Gemba events when the

opportunity arises

• Your actions will influence our culture and yours for the future

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ROOT CAUSE ANALYSIS

Eastman Chemical’s
Success Story
by Gary Hallen and Robert J. Latino

D
uring 1997, senior management at Eastman Chemical Co. realized
the level of customer complaints had not shown significant reduc-
tion during the previous few years.
This was troubling, particularly given the company’s strong history of
continually improving performance in its processes. Furthermore, one of
the key objectives of Eastman’s customer complaint handling process was
to investigate and identify the cause of complaints. Evidently the complaint
investigations were not as effective as expected.
This was disturbing. The cost of customer complaints can be significant
and manifests itself in:
• Lost business when customers switch to other suppliers.
• Costs associated with investigating and responding to complaints.
Eastman has saved about $2 million from reducing its complaint han-
By the river: Eastman Chemical’s dling costs and cutting expenses associated with problems such as
sprawling facilities along the Holston waste and rework caused by off quality product or incorrect paper-
River in Kingsport, TN. work.
• Claims paid and credits given to compensate customers for added
costs caused by Eastman’s off quality product or paperwork.
A team was appointed to study the complaint investigations occurring
at Eastman, which is headquartered in
Kingsport, TN. The team discovered most
complaint investigations were not getting to
In 50 Words the root (organizational) causes. Rather, most
Or Less
had stopped after learning who caused the
problem. Consequently, the corrective action
• Customer complaint investigations weren’t getting to root causes. plans typically were written along the lines
• Logic trees proved more effective than fault trees in determining of, “We’ll pay more attention in the future,
we’ll be more careful, and we’ll try harder.”
what actually went wrong. Customer complaint advocates and
• After root cause analysis, complaint numbers dropped by half. complaint investigators at company sites
worldwide recognized they clearly needed
• That and indirect benefits led to bottom-line results. appropriate methodology to more thoroughly
identify the root causes of complaints. Only
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50 I JUNE 2003 I www.asq.org
 Teamwork: An Eastman team
in a classroom setting.
Logic Tree
Basics
Logic tree development
then could appropriate actions be taken to eliminate the causes of recur- starts with the known facts
ring problems. about the event (top block)
and then works back to identi-
First Steps
fy the cause and effect rela-
Eastman turned to the Reliability Center Inc., Hopewell, VA, to help devel-
tionships that lead to the
op a root causes analysis (RCA) training course for its employees worldwide.
One of this article’s authors, Gary Hallen, was Eastman’s customer com- occurrence.
plaint manager at the time. He received the train-the-trainer instruction in Each level, top to bottom, in
Hopewell in February 1998. During the remainder of 1998, he trained more a logic tree depicts a cause
than 300 people collectively representing every Eastman site worldwide. and effect relationship by ask-
Additionally, complaint reduction through defect prevention was made ing, “how can?” The Baytank
a corporate initiative involving considerable management support
events described later in this
throughout the entire organization. This support, of course, provided
needed focus to the effort. article utilized the experience
Extensive measurement was the basis of this corporate initiative and of Baytank team members
allowed progress to be studied in terms of the number of complaints per trained in root cause analysis
million shipments (parts per million shipments or ppm). Each plant site to provide the expertise to
adopted this measurement. answer the questions (form
The established goal was to achieve half the level of 1997 complaints
hypotheses).
through defect prevention over a three-year timeframe. There was a lot of
monitoring, and positive reinforcement was provided where appropriate. Once the hypotheses are
Training covered three key concepts associated with RCA methodology:1 developed, each must be sup-
1. RCA uses a structured logic tree process to identify and verify hypoth- ported by hard data, not
eses with data and uses a diagram approach as much as possible. A hearsay. Using this approach,
logic tree is the graphical expression of cause and effect relationships you drill down each leg until
that lead to an undesirable outcome. Unlike a fault tree, which is tradi-
you find errors in decision
tionally used for mapping out what could go wrong, a logic tree helps
determine what did go wrong. Patience and discipline are stressed. (See making that are based on
“Logic Tree Basics.”) flawed organizational systems
2. It goes beyond the human cause and identifies the process, system, or latent roots.
latent or organizational causes. Only by eliminating these root caus-
es can the probability of recurrence be significantly reduced or elimi-
nated.
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QUALITY PROGRESS I JUNE 2003 I 51
ROOT CAUSE ANALYSIS

3. It doesn’t stop at the first root cause found, but Two Cases
keeps digging deeper to identify and eliminate Two examples show how Eastman effectively
the multiple causes. Problems are typically the used RCA to identify root causes and applied that
result of multiple causes, rather than a single information to greatly improve performance.
one. During 1998, Eastman’s specialty plastics facility
This training typically took about four hours and experienced nine customer complaints about small
was followed by coaching and reinforcement to black particles in an Eastman material. The prod-
help institutionalize the learning and application of uct, used in consumer product applications includ-
the RCA concepts. ing radios, telephones, toothbrushes and toys, was
Logic trees for recurring, significant problems sold in the form of small plastic pellets.
at Eastman were then developed. These applica- An advocate assigned a team, which did a thor-
tions began in 1998 with complaint investigations, ough RCA and identified multiple causes. Actions
but they rapidly spread to numerous areas such as implemented to correct the situation included process
safety, health, environment, equipment reliability, changes and the installation of improved filtration.
organizational effectiveness and paperwork errors. During the next two to three years, no additional

FIGURE 1 Baytank Logic Tree Analysis

Truck containing n-butyl alcohol (NBA) transferred

to tank 19-57 containing ethyl acetate (EA).

Operator thought NBA truck

was EA truck.

Operator did not verify Normally EA is transferred NBA truck lined

truck and documents. at spot 19A, and NBA is at 19B truck spot.
transferred at spot 19B.

Operator failed to Operator employed EA header is Operator Driver not given Operator occupied
follow procedure. short cut closer to 19A. past practice. precise transfer and unable to give
work practice. spot directions. direction.

Operator has LTA Operator anxious Current procedures are Preferred transfer Operator employed
appreciation of to get product to direct truck to spots have not short cut
consequences. flowing. general area and been designated. work practice.
require operator to spot.

19-57 pump had

Operator not suited blocked suction.
to work in
chemical terminal. One man Physical
Management failed on job. plant design.
to adequately
LTA new hire enforce the
evaluation process. operating discipline. LTA Pump more than Manual pump
planning. 300 yards from operation at
truck slab. the pump.
Unscheduled No management
trucks. direction on
minimum manning

LTA = less than acceptable.

Operator = Baytank employee who coordinates the connection and transfer of the chemical from the truck to the storage tank.
Driver = driver of the truck.

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52 I JUNE 2003 I www.asq.org
 FIGURE 2 Reduction of Worldwide Customer Complaints
Eastman Chemical Co.
16,000

14,000 Good
Complaints per million shipments

12,000

10,000
12 month moving average

8,000

6,000

4,000
2000 goal = half of 1997 level
2,000

0
J FMAMJ J A S OND J FMAMJ J A S OND J FMAMJ J A S OND J FMAMJ J A S OND
1997 1998 1999 2000

Population: all Eastman, all complaint types Month/year

complaints were received for this same problem. Bottom-Line Results

Another customer complaint involved tank Complaint progress at Eastman was, and still is,
truck shipment of n-butyl alcohol to an Eastman tracked monthly by measuring the number of com-
customer by an Eastman supplier. The delivery plaints per million (ppm) shipments. Figure 2
agent, Baytank Inc. of Houston, had transferred the shows how successful the effective use of RCA has
chemical into the wrong tank, one for ethyl acetate. been in reducing the organization’s number of
Baytank took this complaint very seriously and worldwide complaints.
wanted to prevent recurrence. So Baytank person- By 2000, Eastman had nearly halved the level of
nel, including key management, created a logic tree customer complaints that had occurred in 1997,
that initially determined a human cause—an oper- when the corporate complaint reduction initiative
ator who failed to follow procedure. started. Benefits include improved customer satisfac-
Reinforced by recently completed RCA training tion, increased sales, reduced waste and lower costs.
provided by Eastman, Baytank realized it needed In other words, several million dollars in savings
to dig deeper to discover the organizational root have been realized. While the significant reductions
causes. in the number of customer complaints and bottom-
Baytank staff did logic tree analysis (see Fig- line benefits were accomplishments in themselves,
ure 1) and kept developing hypotheses until the other invaluable, indirect pluses occurred when the
real organizational root causes were discovered: RCA training and processes spread to other functions.
• A less than acceptable process for evaluating Finally, the value of Eastman Chemical’s en-
new hires. hanced reputation has been priceless. Eastman’s
• Management’s failure to adequately enforce customers have appreciated being part of the RCA
the operating discipline. process. They witnessed a disciplined, unbiased
Three additional root causes led to other areas approach based on facts, not assumptions.
that needed attention, and subsequent corrective Because Eastman and its suppliers worked to-
actions were taken. gether, there is supplier buy-in, and Eastman’s busi-
Baytank’s analysis looked beyond one instance of ness relationships with its suppliers grew stronger.
a procedure’s not being followed (what went wrong) There is also internal buy-in, which has led to
and appropriately focused on why it happened. enhanced internal relations, particularly between
1144
QUALITY PROGRESS I JUNE 2003 I 53
ROOT CAUSE ANALYSIS

the manufacturing and maintenance functions.

In the past, Eastman’s goal in dealing with cus-
tomer complaints was to process the complaint as
quickly as possible while providing a satisfactory
resolution for the customer. But this did not neces-
sarily reduce the frequency of complaints.
Recurrence of similar complaints can be eliminat-
ed only when you uncover the organizational root
causes. Once Eastman realized this and took appro-
priate measures, the company made dramatic
improvements in the quality of its products, and
these quality efforts helped improve Eastman’s prof-
it picture dramatically.

REFERENCE

1. Robert J. Latino and Kenneth C. Latino, Root Cause

Analysis: Improving Performance for Bottom-Line Results, sec-
ond edition, CRC Press, 2002.

GARY HALLEN is currently international trade manager for

Eastman Chemical Co. He formerly was the company’s cus-
tomer focus manager. Hallen earned a master’s degree in
industrial engineering from Auburn University in Alabama.

ROBERT J. LATINO is senior vice president-strategic devel-

opment for Reliability Center Inc., Hopewell, VA. He
earned a bachelor’s degree in business adminis-
tration from Virginia Commonwealth University. In addi-
tion to authoring the book noted in the article’s references,
he is a contributing author of Error Reduction in
Healthcare: A Systems Approach To Improving
Patient Safety, AHA Press, 1999.

© 2003 American Society for Quality.

Reprinted with permission.

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 Sustainable Mechanical Operation
Through Surface Technology
Ricardo Hein, Conexo Inc.

Abstract
When bearings and gears wear or have surface damage, there is little you can do to decrease the
wear rate and extend the lifetime of those components to any great extent. This common issue has a far
reaching economic impact to operators. It also has a consumptive impact with higher need for resources
that affects sustainability of the operation.

An innovation implemented since 2005 in large rotating equipment offers metal parts resurfacing. It
utilizes the same friction energy produced by the parts and the addition of soft filler metals in
dispersion. Applied as Best Practice for mechanical maintenance, it repairs wear in components and
even reverse existing damage processes. The surface engineering technology named ‘Rewitec’ for
Revitalizing Technology gives an increased lifetime to mechanical equipment and secures productive and
environmental sustainability.

Surface Enhancement
Wear processes are related to the metal surface condition, the lubricant strength, and the operating
and contamination conditions. By enhancing the rubbing surfaces, the operation of the equipment gets
more efficient, and the lubricant performs better. That was the goal that the scientists had at developing
the Rewitec treatment. Even previously worn and slightly damaged mechanical components can be
conditioned with this surface technology. Wear processes can be stopped with it and already existing
damage can be “frozen” and made regressive too, building a strong and smooth protective layer.
Strengthening the metal surfaces will increase the lifetime of machine components.

The surface treatment is applied with the lubricant, which carries the soft fill metal particles to
where load and friction exists. Once exposed to the pressure and friction the silicates bond with the
surface to create a new smoother more durable layer. The product “runs in” quickly and need only be
applied a few times during the life cycle of bearings and gears.

From the Lab

Friction behavior and temperature was studied with the surface technology in a gear simulation rig
at the Center for Tribology of Mannheim University. A long-term test was performed on a modern 2-Disc
test assembly which makes it possible to simulate the rolling and sliding operating conditions of gears.
Two oils were tested with and without the addition of the technology: A conventional mineral EP gear

Reliable Plant 2013 Conference Proceedings |

1146
 oil 150 an
nd a high-perfformance PAOO based gear oil 320. Test parameters w
were line con
ntact, 880 Lbss load,
60 hours, speed 5 m/s,, 20% slippage, oil temperature 85°C.

esult shows the extent of change

The re c in surrface topogra phy at the en
nd of test. Thee topographyy level
is rough fo
or both oils, and
a noticeablly flat and sm
mooth with th e Rewitec tecchnology. This represents also
a dramatic increase in load carryingg area.

Picturres below sho

ow images takken with a scaanning electr on microscop pe after 60 hoours test wheere it
can be see en wear scarss (left) withou
ut Rewitec annd a smooth ssurface (rightt) with Rewiteec The graphss
show alsoo an effective surface smoo othening during the first 220 hours of op
peration withh Rewitec and d
roughness less than haalf (0.65 on th he left and 0.2
28 on the righht.)

Surface Ro
oughness measurement and 2D
2 images after 60 hours testt, left with geaar oil, right with Rewitec added

witho
out REWITEC
C with REWIITEC

Original Surface Roughness

R Surface after 60
0 hours Original SSurface Roughness Surfacce after 60 hours

Friction and temperature results: These

T variablees were moniitored in real time during tthe test and tthe
charts bellow show the
e evolution off these 2 variaables during tthe test.

After the run in, the te

emperature sttabilizes at 12
27ºC for the ggear oil and 1104ºC for the same oil with
h
Rewitec, reducing
r so th
he temperatu
ure in more th han 20°C or 220% lower.

The frictio
on force durin
ng the first 16
6 hours stabilize and durinng the balancee of the test sstays flat with
ha
strong redduction of over 33% from 220N for the gear oil dow n to 130N witth Rewitec.

| Reliable Plant 2013 Conference Proceedin

ngs
1147
From the
t Field
The product was in ntroduced in 2009 to Aggregate Materi als industry aas an alternattive to the reb build
or replace
ement of worrn parts. Aggrregates SE Divvision Operat ions Manageer Bart Boyd aasked a vibrattion
and stresss analysis spe
ecialist Alan Colette with Machinery
M Diaagnostics to h
help benchmaark any
improvemments. Alan monitored
m vibration in rotating equipmeent at severall plants and selected severral
components that show wed higher than normal vib bration due t o wear. The ssurface techn
nology was
implemen nted and the performance was evaluate ed. In almost all evaluation
ns the vibratiion in each piece
of equipm
ment dropped d markedly aftter Rewitecs technology w was added. Th he good resullts of this
technologgy were sustaainable over the years.

Bart and
a Alan foun nd interestingg that in all their years of a nalyzing dataa from vibratiion they havee
never see
en vibration originated fromm wear reverrse its trend sso dramatically.

All stresss vibration haarmonics origginated from wear are abssent

Screen
n Bearingss
Normally when scrreen bearingss wear to the point you cann hear them rroaring, it is ttime to replacce
them. A fe
ew days to a few weeks off remaining liffe is not unussual in those cases. This su
urface techno
ology
was applied to bearinggs on Diester screen bearin
ngs that start ed making ro oaring noise.

The bearings quietted down and d continued to

o run with litttle or no soun
nd. The bearings are runniing
today with over 3 yearrs of life. At a replacementt cost of 5 to 110K each shaft tube, the ccost avoidance
here is siggnificant.

Reliable Plant 2013 Conference Proceed

dings |
1148
Here is the ROI for 1 th
hese applicatiions in 3 yearrs
• To otal $ investe e treatment $15,000
ed for surface
• Liifetime expecctancy before e: 1 year
• Bearing replaccement cost avoided
a per yeear: $127,5000
• To otal Cost Avooided now at 3 years - $382 2,500
• PA AYBACK 25 Tiimes

e years since the

In the t introduction of Rewite ec into vibratoory screen
bearings and
a many scrreen applications there is a clear and coonsistent
trend of in
ncreased beaaring life. Afte
er applying it to
t multiple sccreen
bearings, Bill Wilson, a plant superintendant with Aggregatess in Norcross , GA, said he believes the
Nanocoatting to be veryy effective at extending th he life of screeen bearings.

Gearbo
oxes
An additional targe
et was a #1 coonveyor drivee in a large
quarry. Th
he 400 HP Fallk reducer shoowed signs off high vibratioon
and the su
urface technoology was add ded to help lo
ower that
vibration and improve the life of the gearbox.
After adding the Rewittec the majorrity of the points measuredd
showed a significant drop in vibratio
on amplitude e.

Here are the

t vibration readings:

400 hp Falk
F reducer – Pinion Outb
board 65% vib
bration Reducction

| Reliable Plant 2013 Conference Proceedin

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1149
Changing the way we see maintenance
With these results in mind, Bart developed and implemented new maintenance strategies for the SE
division he leads. Based in early detection of mechanical decay and the use of the Rewitec, he has
broaden savings in cost of mechanical maintenance in his area of responsibility. Since then, the
technology has been successfully applied to jaw crushers, engines in haul trucks, transmissions in
loaders, engines in service pick-ups, and generator engines, in the quarrying industry.

Extending the usable life of components lowers the consumptive impact on the environment and
has a far reaching economic impact in lessening the need for resources. Rewitec also lowers the
environmental footprint since equipment treated with Rewitec requires less power and fuel to run, thus
supporting a sustainable operation while achieving economic efficiencies that are otherwise not possible
to reach.

Conclusions:
The test results for gear simulation in rolling-sliding motion carried out at the Center for Tribology of
the University Mannheim show a noticeable improvement in all tested variables between a high
performance gear oil and the addition of Rewitec surface technology.

The strong reduction in friction of more than 33% and temperature reduction of 20% represent an
improvement in operating conditions and energy economy.

Surfaces that were treated with Rewitec turn out smoother than the same with the gear oil by more
than 50%, from 0.65 down to 0.28, that represents a higher load carrying capacity of the surface treated
with the Rewitec surface technology.

The REWITEC coating will prevent wear in all grease and oil lubricated equipment and it will extend
considerably the lifetime of machine components, even when the first signs of decay appear.

The operation and maintenance of machines and especially of components such as gearboxes,
engines, and bearings can be simplified by developing appropriate protection strategies.

Reliable Plant 2013 Conference Proceedings |

1150
 Ultrasound Assisted Lubrication Best Practices
Adrian Messer, Manager of US Operations
UE Systems, Inc.

Abstract
Controlling maintenance and repair costs in a facility has always been a challenge for maintenance
and reliability professionals. In today’s environment, controlling costs has become critical in helping to
remain competitive in your respective industry and operating an efficient facility. Improving condition
monitoring and predictive maintenance techniques and procedures can go a long way in increasing asset
availability and reducing unplanned downtime, thus greatly reducing costs associated with operating in
a reactive maintenance mode.

Lubrication related bearing failures seem to always be one of the major challenges in any plant and
facility. The costs associated when machines fail and production ceases can be damaging to the bottom
line of even the most profitable company. Identifying potential failures before they become
catastrophic has become the new standard for maintenance and reliability departments worldwide.
Facilities that continue to operate reactively, and without utilizing predictive maintenance tools often
find themselves behind their competition and always in “firefighting” mode.

One technology in particular can easily be implemented into an existing maintenance and reliability
program. Airborne and structure-borne ultrasound is an easy to use technology and can be applied to
many different energy conservation and equipment reliability applications. This paper will discuss the
benefits of utilizing airborne and structure-borne ultrasound to reduce bearing failures due to over and
under lubrication conditions.

Introduction
When you consider that as many as 60 to 80 percent of all bearing failures are lubrication related1,
this represents an area where many opportunities lie where these types of bearing failures can be
avoided by utilizing predictive technologies such as ultrasound. Lubrication related failures includes
both over and under lubrication. Also, the use of the improper lubricant can greatly decrease the life
expectancy of the bearing. Consulting your lubricant provider for recommendations for the correct
lubricant for your application is critical.

Typical lubrication programs rely solely on a timed based interval. This interval is set up is usually
based on either the bearing/equipment manufacturer’s recommended amounts, or the recommend-
dations from the lubricator based on how much grease they have been applying at each PM. The
tendency for time based lubrication routes is to over lubricate. Additionally, what if the bearing already
has enough grease? If the bearing already has enough lubricant, more grease will be applied during a

1
Mark Barnes, Des-Case Corporation

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1151
scheduled PM. Another question that should be asked is what if the bearing needs more grease than
what is being applied during the scheduled PM?

Adding ultrasound monitoring to standard lubrication best practices that are already in place can
help to reduce the number of failures due to over and under lubrication of bearings. The advantages of
condition based lubrication rather than a time based lubrication approach are fewer bearing failures,
extended motor & bearing life, and a decrease in the amount of lubricant used. All of these add up to
potential savings in maintenance costs, man-hours spent lubricating, and improved asset availability.

Ultrasound Technology & Bearing Lubrication

Hand-held airborne and structure-borne ultrasound instruments sense and receive high frequency
sound waves that are produced from rotating equipment, electrical disturbances, and compressed air &
gas leaks, just to name a few. These high frequency sounds are above the range of normal human
hearing, and therefore cannot be heard in the audible range. The instrument receives the high
frequency sound, and through a process called heterodyning, translates the high frequency sound into
an audible sound heard through the headset by the inspector. The sound is then measured as a decibel
(dB) on the display panel of the instrument.

There are several sources of ultrasound that are detected with an ultrasonic instrument. For
instance, turbulence is created when a gas under pressure escapes from a small crack or orifice in a
piping system, creating a compressed gas leak. For condition based lubrication with ultrasound, friction
is the primary source of the ultrasound that is produced from bearings and rotating equipment. When
bearings do not have sufficient lubrication, there is an increase in friction. When friction increases, so
does the decibel level (dB) indicated on board the ultrasonic instrument.

An increase in the decibel level is also noted when a bearing is in an over lubricated condition. As
lubricant begins to build up inside the bearing housing, there is an increase in both pressure and friction.
Thus, as friction and pressure increase, so does the decibel level.

Additionally, as friction increases, so does the temperature. Increases in temperature can also have
a damaging effect on the bearing, such as lubricant degradation, expansion, and oxidation. All of which
can have a damaging effect on both the bearing and eventually the piece of equipment that the bearing
is operating on.

A bearing that is properly lubricated will have a much lower decibel level than one that is under
lubricated. A properly lubricated bearing will have a steady uniform sound like that of rushing air.
When listening to bearings while lubricating, if the bearing needs grease, one will note a decrease in the
decibel level as grease enters the housing. Once a sufficient amount of grease has surrounded the
bearings, the decibel level drops, and stays at a constant/steady dB level, and lubrication will need to
stop being applied. If more grease continues to be applied, the dB level will gradually begin to increase.
At this point, the bearing has reached an initial over lubrication condition. Lubrication would need to be
stopped if the dB begins to increase. Also, if grease is applied and there is no change in the dB level,

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further investigation would need to be conducted to determine if the bearing is in a progressive stage of
failure that lubrication will not silence or dampen.

The image below shows a recorded sound file of a bearing taken while the bearing was being
lubricated. Notice the dramatic difference between the noise level before lubrication, and then after
lubrication.

The image below shows a recorded sound file of a bearing taken while the bearing was being
lubricated. This example shows the effects of over lubrication when grease continues to be applied
after a drop in the dB level when the proper amount of grease has been applied.

When monitoring the dB level of a bearing, a recommended standard of an 8dB increase above a
preset baseline, or above the previous reading, represents a lack of lubrication. As an example, if a
baseline of 50dB has been established for a certain location on a piece of equipment such as a motor
out board, and the current reading taken is 58dB, this location would be in a lack of lubrication

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1153
condition. Lubrication would then be applied until the dB level has decreased back to the baseline or
normal level of 50dB. Once the dB has reached the baseline level, lubrication would stop being applied.

If a digital ultrasound instrument is being used, routes can be created with the included software,
and then loaded up to the instrument. Data and sound files are recorded, and then downloaded back
into the route in the software. A best practice is to record both data and sound files so that the baseline
sound files can then be compared to the current reading. Once data has been collected, baselines can
be established. Based off of the baselines, alarm levels can be set. When establishing alarm levels, one
alarm level is set for a lack of lubrication, and a high alarm level is set for a more significant increase in
the dB level which would indicate a more severe bearing failure other than a lack of lubrication. When
data is downloaded into the software, a report is generated showing the locations that are currently in
an alarm level. Lubrication would be applied only to the points that are currently in the lubrication
alarm level. This method eliminates lubricating points that are still below the established low level
alarm or lubrication alarm, thus decreasing the amount of time spent lubricating, the amount of
lubricant used, and a reduction in lubrication related equipment failures.

Other Applications for Ultrasound

Bearing lubrication is just one application for which you can use ultrasound technology. Other
conditions in rotating equipment that can be detected with ultrasound include inner race, outer race,
and cage defects, fluting (electrical arcing in bearings), misalignment, soft foot, rotor bar issues, and
pump cavitation just to name a few. Other applications include compressed air & gas leak detection,
vacuum leak detection, electrical inspection (corona, tracking, arcing), steam trap inspection, and vessel
integrity checks around seals and fittings.

Conclusion
Being able to identify failures before they become more severe is critical. Airborne & structure-
borne ultrasound is a technology that can be used for many different applications. When considering
ultrasound for equipment reliability and condition based lubrication, the benefits are quite substantial.
Cost justification is simple when compared to the savings that can be realized from decreases in
lubricant used, less man hours spent greasing equipment, less downtime due to undetected failures,
and reductions in the amount of failures due to lubrication issues. Not to mention potentially being able
to avoid downtime due to unexpected bearing failures. Ultrasound is a versatile tool with a short
learning curve, thus making it an ideal technology to begin a predictive maintenance program around, or
complement an existing technology that is being used such as vibration analysis or infrared
thermography.

| Reliable Plant 2013 Conference Proceedings

1154
 Viscosity Selection Using Viscosity –
Temperature Charts
Robert Scott
Noria Corporation / Lubeworks Ltd.

Viscosity is the single most important physical property of the oil. It is a measure of the oil's resistance
to flow, or in simpler terms, how thick the oil is. Viscosity is affected by several factors, including
contaminants (water, sludge, soot etc.) but the most important and common factor is temperature.

To select the proper ISO viscosity grade for a piece of equipment, always start with the OEM
recommendation. Be aware that sometimes the equipment may get installed in an operating environment
that the OEM did not anticipate. The location may be hotter than normal, the equipment may be placed
outside and have to deal with low temperature operation or the equipment may be exposed to higher than
anticipated loads or have inadequate cooling. It is sometime necessary to make adjustments to the original
viscosity recommendation once the equipment is installed and operating, and the operational conditions
are known.

Viscosity – Temperature Chart

To a person selecting oils, Viscosity‐Temperature graphs are very useful. They illustrate how the
viscosity of an oil changes, as the temperature changes. Once the graph is created, either electronically in
PowerPoint or physically on paper, it can be used to compare different oils and to help select the correct
ISO viscosity grade. The viscosity data needed is generally available from the lubricant supplier’s technical
data sheet on their website.

A blank viscosity‐temperature chart, ASTM D341, is given below.

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| Reliable Plant 2013 Conference Proceedings
1156
 To begin using this chart, obtain the kinematic viscosity in centistokes (cSt) at both 40°C and 100°C for
the oil of interest and mark them on the chart.

Viscosity – Temperature Plot

Lub e W or ks Lt d .

Lub r icant s an d Fu els Con sult in g & Con t r act in g

High
Viscosity
(Thick)

Source: LubeWorks Ltd.

Viscosity

Low
Viscosity
(Thin)
-30C 20C 40C 100C
-20F 70F 104F Temperature 212F

Draw a straight line between the two data points, and extend it down to about 0 or ‐10°C. Below this
temperature, solid wax crystals begin to form in mineral oils, and the line begins to curve upward
(thickening due to the wax content). Absolute viscosities (e.g. Brookfield) can be generated at
low temperatures, if needed, to plot the low temperature performance of oils (most commonly for
hydraulic oils).

The following slide provides the viscosity‐temperature chart for several common generic ISO viscosity
grades of mineral oils (e.g. R&O, turbine, hydraulic, compressor and gear oils with a Viscosity Index
(VI) ~ 100).

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 Charts, like this, can be easily created for any oil. It is suggested to plot only three or four different oils
on one graph to minimize confusion. Depending on the VI of the oils, the lines may not be parallel. Oil’s
with higher VI values will have flatter (more horizontal) lines.

The value of this graph is that now, with an infrared thermal imaging gun, the temperature of a piece of
equipment can be obtained. Add 5 – 10°C (15°F) to the housing temperature to estimate the actual oil
temperature inside the bearing housing, gearbox or pump. With this estimated oil operating temperature,
the oil viscosity at the operating temperature can be read off the chart for any oil of interest. This is a
critical piece of information. This is the viscosity that the operating machine component is actually
subjected to (ignoring viscosity loses due to Non‐Newtonian shearing).

Next, we want to compare this estimated viscosity at the operating temperature against minimum
viscosities that are available for many types of equipment and specific hydraulic pumps and be sure that the
oil provided is above these minimum values. This will help to select the optimum ISO viscosity grade of oil.

To obtain the optimum ISO viscosity grade, start with the minimum viscosity (at operating temperature)
required for the type of equipment in question. Some common minimum viscosities are listed below.

| Reliable Plant 2013 Conference Proceedings

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Some common minimum viscosities for rolling bearings include:

Ball bearings, high speed (NDm 400,000) 7 ‐ 8 cSt

Ball bearings, moderate speed (NDm 200,000) and load 10 ‐ 13 cSt
Cylindrical bearings, moderate speed (NDm 200,000) and load 13 cSt
Tapered bearings 20 cSt
Spherical bearings, moderate speed and load 20 ‐ 32 cSt

If the bearing has significant thrust load, add 5 ‐ 15 cSt

Lower speed bearings (NDm <50,000) will require heavier oils.

Journal bearings sometimes have a thermocouple or RTD imbedded in the bearing metal. The
temperature taken by this means will be about 20°C (35°F) higher than the oil temperature. Make the
appropriate correction to obtain a close approximation of the oil temperature.

A list of minimum and optimum viscosities for journal bearings at the oil operating temperature
are given.

Minimum viscosities
Some Turbines (Westinghouse, Elliott) 7 ‐ 8 cSt
General Rule‐of‐Thumb 10 ‐ 13 cSt.

Generally accepted Optimum Viscosities for Journal bearings at operating temperature

(for 3,600 RPM, No Shock Loading) 20 ‐ 22 cSt.

(for 1,800 RPM, No Shock Loading) 35 cSt.
(for 1,800 RPM, Heavy Load & some Shock Loads) 50 cSt.
(for 500 RPM, No Shock Loading) 72 cSt
(for 500 RPM, Heavy Load & some Shock Loads) 95‐110 cSt

Some industrial gear minimum viscosities include:

Helical and herringbone industrial gears, medium speed, moderate load 33 cSt
Low speed, high load gears require higher viscosity 100 cSt

In multiple reduction gearboxes, the viscosity should be based on the lowest speed pinion gear in the
system (i.e. the highest viscosity grade).

Worm gears, low speed and highly loaded 75 ‐ > 100 cSt

Most hydraulic pump manufacturers provide information on the minimum viscosity required to
lubricate the pump at the highest anticipated operating temperature (e.g. 13 cSt @ 65°C) and on the
maximum viscosity allowed at the lowest anticipated operating temperature (other than start‐up) to
prevent starving the pump of inlet flow (cavitation) (e.g. 55 cSt @ 45°C).

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 The low temperature start‐up viscosity must also be taken into account when selecting oils for such
applications. Generally, the temperature at which the viscosity reaches 860 cSt is considered the safe low
temperature start‐up temperature for that specific oil. High viscosity index (120 – 160) oils and synthetic
oils will generally provide better low temperature start‐up performance.

Hydraulic pump minimum viscosity at the highest anticipated operating temperature (more specific
information is available from each OEM) 10 – 30 cSt

Next, to provide a safety margin, it is common to multiple the minimum viscosity by a factor called the
Kappa (K) ratio.

Kappa = actual viscosity supplied at operating temperature / minimum required viscosity (from above)

Kappa values typically range from 1 to 4. The minimum viscosity values are based on a Kappa of one.
The author prefers to use a Kappa ratio of 1.5 or 2 to obtain the optimum operating viscosity without
recommending an oil that is so heavy that is may cause heat from fluid friction (viscous drag).

For example, a 110mm mean diameter ball bearing at 1800 rpm (NDm = 198,000 ‐ a very common
speed factor) will require approximately at 12 cSt minimum viscosity. Now, take the 12 cSt viscosity value
and multiple by 1.5 or 2 to obtain a desired oil viscosity of about 21 cSt. Next, take the 21 cSt value to a
viscosity‐temperature graph (a generic version is provided for oils with a VI = 100) and with knowing the
housing temperature from an infrared measurement (assume 50°C, 120°F), and adding 10°C (15‐20°F) for
an estimate of the oil operating temperature inside the housing of 60°C (140°F). Next, the ISO viscosity
grade can be read from the viscosity‐temperature graph. In this case, wanting about 21 cSt at 60°C (140°F),
an ISO 46 is recommended. An ISO 32 grade would provide only the absolute minimum viscosity.

As a general rule, for the selection of the correct viscosity grade, if an oil is placed into the equipment
that is within one viscosity grade of the ideal grade, the equipment will generally tolerate that variation. For
example, if the ideal ISO grade for an application is an ISO 46 (as seen in the example above), but the plant
only has a 32 and 68 in stock, either one of these oils will likely be fine, assuming the 46 was selected with a
Kappa ratio of 1.5 to 2. This is a common situation because plants do not want to stock every viscosity
grade in inventory. But, it is probably safer to err toward a slightly thicker oil than to a thinner oil. A thicker
oil may create some additional heat due to the viscous drag of the oil, but too thin of an oil may lead to
mixed or boundary lubrication and possible failure. In this case, my first choice would be an ISO 46, second
choice ISO 68 and third choice would be an ISO 32.

| Reliable Plant 2013 Conference Proceedings

1160
 Viscosity – Temperature Plot
Industrial Oils (Turbine, Hydraulic, Gear)
Lub e W or ks Lt d .

Lub r icant s an d Fu els Con sult in g & Con t r act in g

High
Viscosity
(Thick)
ISO 100
Mineral
VI = 100
Same viscosity at
operating temperature
but synthetic is better
Viscosity 150 at low temperatures
ISO 68 100 and is thicker (safer) oil
Synthetic 68 if higher temperatures
(or VII mineral oil) are encountered.
VI = 130

Source: LubeWorks Ltd.

Low
Viscosity
(Thin)
-30C 40C 100C
-20F Temperature 104F 212F

In the graph above, two oils are shown that provide the same viscosity to a machine at its operating
temperature. The lines were generated using the kinematic viscosities for each oil at 40°C and at 100°C,
then joined by a straight line. The mineral oil is a conventional paraffinic Group I or II mineral oil with a VI of
approximately 100. The slope of the line is an indication of the VI of the oil. Note that the synthetic oil has
a flatter (more horizontal) line (higher VI, ~ 130). It does not thicken as much at low temperatures and does
not thin out as much at high temperatures. Ideally, an oil that produces a perfectly flat (horizontal) line
would be perfect. But that is not achievable. But with VI improver additives and synthetic base oils, a
flatter line can be achieved.

High VI and a flatter line are better.

The chart below is for engine oils and illustrates how a 10W‐30 multigrade oil provides similar low
temperature flow as a straight 10W oil and similar high temperature viscosity as a straight 30 grade oil. The
dashed lines are used in the low temperature region to indicate that the data was generated by a different
method (absolute viscometer) than the high temperature data.

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1161
 This chart may be used for determining the general viscosity profile of lubricants,
however, where more specific accuracy is required, ASTM D341 standard charts should be used.

-30 -20 -10 0 10 20 30 40 50 60 70 80 90 100 110 120 130 140 150

200000

100000 Viscosity - Temperature Chart

50000

20000 SAE 30 (upper line)

10000 SAE 10W-30 (middle line)
5000
3000 SAE 10W (lower line)
2000

1000 1000
SAE 30 500
500
400 400
300 300
200 200
Kinematic Viscosity (cSt)

150 150
100 100
75 75

50 50
40 40
30 30

20 20

15 15
SAE 10W
10 10
9.0 9.0
8.0 8.0
7.0 7.0
6.0 6.0
5.0 5.0

4.0 4.0

3.0 Temperature (C) 3.0

-40 -30 -20 -10 0 10 20 30 40 50 60 70 80 90 100 110 120 130 140 150

Source: LubeWorks Ltd.

It is hoped that this information has illustrated the value of these graphs and how to create and use
them.

| Reliable Plant 2013 Conference Proceedings

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your global specialist

Lube & Seal

Compatibility of lubricants and seals

Know-how for practice

1163
15.02.2013 / Slide 2 . MA-IND/JFS . Lube&Seal

What influences the lifetime of a seal?

1164
15.02.2013 / Slide 3 . MA-IND/JFS . Lube&Seal

Seal, Lubricant and others

Operating Internal Overlap / Surrounding

temperature casing radial forces pressure
pressure
Oil viscosity
Surrounding
Base oil /
temperature
additives
Speed

Shaft
diameter

Shaft material
/ surface
quality

Contamination:
Elastomer Seal dust, gases,
material lubrication liquids

1165
15.02.2013 / Slide 4 . MA-IND/JFS . Lube&Seal

What are the key ingredients of

lubricants?

1166
15.02.2013 / Slide 5 . MA-IND/JFS . Lube&Seal

Composition of lubricating oils

Base oil
Additives 5 - 10 %

Solid lubricants

up to 5 %
up to 90 %

Lubricating oil

1167
15.02.2013 / Slide 6 . MA-IND/JFS . Lube&Seal

Composition of lubricating greases

Thickener
Base oil
Additives

anti-oxidation,
anti-corrosion,
Solid lubricants
anti-wear (EP)
3 - 5%

soaps or non-soaps
14 - 30%
graphite,

mineral oil, synthetic oil or mixtures of the two up MoS2,
to 90 % PTFE
5 - 10%

1168
15.02.2013 / Slide 7 . MA-IND/JFS . Lube&Seal

Types of Synthetic oils

Polyglycol

<O>

Katalysator
H H
PAO <O>
Ester
Synthetic C C
hydrocarbons <O> Polyolester
H H
<F> <Si>
<O> <O>

Perfluorinated
polyethers Silicone oil
(PFPE)

1169
15.02.2013 / Slide 8 . MA-IND/JFS . Lube&Seal

Additives

 Improve the properties of the base oils

(eg low-temperature performance, viscosity-temperature
relationship)

 Provide the base oils with new properties

(eg corrosion protection, EP properties)

1170
15.02.2013 / Slide 9 . MA-IND/JFS . Lube&Seal

What do customers request when

specifying lubricants?

1171
 15.02.2013 / Slide 10 . MA-IND/JFS . Lube&Seal

Industrial gear oils

Requirements acc. to DIN 51 517 - 03-CLP Jan. 2004

Criterion CLP 46 CLP 68 CLP 100 CLP 150 CLP 220 CLP 320 CLP 460 CLP 680
ISO VG class
46 68 100 150 220 320 460 680
(DIN 51519)
Kinematic viscosity 41.4 61.2 90.9 135 198 288 414 612
at 40 °C 50.6 74.8 110 165 242 352 506 748
Density at 15 °C To be specified
Flash point, °C > 175 > 185 > 200 > 200 > 200 > 200 > 200 > 200
Pour point, °C < -15 < -12 < -9 < -6 < -3
Neutralisation number To be specified
Steel corrosion Rating 0 - A
Copper corrosion Rating 1
FAG FE 8 Rolling bearing test Rolling bearing wear < 30 mg
FZG test (A/8.3/90) load stage > 12

Compatibility with
SRE-NBR 28
elastomers
Foaming characteristics, ml < 100 after 10 min
Water content, % < 0.1
Ageing characteristics, max. 6
viscosity increase, %

1172
15.02.2013 / Slide 11 . MA-IND/JFS . Lube&Seal

Lubricant and Elastomer

two chemical worlds meet – why we have Lube&Seal

Base oils
Base monomer
Thickeners
Fillers
Additives
Additives
Solid matter

1173
15.02.2013 / Slide 12 . MA-IND/JFS . Lube&Seal

Possible combinations of
elastomers with different mediums

Polar Elastomer Non-polar

NBR
HNBR EPDM
MVQ/VMQ
CR NR
AU FKM SBR
ACM ...
...

No!

Non-polar Medium Polar

Water, Steam
PAO
Polyglycol, Alcohol
Mineral oil Silicone oil
Acids
Petrol/Gasoline
PFPE Ketone
Aromatic Compounds
Ester
Ester

1174
15.02.2013 / Slide 13 . MA-IND/JFS . Lube&Seal

Possible combinations of thermoplastics with base oils

Thermoplastic
Polar Non-Polar

PA
PE
POM
PP
PC
PIB
PET
...
PVC
PMMA
… No!

Base Oil
Non-Polar
Polar
Silicone Oil
PAO PFPE
Mineral oil Polyglycol
Ester Ester
depends on ester-type

1175
15.02.2013 / Slide 14 . MA-IND/JFS . Lube&Seal

What are the effects?

Physical effect
• no reaction
• swelling or shrinking
• modification of elastomer properties:
• higher elasticity
• lower hardness
• absorption or extraction

Chemical effect
• chemical reaction
• irreversible
• slight chemical modifications can entail significant physical changes

1176
15.02.2013 / Slide 15 . MA-IND/JFS . Lube&Seal

Swelling of elastomers

Material: PP

sheer Mineral oil PAO

Elastomers after a storage about 168 h @ 80°C

1177
15.02.2013 / Slide 16 . MA-IND/JFS . Lube&Seal

How is elastomer compatibility checked?

1178
15.02.2013 / Slide 17 . MA-IND/JFS . Lube&Seal

Checking methods for elastomer compatibility

How are interactions checked?

Specimens (S2 rods and blanks) are stamped out of an elastomer plate (DIN
A4, thickness 2 mm).

The specimens are subjected to a medium, in most cases at

elevated temperature, meeting the standards of
DIN ISO 1817.
The change in the mechanical values of elastomer material
after exposure to a medium is determined:
• Hardness (Shore A units)
• Volume (%)
• Tensile strength (%)
• Elongation at tear (%)

1179
15.02.2013 / Slide 18 . MA-IND/JFS . Lube&Seal

How are elastomer compatibility test conducted?

The elastomer to be tested is inserted in the

lubricant for 168 h up to 1008 h @ 80°C,
100°C, 130°C or 150C°

1180
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How are elastomer compatibility test conducted?

Before and after being exposed to the

lubricant, the elastimer is:

weighed in air
(change in weight)

weighed in water
(change in volume)

1181
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How are elastomer compatibility test conducted?

The Shore hardness of the elastomer is also

checked before and after exposure to the
lubricant.

1182
15.02.2013 / Slide 21 . MA-IND/JFS . Lube&Seal

Limit values for static test of elastomers

60

40

20

0
volume
hardness
-20

-40

tensile strength elongation

-60 at break

1183
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Same base-oil, same result?

1184
15.02.2013 / Slide 23 . MA-IND/JFS . Lube&Seal

Influence of the type of base oil

Static exposure

Influence of the type of base oil on the elastomer

168 504 1008
0,0 6,0

Lagerung in Öl I Grenze der Einsatzempfehlung Lagerung in Öl I

5,0
-10,0

4,0 Lagerung in Öl II
Lagerung in Öl II
R eißd ehnung sände run g in %

-20,0

V olum enänderung in %
3,0
-30,0
2,0
-40,0
1,0
-50,0
0,0
-60,0
Grenze der Einsatzempfehlung
-1,0
-70,0
-2,0
Grenze der Einsatzempfehlung

-80,0
-3,0
Einlagerungszeit (h)
168 504 1008
Einlagerungszeit (h)

Elongation at tear Change in volume

• 168 h exposure time is no longer sufficient

• Antagonistic effect – from shrinking to swelling
• Short or long-term effects must be taken into account (lubricant, elastomer material,
constructive design)

1185
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Static testing is the first step. Now what?

1186
 15.02.2013 / Slide 25 . MA-IND/JFS . Lube&Seal

Compatibility with elastomers

Dynamic testing under static conditions
Test passed with
Test parameter Unit
72 NBR 902 75 FKM….

Leakage ml 0 0

Sealing time h 1008 1008

Width of running marks at

mm ≤ 0.5 ≤ 0.4
sealing edge

Shaft running-in depth µm ≤5 ≤ 10

Radial force with spring 1, % +10 to -45 +10 to -35

Freudenberg standard test bench Contact ratio with spring 1) mm ≤ -0.6 ≤ -0.5

Contact ratio without spring 1) mm ≤ -0.7 ≤ -0.6

Visual sealing lip inspection:

Discolouration of running marks 4 3
Carbon build-up 1 1
Hardening 3 2
Limit values for dynamic seal Crack formation 1 1
compatibility Blistering 1 1
1) Values refer to the test diameter
Wear on sealing edge/groove formation 3 3
of 35 mm Chemical attack 1 1
Deposit on shaft 3 3

1187
15.02.2013 / Slide 26 . MA-IND/JFS . Lube&Seal

Dynamic Test Bench

Scope: Test process:

Determining elastomer compatibility of lubricants with radial Automatic measurement of temperature,
shaft seals at medium speeds and variable long-term testing pressure, running time per test piece
conditions. Regular visual inspection and documentation of
density or leakage at four test points per test
Test standards: piece
Klüber test standards, Simrit test standards
Evaluation:
Test pieces: Evaluation of leakages, running
2 seals/running sleeve combinations per testing unit at the times, condition of the sealing
pinion end and drive side lip of the dismantled radial shaft
seal
Lubricant: according to requirements Evaluation of the sealing surface
on the shaft
Test data:
Five single-stage worm gear units ZAE (E 063 B 1315/11), Test results:
gear ratio 4,83:1 Presentation of the results and
Test duration up to 1000 h conclusion regarding elastomer
Speed compatibility with the lubricant used
• pinion end: 3000 rpm
• drive side: 620 rpm Objective:
The operating temperature depends on braking torque and Finding an optimum,
lubricant. customer-specific package of
Internal casing pressure: vented, up to 1 bar radial shaft seals and matching
Lubricant quantity: 0.6l / gear lubricants
Braking torque: up to 6 Nm

1188
15.02.2013 / Slide 27 . MA-IND/JFS . Lube&Seal

Elastomer compatibility
Inspection after testing

view
Example sealing lip Example sealing lip
Smooth running mark surface Smooth running mark surface
BAU X2 35-52-7 BAUM X7 35-52-7
72 NBR 902 75 FPM 585

Test conditions:
Temperature: 80°C NBR / 110°C FKM
Speed: 1500 rpm
Test duration: 1008 h

1189
15.02.2013 / Slide 28 . MA-IND/JFS . Lube&Seal

Elastomer compatibility
Inspection after testing

view
Example sealing lip Example sealing lip
considerable discoloration and considerable elastomer abrasion
blistering BAUM X7 35-52-7
BAU X2 35-52-7
75 FPM 585
72 NBR 902

Test conditions:
Temperature: 80°C NBR / 110°C FKM
Speed: 1500 rpm
Test duration: 1008 h

1190
15.02.2013 / Slide 29 . MA-IND/JFS . Lube&Seal

Same elastomere type, same result?

1191
15.02.2013 / Slide 30 . MA-IND/JFS . Lube&Seal

The influence of different FKMs

on the friction behaviour in PG oil

0,18

0,16

0,14
46%
52%
Frictional moment Nm

0,12

0,1

0,08

0,06

0,04
Oil sump temperature 60°C / BA-FKM 585
0,02
Oil sump temperature 60°C / BA-FKM 170055
Oil sump temperature 60°C / BA-FKM (conventional ra dial shaft seal)
0
250 500 1000 1500 2000 3000 4000 5000
Speed rpm

1192
15.02.2013 / Slide 31 . MA-IND/JFS . Lube&Seal

Energy efficiency through friction reduction

Assumptions:
• Optimum lubricant
• Gear with 3 sealing points / pressure less / 5000 h/a
• Frictional power with conventional
radial shaft seal approx. 90 W
• Optimised standard radial shaft seal approx. 60 W

Savings per gear compared to conventional seals:

30 W x 5000 h = 150 kWh = 5.4 x 108 J
corresponding to the equivalent of 75 kg CO2

For one million gears manufactured, the right combination of elastomer

and lubricant can reduce CO2 emissions by approx. 75,000 tons

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Influence of temperature on the lifetime of radial

shaft seals and lubricants

The reaction speed of lubricant oxidation

doubles per temperature increase of 8°C
(between 0 and 100°C).

The reaction speed increases if catalysts like

water, metal particles, etc. are in the lubricant.

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Now to recap what we have learned...

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Elastomer compatibility - summary

• Good compatibility between lubricant and elastomer can be expected

if non-polar lubricants are combined with polar elastomers or
if polar lubricants are combined with non-polar elastomers.

• A definite compatibility statement can only be made

if the combination of lubricant and elastomer is tested.

• The right materials/formulations are crucial

for a long lifetime of the lubricant/elastomer combination.

• Additives must also be taken into consideration.

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Contact Info:

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15.02.2013

your global specialist

Thank you very much.

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 When Are Mineral Oils Superior to Synthetics?
It depends...

Bennett Fitch
Noria Corporation

Let’s get one thing straight: contrary to what the title might suggest, synthetics are in general
superior to mineral based oils. But do you know why? Synthetics might be the preferred choice of
lubricant, but more often than not mineral oils are chosen instead. The obvious and most prevailing
reason for this is cost. But this is not the only factor that could provide reason to choosing a mineral oil
over a synthetic.

It’s a very common question to ask if switching to a different lubricant will remedy a lubricant
related issue. In doing so, there is a tendency to choose synthetics because it has been deemed to be
the better lubricant. To understand why synthetics may or may not be the right choice for your
application, you must avoid searching for the best lubricant and instead begin to calculate the optimal
lubricant to meet your conditions. This means recognizing a list of factors that relate to your application
before jumping to a conclusion. These factors may include machine criticality, machine susceptibility to
contamination (including water), age of machine, history of lubricant related failures, operating
temperatures, ease of re-lubricating, etc.

What makes Synthetic Oil Fundamentally different than Mineral Oil?

Synthetics are often many times more expensive than the equivalent mineral oil, upwards of three
times the equivalent cost. Why? Because the way they are created. Mineral oils are extracted and
refined from crude oils which pose issues with consistencies in molecular characteristics. Synthetics on
the other hand are scientifically built through a process called polymerization which keeps the ideal
molecule chains to join together to produce a pure formulation. Fundamentally, both of these base
lubricants may function similarly, but depending on specific applications and additive requirements
there may be a critical dissimilarity in performance.

When do Synthetics provide improved performance characteristics?

In general, synthetics are well known to provide excellent oxidative and thermal stability. This can
be a direct correlation to a longer lubricant life. In addition, these types of lubricants can demonstrate a
much higher viscosity index (or VI). In circumstances where the lubricant will encounter cold start-ups
and high operating temperatures, synthetics naturally remain in the desired viscosity ranges due to the
high VI.

Polyalphaolyfins, or PAOs, are one of the more common synthetics. PAOs exhibits the common
synthetic benefits explained above as well as a few other improved characteristics including excellent

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demulsibility (the ability to release water) and hydrolytic stability (the ability to prevent lubricant
decomposition due to water). These synthetics are most commonly recommended in engine, gear, and
compressor oil applications.

Polyalkaline glycols, or PAGs, are also in line with exhibiting the common synthetic characteristics
explained previously. But to their excellence, they exceed performance in areas such as viscosity index
and an extremely low tendency to leave deposits on machine surfaces. According to an article in a 2009
issue of Machinery Lubrication, “The low deposit-forming tendency is really due to two properties – the
oil’s ability to dissolve deposits and the fact that the oil burns clean. So when they are exposed to a very
hot surface or subjected to micro-dieseling by entrained air, PAGs are less likely to leave residue that will
form deposits.”

Ester-based synthetic lubricants, such as dibasic acid ester and polyol ester, both contain the typical
synthetic characteristics yet provide their own areas of expertise. Dibasic acid esters, or diesters, have
excellent solubility. This means that it is a great candidate for additive formulation. They have been
commonly known be mixed with PAO synthetic lubricants to assist in accepting substantial additive
packages in application such as engine oil. Polyol Esters have one key advantage that contributes it its
differentiating efficacy; the ability to resist fire. This makes it a prime candidate for applications with
high fire risk environments such as jet engine oils.

When do Synthetics provide degraded performance characteristics?

Now that we have brought attention to all the wonderful and glamorous reasons why the world has
come to love synthetics, let’s turn sides and highlight its downfalls. Each synthetic has at least one
formulary established disadvantage and all synthetics have one common fundamental disadvantage.
PAOs are the most popular synthetic for a reason, their one formula-based disadvantage is its poor
solubility, and as explained earlier it can be resolved by the addition of diesters. PAGs and esters on the
other hand have poor hydrolytic stability. In other words, these synthetics not only having an attraction
to water (hydrophilic) they can in many cases create reaction with the water. This causes a common
issue with fluid, sealing material and coating compatibility.

Now back to the fundamental disadvantage that is common to all synthetics; higher costs. As it
might be understood already, this is due to the complex scientific process of polymerization that
produces, or “synthesizes,” these lubricants. Choosing to use a synthetic may increase the life of the
lubricant, thus extending the oil drain frequency. But this may not always results in money saved if this
life extension is a smaller factor compared to the cost inflation. Yet if other dynamics come into play
such as ease of re-lubrication or machine criticality, the cost factor influencing to preferred choice of a
mineral oil may be overridden. And furthermore if the operating conditions are such that contamination
likelihood is so immense that re-lubrication is a forced to a high rate, then the choice to use a higher
cost synthetic may be overridden as well. So as you may realize, solving a lubricant related issue isn’t as
easy as choosing a synthetic. Make the decision with reason and thorough considerations depending on
your inherent conditions.

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 Maintainability shouldn’t be an Afterthought!
Build it in

Gerald E Putt, CMRP, MLT1

Most organizations have a large installed base of equipment that is the target of their various
initiatives such as six sigma, lean, maintainability etc. In most cases these initiatives require training of
personnel as well as retrofitting equipment to improve the probability of success in these endeavors.
We are generally are not surprised by the need to make these changes as the equipment was often
designed and procured before we determined that these types of changes would be beneficial. The
purpose of this paper is to raise the awareness that these items should now be incorporated into the
design, procurement and installations phases of new equipment. Maintainability should no longer be
an afterthought.

Acknowledgements
As we go thru our reliability journeys, we are influenced by the people we work with that shape our
understanding of the concepts that will drive the initiatives we take to meet our goals. I was fortunate to
have many good “mentors” and I have incorporated teachings from a few of them in the compilation of
this presentation.

Mark Barnes, then of Noria, conducted a Maintainability workshop at one of Goodyear’s tire plants,
during which the organization learned about many opportunities that exist on the equipment reviewed.
Ramish Gulati of Arnold Engineering Development Center provided insight as to his understanding of
this concept during a presentation at a recent SMRP conference. Robert Williamson of Strategic Work
Systems provided insights on visual maintenance opportunities during a webcast in 2008. In addition to
these individuals I learned from Ron Moore of Ron Moore and Associates that a successful reliability
program (which incorporates the principal of Reliability) starts with the design and must be considered
in each step of procurement, installation, operation and of course, maintenance.

Awareness
The intent of this Presentation/Paper is to raise the awareness and expectations of the entire
organization so that we ultimately have equipment installed that gives our maintenance organization
the best opportunity to meet or exceed our expectations for the operation of our assets. Our designs
should incorporate maintainability concepts, our procurement specifications should detail
maintainability requirements and our installation process should incorporate maintainability guidelines
and principals.

It’s not that our designers and procurement personnel don’t care, it is simply a function of not
realizing the potential and often being somewhat disconnected form the environment in which the

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equipment will operate. Often the focus of these individuals is to ensure basic functionality, deliver
equipment on time and within budgetary guidelines. As many of these very capability people have not
worked in the maintenance environment, many of the concepts we will talk about, are not in their
knowledge base. I was fortunate to have worked specifically in the design, procurement, installation,
operation and maintenance functions for my employer of 38 years, Goodyear. In each of those functions
I performed to the best of my ability, but honestly was amazed at how many maintainability
fundamentals I missed, until I had the opportunity to walk in the shoes of the maintenance organization.
If I had my way, every designer would be assigned to maintain their design for a period of time after it is
installed. I can say from personal certainty, that if designers had to maintain some of their work, their
next effort would reflect a different respect for the maintainers.

Definition
Maintainability refers to the ease with which maintenance work can be done. It involves the process
of ensuring that equipment can be easily and safely maintained, and the maintenance support required
can be minimized.

Potential Benefits
We need to design maintenance into our systems. Great maintenance procedures and skilled
craftsmen can be hampered by not following some basic concepts. Properly done we should expect:

– Reduced time to complete scheduled and unscheduled maintenance

– Reduced maintenance errors

– Reduced maintenance related injuries

– Minimize personnel training requirements

– Improve trouble shooting performance

– Lower Maintenance cost

Suggested Guidelines
• Design replacement tasks to be as modular as possible.

– Especially for drive systems, this applies to ball screws, drive belts, conveyor belts, and
gearboxes. All of these parts will fail during the machine life.

• All pressure and vacuum gauges should be marked with a green zone that represents the normal
operating range of the system to which it is attached

• Inspection points (gauges, meters, sight glasses, chains, pulleys, belts…etc.) should be:

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 – Clearly identified

– Easily readable from location of inspector

– Located such that no guards or obstructions need to be moved to do routine visual

inspections.

• When considering the ergonomics of a repair or inspection activity, design for the 5th and 95th
percentile people in accordance with EDGE (Ergonomic Design Guidelines for Engineers)
principles.

• Clearly mark lifting points and weight of lift.

• Most machines should have an air fitting hook up.

• Most machines should have a 30 Amp – 120VAC outlet or equivalent to support maintenance
power tools.

• If possible design connection points so that they can only fit together in the intended way

• Identify flow direction and type of all fluid lines. (including pneumatic, hydraulic, water,
lubrication and steam lines)

• Provide properly designed access stairs, platforms etc to facilitate access to hard to reach
maintenance and inspection areas.

– If not, equipment may be damaged by using unintended devices as steps etc

• Coupling Guards shall allow Coupling Greasing to be performed without removal of the guard.

• Laminated sheet detailing Lock Out Tag Out procedure should be affixed to the machine.

• Special lock out devices required to complete lock out should be designed into the machine or
installed on a cabinet near the lock out point for ready access.

• Machine guarding should be made of materials that adequately protect the hazard but still allow
for visual and infrared inspection of the apparatus being guarded. If expanded metal or fencing
is used paint the fencing black to facilitate visual inspection.

• All chain sizes shall be clearly labeled on equipment near point of use.

– Tags should be grease resistant ie Plastic, brass tags/labels

• Daily and weekly running inspection routine/instructions should be posted on machine.

– All inspection points should be clearly labeled

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 • Use common components, such as pumps, reservoirs, accumulators, motors, gearboxes, VF
drives, sensors etc as much as possible.

– This should be considered at the plant level as well as at the individual machine level

• Direction of rotation to be clearly noted for Motors, pumps, fans, blowers, conveyor drives,
gearboxes etc.

• Indicate a place where an identification code could be marked on manufactured parts (or mark
at manufacture).

– This will aide in identifying replacement part. Identify method of identifying part (stamp,
indelible ink)

• Any guards or covers on the machine should be attached by the fewest number of screws or
other fasteners necessary. This will facilitate speed if these guards or covers must be removed
or replaced. Same type screws. (Codes may require at least one fastener that must be removed
with a tool)

• Ability to clean the machine should be considered during design and installation. This would
include a cleaning plan and how services are routed to the machine.

– If plan calls for wash down, machine should have water fittings and floor sloped
to drain.
– Where possible all concrete surfaces and piers should be sloped to the nearest drain
(environmental review needed)
– Pipes, wires, tubing that are providing services to the machine should be routed so
that they have enough ground clearance to allow for sweeping or mopping of the
floor below

• All pressurized systems must include a method for reducing system pressure to 0 psig and a
means to verify this.

• Avoid castings for moving parts, or parts that may be hit by other parts of the machine

– Castings are very difficult to repair, particularly emergency breakdown

• Maintenance tasks on the machine must be considered with regard to how the maintenance
techs will access the area of the machine to be maintained.

– This should include assessment of clearances for access, height from floor, provisions
made for access to machine areas elevated from floor (steps, platforms, ladder), and
disassembly required to perform maintenance
– Fall Protection tie offs shall be provided for access to components which if accessed
would expose the technician to a fall hazard of greater than 6’.

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• Do not locate inspections points more than 1 meter from the inspectors eyes

• Do not install inspection points behind components, under protection covers or other points
that require work to reach them

• Design interfaces so that the connection can only go together correctly

• Design interfaces so you can only install the correct component, employing unique bolting
patterns, guide pins etc.

• Make every routine maintenance point clearly visible

• Minimize disassembly and special tools needed to repair items that are wear parts, parts that
are expected to fail frequently, or will need to be adjusted frequently

– Access to wear or commonly adjusted parts should also be considered and

steps/maintenance platforms added if necessary

– If non-commercial special tools, jigs, or fixtures are needed they should be provided by
the equipment manufacturer at installation. Also these special tools should be given
manufacturer part numbers and those part numbers be clearly communicated and
documented in the maintenance manual to the plant so that they can be included in the
store room system

– All tools for routine jobs should be integrated on the machine in a lockable
shadow board.

• Drive belts should be removable without removing other machine parts (this does not
include guards)

– Other parts should not trap the belt

– Drive Belt Guards shall use expanded metal to allow IR Inspection for misalignment.

• Vendor should align all coupled shafts to stated tolerances

– Vendor shall supply as installed alignment measurements for all coupled shafts.

– In cases where thermal expansion is significant and will affect the alignment “cold”
alignment specifications and tolerances must be supplied by the manufacturer

• Alignment tolerance shall be clearly marked on a label near the coupling.

• Belt type and tension shall be labeled and affixed at or near the belt point of use.

• Provide jack screws with lock nuts for all axes to be aligned

– Ensure that jack screws and lock nuts are accessible.

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 – Ensure that if base bolts with nuts are used, that a full sized wrench can access the base
bolt nuts and allows for tightening

• Where possible, electrical components should be arranged/segregated to permit access to low

voltage controls without exposure to higher voltages (Reduce need for specialized PPE for arc
flash protection)

• Test points, key pads etc should be made accessible without exposure to energized conductors

• Panels should be designed to be finger/palm safe (protect from shock hazard)

• Utilize proximity switches with indicator lights to determine if it is working

• 110v coils for solenoid valves should have indicator lights to determine if they are energized

• Control wiring must be separated from power wiring to avoid transient noise feeding in to the
control system

• Active cooling devices on electrical panels should have a provision to visually be able to tell that
the cooling devices are working.

• Label, and where possible color code, each wire in a harness or cable to facilitate tracking from
origin to termination. Each wire, cable, and coax-to-connector interface should be provided with
a source of identification to aiding trouble shooting, repair, or modification.

• Clearly labeled components make troubleshooting more effective.

• Do not manufacture or dress connectors containing more than 25 wires or cables as a single
integrated harness. Group the wires or cables into runs of no more than 25 wires or cables each.
In addition to making trouble shooting and repair easier, this approach helps avoid large bend
radii, thereby simplifying routing, packaging, and stowage.

• Route cables so that 100 percent of a cable will be viewable for inspection without using any
special tools such as a borescope.

• Use positive locking, quick disconnect electrical connectors and identify all pins on each
connector to save man-hours, prevent foreign object damage (FOD) and decrease the chance of
personal injury.

• Select connectors so that contacts on the "live" or "hot" side of the connection are socket type
rather than pin type to minimize personnel hazard and to prevent accidental shorting of live
circuits.

• Where multiple connectors are located in close proximity, ensure:

– a minimum hand tool arc of 120 degrees can be maintained

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 – stagger fittings to ensure firm coupling interface/hand tool interface can be
accomplished without inducing damage to adjacent lines.

• If possible avoid fasteners smaller than ¼” in diameter. Fasteners smaller than this are easy to
damage by hand. They shear, and the socket fails frequently.

• Avoid reliance on mechanical fasteners solely to facilitate manufacturing.

• Standardize fasteners where practical to avoid multiple tools and possibility of wrong grade
usage

• When high strength fastener needed, label to avoid use of inadequate material

• Chemical thread lockers should be avoided on fasteners that must be adjusted often.

• Match marks shall be painted by the vendor on all fasteners at time of final acceptance, except
for items requiring disassembly for transport.

• All fasteners shall be match marked at final acceptance.

• Fastener re-installation torque and socket size shall be labeled for all fastener’s that must be
disassembled to perform manufacture recommended maintenance by a small label affixed near
the fastener(s).

• All oil filters should have differential pressure gauges or sensors that indicate when replacement
is necessary

• Oil filters should be in a duplex arrangement that allows changing a filter while the machine
is running

• Replacement filter part number shall be labeled and affixed near the filter

• Evaluate each lubrication point to determine:

– The proper fitting style

– Ability to plumb grease ports out where necessary

– Potential application of automatic lube systems.

• Grease points must be safely accessible. (Preferable that they are assessable with the machine
running)

• All lube points should be easily identifiable on the machine and frequency, type and amount of
lubricant information easily accessible.

• A laminated lube chart with diagram of lube points, frequency, quantity, and type of lubricant
shall be posted on machine.

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 • Lubrication points on machine shall be labeled to match lube chart.

– Type

– frequency

– Quantity

• All hydraulic units and gearboxes that hold greater than 10 gallons of oil should be equipped
with proper sampling points

• Max and Min levels for all fluid reservoirs shall be clearly marked on all reservoirs. This should
typically be done by including a sight glass on the reservoir with min/max levels marked.

– Both running and shutdown levels should be indicated so that filling a machine while
running does not result in an overflow when the system shuts down, and oil drains back
to tank.

• All systems shall have provisions for the adding of oil through a filter such as a 3 micron,
Beta>100 line filter

Conclusion
In an ideal world, the majority of the suggestions covered in this paper will be addressed during design
and installation.

If not, there is still much to be gained in reviewing existing equipment and making modifications that
improve the maintainability of our assets.

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