2020

Industrial and Maintenance Engineering

Assoc. Prof. Anthony Simons

University of Mines and Technology
Tarkwa

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Contents

CHAPTER 1 THE MAINTENANCE FUNCTION ............................................................. 1

1.1 Introduction ............................................................................................................. 1

1.2 Performing the Maintenance Function ..................................................................... 2
1.2.1 Machine breakdown ..................................................................................... 2
1.2.2 Preventative Solutions .................................................................................. 2
1.3 Trade Skills .............................................................................................................. 4
1.3.1 Practical Skills ............................................................................................... 5
1.3.2 Theoretical Skills........................................................................................... 5
1.3.3 Mental Attitude ............................................................................................. 5
1.4 Resources ................................................................................................................ 5

CHAPTER 2 TYPES OF MAINTENANCE ...................................................................... 7

2.1 Breakdown Maintenance ......................................................................................... 7

2.2 Planned Maintenance .............................................................................................. 7
2.2.1 Preventive Maintenance (PM)....................................................................... 7
2.2.2 Predictive Maintenance (PDM) ................................................................... 15

CHAPTER 3 MACHINERY MOUNTING ...................................................................... 19

3.1 Introduction ........................................................................................................... 19

3.2 Setting and Levelling ............................................................................................. 19
3.2.1 Procedure for Setting and Leveling ............................................................. 21
3.3 Grouting ................................................................................................................ 22
3.4 Special Mountings.................................................................................................. 23
3.4.1 Adjustable Mountings ................................................................................. 23
3.4.2 Vibration Isolators....................................................................................... 24

CHAPTER 4 BEARINGS ............................................................................................. 26

4.1 Introduction ........................................................................................................... 26

4.1.1 Classifications of Bearings .......................................................................... 26
4.2 Plain Bearings ........................................................................................................ 27
4.2.1 Principles of Operation ............................................................................... 27
4.2.2 Types and Materials.................................................................................... 28
4.2.3 Maintenance Practices ................................................................................ 32
4.2.4 Failure Patterns .......................................................................................... 35
4.2.5 Causes of failure ......................................................................................... 39
4.3 Rolling Element Bearings ....................................................................................... 41
4.3.1 Principles of Operation ............................................................................... 41
4.3.2 Types Of Rolling Element Bearings............................................................. 42
4.3.4 Bearing Assembly Design ........................................................................... 43
4.3.5 Maintenance Practices ................................................................................ 45
4.3.6 Mounting procedures ................................................................................. 49
4.3.7 Dismounting procedures ............................................................................. 53
4.3.8 Operating Symptoms .................................................................................. 54
4.3.9 Symptoms found on inspection .................................................................. 55
4.3.10 Causes of failure ......................................................................................... 59

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CHAPTER 5 V-BELTS DRIVES ................................................................................... 63

5.1 Introduction ........................................................................................................... 63

5.2 Principles of Operation .......................................................................................... 63
5.3 Types and Arrangements ....................................................................................... 65
5.3.1 Single V-belt ............................................................................................... 65
5.3.2 Multiple V-belt ............................................................................................ 65
5.3.3 Banded V-belts ........................................................................................... 66
5.4 Belt Tension........................................................................................................... 66
5.5 Maintenance Practices ........................................................................................... 67
5.5.1 Alignment ................................................................................................... 68
5.5.2 Belt Tension Adjustment............................................................................. 69
5.5.3 Installation of V-belt drives ......................................................................... 70
5.6 Failure Patterns ...................................................................................................... 71
5.6.1 Operating Symptoms .................................................................................. 71
5.6.2 Symptoms Found on Inspection ................................................................. 72

CHAPTER 6 GEAR DRIVES ........................................................................................ 75

6.1 Introduction ........................................................................................................... 75

6.2 Principles of Operation .......................................................................................... 75
6.3 Types and Arrangements ....................................................................................... 78
6.3.1 Spur Gears ................................................................................................. 78
6.3.2 Helical and Herringbone Gears .................................................................. 78
6.3.3 Bevel Gears ................................................................................................ 79
6.3.4 Worm Gears ............................................................................................... 79
6.4 Maintenance Practices ........................................................................................... 80
6.4.1 Alignment ................................................................................................... 80
6.4.2 Lubrication ................................................................................................. 80
6.5 Failure Patterns ...................................................................................................... 81
6.5.1 Operating Symptoms .................................................................................. 81
6.5.2 Symptoms Found on Inspection ................................................................. 82
6.6 Causes of Failure ................................................................................................... 84
6.6.1 Inadequate Lubrication .............................................................................. 84
6.6.2 Misalignment .............................................................................................. 84
6.6.3 Out of Mesh................................................................................................ 85
6.6.4 Overload .................................................................................................... 85
6.6.5 Contamination ........................................................................................... 85
6.6.6 Moisture ..................................................................................................... 85
6.6.7 Lubricant Breakdown ................................................................................. 85

CHAPTER 7 SHAFT ALIGNMENT .............................................................................. 86

7.1 Introduction ........................................................................................................... 86

7.2 Principles of Alignment .......................................................................................... 86
7.2.1 Misalignment .............................................................................................. 86
7.2.2 Parallel Misalignment.................................................................................. 86
7.2.3 Angular misalignment ................................................................................. 86
7.2.4 Tolerances .................................................................................................. 87
7.2.5 Adjustment ................................................................................................. 87
7.2.6 Dial Indicators ............................................................................................ 87
7.2.7 Total Indicator Run-out .............................................................................. 88

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 7.2.8 Thermal Growth ......................................................................................... 88
7.2.9 Dowelling ................................................................................................... 89
7.3 Methods of Alignment ............................................................................................ 89
7.3.1 The Straight Edge and Feeler Gauge Methods............................................ 89
7.3.2 The Face and Rim Method ......................................................................... 89
7.3.3 The Reverse Indicator Method .................................................................... 91

CHAPTER 8 TRIBOLOGY…….................................................................................... 93

8.1 Introduction ........................................................................................................... 93

8.2 Purpose ................................................................................................................. 93
8.2.1 Module Objectives ...................................................................................... 93
8.3 Theory and Application ......................................................................................... 93
8.3.1 What is friction? .......................................................................................... 93
8.3.2 What causes friction? .................................................................................. 94
8.3.3 The consequences of friction ...................................................................... 94
8.4 Lubrication ............................................................................................................ 97
8.4.1 How does lubrication reduce friction? ......................................................... 97
8.4.2 The Consequences of Lubrication .............................................................. 97
8.4.3 Types of Lubrication ................................................................................... 98
8.4.4 The Relationship Between the Regimes of Lubrication ............................. 101
8.4.5 The Mechanism of Lubrication ................................................................. 101
8.4.6 So what do lubricants do? ........................................................................ 103
8.4.7 Types of Lubricant.................................................................................... 104
8.4.8 The Features of Different Lubricants ......................................................... 105
8.4.9 Important Properties of Lubricants............................................................ 106
8.4.10 What’s in a lubricant ................................................................................. 114
8.4.11 Why use mineral oils? ............................................................................... 114
8.4.12 The Manufacture of Lubricating Oils......................................................... 116
8.4.13 Additives .................................................................................................. 118
8.4.14 Formulation .............................................................................................. 122
8.4.15 The Selection of lubricants........................................................................ 123
8.4.16 The lubrication of specific equipment ....................................................... 126
8.4.17 Substituting one lubricant for another ....................................................... 127
8.4.18 Testing lubricants ...................................................................................... 127

CHAPTER 9 METHOD STUDY ........................................... Error! Bookmark not defined.

9.1 Method Study Process .......................................................... Error! Bookmark not defined.

9.1.1 Approach to work study ................................... Error! Bookmark not defined.
9.1.2 Approach to Work Study .................................. Error! Bookmark not defined.
9.1.3 Limiting the Scope of Work to be Studied ........ Error! Bookmark not defined.
9.2 Methods and Movements at Work Place ............................... Error! Bookmark not defined.
9.2.1 Approach to work Study ................................... Error! Bookmark not defined.
9.2.2 Process Chart Symbols ..................................... Error! Bookmark not defined.
9.2.3 Ergonomics ...................................................... Error! Bookmark not defined.
9.2.4 The Principle of Motion Economy .................... Error! Bookmark not defined.

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 Design of tools and equipment ..................................... Error! Bookmark not defined.
9.2.5 The Principle of Motion Economy .................... Error! Bookmark not defined.
9.3 Quality Control .................................................................. Error! Bookmark not defined.
9.3.1 The Meaning and Scope................................... Error! Bookmark not defined.
9.3.2 Statistical Quality Control ................................. Error! Bookmark not defined.
9.3.3 The Taguchi Approach ..................................... Error! Bookmark not defined.
9.3.4 Total Quality Control ........................................ Error! Bookmark not defined.
9.3.4 Work study and Quality Control ....................... Error! Bookmark not defined.
9.4 Product Planning and Control ........................................... Error! Bookmark not defined.
9.4.1 The Scope of Production Planning and Quality ControlError! Bookmark not
defined.
9.4.2 Production Planning and Quality Control in continous Production ........ Error!
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9.4.3 Production Planning and Quality Control in Intermittent Production ..... Error!
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9.4.4 Production Planning and Quality Control in Special ProjectsError! Bookmark
not defined.
9.4.5 Work Study and Production Planning and ControlError! Bookmark not
defined.
9.5 Work Measurement...................................................... Error! Bookmark not defined.
9.5.1 Introduction....................................................... Error! Bookmark not defined.
9.5.2 The Purpose of Work Measurement .................. Error! Bookmark not defined.
9.5.3 The Use of Work Measurement ........................ Error! Bookmark not defined.
9.5.4 The Basic Procedure ......................................... Error! Bookmark not defined.

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 CHAPTER 1
THE MAINTENANCE FUNCTION
1.1 Introduction
The function of maintenance is to ensure that plant and equipment are available in a
satisfactory condition for operation when required. The determination of what
constitutes a ‘satisfactory condition’ for (rotating) machinery will depend largely on the
operating situation and the following factors:
Performance: Machines must be capable of performing the function for which they are
intended.
Downtime: Machines must operate with an acceptable level of downtime.
Service life: Machines must provide a satisfactory return on investment before
replacement becomes necessary.
Efficiency: Machines must operate at an acceptable level of efficiency.
Safety : Machines must operate safely and not be dangerous to personnel.
Environmental impact: Machines must operate in a manner that is not detrimental
to the environment or to adjacent plant and equipment.
Cost: The cost of maintenance must be acceptable.
The goal of maintenance is to ensure that machinery performance is `satisfactory'
according to these factors and, although the specific requirements of an individual
machine are rarely quantified, it is important that the criteria by which
performance can be assessed are understood and monitored. Despite the fact that
definite levels of acceptability are hard to establish, trends in machine conditions can be
observed and should be used as indicators of maintenance requirements. Maintenance
therefore, provides a service function and its goals must match those of the entire
organization. Fig. 1.1 reflects this concept and emphasizes the fact that increased
maintenance beyond a certain point may ultimately increase the overall company cost.

Total
Maintenance goal:
Lowest Cost
Cost

Maintenance
Zero maintenance results in
maximum production loss

The intelligence of the

maintenance level reduces Production
production loss
Adding maintenance effort beyond the
optimum point increases total cost

Fig. 1.1 Goal of the Mine Maintenance Organization

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1.2 Performing the Maintenance Function

The maintenance function is performed in two ways:

 by the prevention of breakdown, and
 by the repair of breakdown.

The term, breakdown, is used here to indicate any machine condition that is considered
to be less than satisfactory according to the factors listed above. This covers all
situations from the need for minor adjustment to total machine collapse.

Although performance of the maintenance function has been separated here into
`prevention' and 'repair', the element of prevention is the key to all successful
maintenance work, including repair.
Rather than investigating repair and prevention as two different aspects, it is more useful
to consider the various ways in which maintenance work arises and to recognize the
preventative element in each.

1.2.1 Machine breakdown

Despite all attempts at prevention, machine breakdowns of various kinds do occur and
often need to be fixed on an urgent or emergency basis. Although maintenance
personnel are usually under great pressure to return equipment to service in the shortest
possible time, there are two important considerations, vital to the `preventative'
element of the work, that should not be sacrificed.

Treatment of cause - not effect

It is important to make sure that the real cause of the breakdown is found and
remedied and not just the effect patched up. Troubleshooting should be rigorous
in finding the inherent cause of the problem. If the real cause of the problem is not
corrected then further breakdown is likely to occur.

1.2.2 Preventative Solutions

Restoration of equipment to its original condition is not necessarily the best solution
to a breakdown problem. Consideration should be given to avoiding repetition of the
problem by making minor changes in design or materials. Equipment performance
can often be improved with little expense by the development of innovative
solutions that are specially suited to local conditions and process requirements.

Routine work

Some basic preventative work can be easily identified for execution on a routine basis.
This work will typically include such tasks as:
 lubrication
 adjustment
 cleaning
and the need for such work will usually be determined on the basis of:

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  field experience
 manufacturer's recommendations
 production requirements

Routine work should, where possible, be carried out during machine operation. If
this is not possible it may be scheduled to coincide with regular production
shutdowns. In any event, this type of work should not normally interfere with
production schedules.

Planned work

This category includes any work that requires an extended equipment shutdown or
that needs to be planned and scheduled in advance. All planned work should be
considered as preventative and is essentially aimed at the avoidance of unscheduled
breakdowns. The type of work involved will include: major overhaul replacement of
specific components machine modification. It may originate from inspection,
condition monitoring, manufacturer's recommendations, plant experience, statutory
regulations or design modification.

Inspection

The condition of all machinery should be under continual surveillance by both

operating an( maintenance personnel. The casual and routine monitoring of
equipment will yield information regarding operating condition on which
maintenance requirements can be planned.

It is vital that maintenance personnel realise the importance of being critically aware
of the operating condition of machinery and ensure that their observations are
accurately reported. Inspection requires the use of the senses and maintenance
personnel should develop an eye and an ear, and even a nose, for machine
condition. Recognition of normal running characteristics are the basis from which
deviations can be observed and trends it machine condition can be predicted.

Condition monitoring

In recent years a variety of techniques have been developed by which the

operating condition of machinery can be either intermittently or continuously
monitored. These techniques are mechanised version of inspection by personnel and
all operate on the same principle of observe deviation from normal condition.

The most important of these techniques is vibration monitoring. Condition

monitoring like personal inspection, yields information on which maintenance
requirements can be based.

Manufacturers' recommendations

Most equipment manufacturers provide details of recommended maintenance

requirements, for basic lubrication schedules to major overhaul information. Until

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plant experience indicate otherwise, it is wise to follow these recommendation in the
early stages of operation. This information provides an initial basis on which to
determine preventative work, such as overhaul and routine replacement of
components, to be carried out during annual or other planned shutdowns.

Plant experience

Local knowledge of machine performance under specific plant conditions may well,
in the long term, prove to be a more appropriate method of establishing the
frequency of major overhaul and other maintenance requirements. For such
experience to be used effectively it is important that accurate maintenance records
are kept so that performance patterns and characteristics can b clearly established.

Component life expectancy and wear rates car only be assessed on the basis of
recorded information: that represents a true reflection of operating conditions. The
use of condition monitoring techniques provides the kind of detailed information on which
maintenance records can be based.

Statutory regulations

Inspection and testing of certain types of equipment, especially pressure vessels, is

normally carried out on an annual basis according to statutory regulations. In most cases
this involves a total plant shutdown and is an opportunity to undertake an annual `turn
around'. A certain amount of work is generated during this period due to the inspection
program itself as determined by the regulations, and the remainder originates in the
ways previously described. Compliance with statutory regulations constitutes, in
effect, an externally imposed prevention program.

Design modifications

When the performance of a machine is unsatisfactory according to any of the factors

listed on page 1, then design modification may be undertaken in order to improve
performance.

Modifications will normally be undertaken by engineering staff who support

maintenance personnel. Unless the machine has already suffered major breakdown, in
which case modification may be undertaken on an emergency basis, the work involved
would normally be scheduled for a planned shutdown period.
No matter what the source of the work, it should be clear from the above descriptions that
the common element is the prevention of future breakdown. Although no
maintenance department can ever be one hundred per cent successful in this, it should be
recognised that the general objective of breakdown prevention helps to encourage an
attitude towards maintenance work that is most likely to give good results.

1.3 Trade Skills

Whatever the philosophical approach and organizational methods adopted, it is

the maintenance technician, the person who actually performs the work, who is the focal

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point of the maintenance operation. The technician constitutes the key element in the
operation around whom other resources must be organised. In order to fulfil this critical
function technicians must possess certain skills, both practical and theoretical.

1.3.1 Practical Skills

A maintenance technician should have completed an apprenticeship in fitting and

machining (or the local equivalent). Where elective components are available in the
apprenticeship program, options that concentrate on fitting, and particularly maintenance
fitting, should obviously be selected where possible. This training should provide all the
basic practical skills needed to undertake maintenance work. Such skills will include all
basic manipulative tasks associated with fitting and machining including the use of
appropriate tools and equipment. The level of competence and the range of skills
involved will normally be determined by the relevant regulatory body.

The skills taught in an apprenticeship program represent the minimum requirement

and the practical skills of maintenance technicians should be further developed on the job
to meet specific plant requirements and to keep pace with technological development.

1.3.2 Theoretical Skills

In addition to the theoretical background provided to complement the practical skills

acquired during an apprenticeship, technicians should possess an understanding of the
operating principles of basic machine elements and common types of machinery as well
as the principles and practices of maintenance associated with them. The theory
component of an apprenticeship is normally too basic and general in nature to
provide an adequate background for maintenance work. In order to be fully equipped
to troubleshoot and to make effective repairs, the technician must have a clear
understanding of the function and principles of operation of the machinery involved.

1.3.3 Mental Attitude

Although it is often neglected, one of the most important skills that a technician can possess
is a good mental attitude towards the maintenance task. The most obvious example of
this is the way in which a careless and casual approach is likely to lead to error and bad
workmanship. The adoption of a positive mental attitude toward the task not only has the
potential to improve performance but also leads to increased personal satisfaction.

1.4 Resources

To complement the technician's personal skills, there is a range of additional resources that
should be available within the maintenance department. The responsibility for
organising these resources so that they are available when and where required lies with
management, but it is the responsibility of the technician to appreciate their nature and
to understand how they can be most effectively utilised. The exact nature of these
resources will vary from one organisation to another but the following list identifies the
principal resources that should be available.

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To o ls Standard hand tools
Specialised tools
Workshop facilities
Materials Spare parts
Stock materials
Standard consumables
Salvaged stock
Expertise Line supervision
Staff engineers
Consultants
Systems data
Plant records
Engineering drawings
Process flow diagrams
Manufacturers' information
Technical publications
Planning Job-recording systems
Scheduling services
Plant-delivery systems
Communications systems

1.5 Organisation

The maintenance department should be organised in such a way that all resources,
including trade skills, are available when required at the workface so that the maintenance
function can be effectively and efficiently performed. Various organisational models can
be adopted, depending on the size and nature of the production activity. It is strongly
recommended that technicians clearly understand how their own organisation functions
so that they can use this information to maximum advantage. In order to get things done
it is important that the various lines of authority and responsibility are fully understood.

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 CHAPTER 2

TYPES OF MAINTENANCE

2.1 Breakdown Maintenance

In this type of maintenance, the facility is allowed to break down before it is repaired.
The items involved in such cases are such that the cost of maintenance by far outweighs
the cost of replacement. Examples of such items are: small motors, ball mill liners, and
furnace refractory surfaces etc.

2.2 Planned Maintenance

Any maintenance method which involves the planning and subsequent execution of
maintenance procedures is called planned maintenance. Under this heading of planned
maintenance, we have:

a) Preventive maintenance (PM) (routine maintenance, shut down maintenance,

running maintenance etc.)
b) Predictive maintenance

2.2.1 Preventive Maintenance (PM)

Preventive maintenance (PM) is the predetermined inspection and subsequent repair

of equipment and facilities to maintain high performance prevent premature failure and
extend life. Cleaning, inspecting, testing, adjusting, and lubricating are all functions of
preventive maintenance.

The fundamental basis of Preventive Maintenance is deciding in advance:

 The individual items to be maintained

 The form, method and details of how each item is to be maintained
 The tools, replacements, spares and time that will be required to carry out this
maintenance
 The frequency at which these maintenance operations must be carried out

Preventive maintenance structure

From the above essentials the following structure emerges:

 A schedule of all the machinery and equipment to be maintained

 A complete schedule of all the individual tasks that must be carried out
 A program of events indicating when each task must be carried out
 A method of ensuring that the work listed in the program is carried out
 A method of recording the results and ensuring the effectiveness of the program

A documentary system is necessary for the scheme to be effective.There are many

documentation systems available specifically designed for the control and the support

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of PM schemes. These documentation systems are elaborate to provide information on
costs man-hours, repair times, materials, replacements etc.
It is important that the system should be easy to operate, involving maintenance staff
in minimum paper handling and recording. However the system must clearly indicate:

 What is to be maintained?
 How it is to be maintained
 When it is to be maintained
 Is the maintenance effective?

Benefits of PM

The introduction and subsequent operation of the PM system will involve time, money
and hard work. To justify this investment substantial benefits must be derived from the
system.

PM will not compensate for poor workmanship, lack of tools, bad design or mal-
operation of machinery by personnel, nor will it convert worn-out obsolete equipment
into modern and highly efficient units. However PM carried out and controlled in a
systematic, constructive manner must lead to positive benefits as listed below:

 Greater plant availability

 Fewer breakdowns will occur

 Maintenance carried out when most convenient and will cause minimum loss of
production

 Regular, simple maintenance results in less downtime than infrequent expensive

ad hoc maintenance

 Excessive length of down time is reduced, spares and equipment demands are
known in advance and available when necessary

 Regular Simple Servicing is cheaper than sudden breakdown repairs

 Regular planned servicing and adjustment maintains a continuous high level of

plant out put, quality, performance and efficiency.

 Other benefits present themselves as services directly to management, being

evident in the following form:

 Improved budgetary control –realistic budgets can be formulated and

subsequently controlled.

Improved stock control of spares

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  Provision of information upon which management can make realistic forecasts
and decisions

Basic components of PM

No matter how large, small, simple or sophisticated the system is, the same basic
elements are common to all.

Facility register. The facility register is a record of facilities (machinery and equipment)
that are to be maintained, including technical details about each item. Records are to
contain in a convenient and concise form all essential details about each item.

Facility Register should confirm original specification, performance manufacturers

recommended limits, fits and tolerances.

The facility register must contain the following:

 Identification number
 Description of facility
 Location
 Type
 Priority rating

Identification number. When a facility register has been compiled every item is
positively identified. Each member must be assigned an exclusive identification
number.

Description of facility. A brief description of the item concerned, where possible name
plate details are to be included

Location. The department, section or area in which the item I located, e.g. machine
shop, boiler shop etc.

Type. When only a few items are involved, it would be sufficient to classify them as
either Mechanical or Electrical. In a large industrial complex more detailed classification
is necessary.

Priority Rating. Shows the relative importance of facility within the production process.

No 1 Rating: Applied to all items whose efficient operation is vital to the production
process. A failure of such an item with immediately affect or halt production;
alternatively it would create a safely hazard

No 2 Rating: Failure of one of these items would not, immediately affect production
but would do so in a short space of time.

No 3 & 4 Rating: Similar to No 2 but in descending order of importance.

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No 5 Rating: Plant whose failure would not, affect production, or create a safety hazard
in any way whatsoever – non-productive items.

The identification number should be marked clearly on item and marking should be
such that. it is easily distinguishable from others e.g. of the nameplate.

Maintenance Schedule

This is comprehensive list of maintenance and its incidence.

Having gathered and tabulated within the facility register, we must now establish how
it is to be maintained. For each item included in the plan a separate maintenance
schedule must be compiled which sets out the tasks – inspection, lubrication,
adjustment, etc. together with the frequencies that are considered necessary to maintain
the facility efficiently.

In summary the maintenance schedule consists of an individual sheet, indicating:

 The name and identification number of the item

 The location of item.

 The reference number of the schedule

 Safety procedures to be followed (permit to be obtained)

 Detailed list of tasks to be carried out(each task an individual reference number).

 The frequency at which each of the listed tasks must be carried out

 The tradesmen or other personnel required to undertake the respective tasks.

 The time required to carry for the tasks

 Special tool or equipment required.

 Materials, major components or replacements required.

 When the facility is available for maintenance (running maintenance, shut down
maintenance)

 Associated equipment or facilities that should be maintained simultaneously.

 Details of any contract maintenance

From the completed schedules information should be extracted and acted upon so that

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every thing is prepared. Spares, replacements, tools, special equipment and other
necessary item should be ordered. The maintenance contractor should be contracted.

Job Specification

Job specification is a document describing the work to be done.

Once the various tasks have been scheduled, the means of communicating the details
to the performer must be considered. The planner must communicate the details clearly
and precisely – so no doubt about what is to be done.

The depth of the specification will depend on the type of facility, the complexity of the
task, the control exercised over the work and depth and scope of planning.

The most elementary form of job description is a straightforward extract from the
maintenance schedule. This form of job specification is wide open to any interpretation.
The job may therefore be tackled in different ways by different people – variations in
the results. This may however suffice for most basic of schemes where each task
consists of only few simple operations. For complex operations, a more detailed
specification is necessary. The object of a job specification is to ensure:

 The task is carried out in a manner intended

 The possibility of an operation being omitted is minimized

 Acceptable limits of wear etc. and tolerances are clearly defined.

 The tradesman knows the work and how it is to be done

 The operation is carried out in the same manner and the same allowances are
always applied – standardization

 All persons doing the work (even for the first time ) follow the same procedure
(continuity)
 A reference standard is available with which the job and work can be compared
to detect any variation.

To summarize, each specification should indicate the following:

 The identification number and name of item

 The location of item

 The maintenance schedule reference number from which the task was extracted

 The job specification reference number (each job specification should be

allocated to its own individual reference number)

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  The frequency at which the particular task must be carried out

 The trade or trades required to carry out each operation

 The specific details of work to be done – the procedure and method, details of
inspections, tests, servicing etc, allowable limits and tolerances

 Components to be replaced
 Special tools and equipment to be used

 Reference drawings, manuals etc. Applicable

 Safety procedures to be followed.

The Maintenance Programme

A list allocating specific maintenance to a specific period is the maintenance program.

Having established what is to be maintained and how it is to be maintained, we must

now consider when it is to be maintained. That means writing out a program to indicate
when each facility shall receive its scheduled maintenance.

The main purposes of maintenance program are:

 To set out a plan of work

 To ensure that no facility or maintenance task is omitted

 To ensure that the required maintenance is carried out at the specified frequency

 To co-ordinate the maintenance of associated facilities

 To co-ordinate maintenance with production requirements.

 To present an overall picture of maintenance work, and future commitments (on

short and long term basis)

 To assist forward planning, ordering of spares, future labour requirements, basis

for budgetary control.

 To act as a reminder of future maintenance events (on short term basis)

 To formulate weekly work plans (for immediate future)

 To arrange for availability of production plant

 To arrange or check availability of labour, spares sub contractors etc

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The time span is usually on annual basis where plants operate for 2 or even three years
between major overhauls, the planning period is often extended to cover these cycles.

The maintenance program is to be prepared in consultation with the production

department. From this yearly program, the weekly etc. can be derived.

Job Report

The job report is a statement recording the work done and the condition of the facility.

For any planned maintenance scheme to be effective there must be a continuous flow
of information to and from the person(s) doing the work. This feed-back is essential for
the control and adjustment of the plan. The planner must know exactly what is
happening – unless he knows something is wrong or requires attention, he cannot
initiate remedial action. Every system must provide the person who has made the
inspection or carried out the work the opportunity to report back his findings and the
condition of the facility.

Job report should include following information:

1. Work Carried out

2. Corrective action taken

3. Defects found, corrected, and their cause.

4. Defects observed but not corrected.

5. Work detailed on the job specification but not carried out or completed.

6. Major components replaced

7. Measurement, of clearances wear etc taken

8. Time taken to complete the work

9. General observation, conditions of the facility

Some job specifications double as a job report, the results of the inspection are recorded
within the body of the inspection. Against each of the items basic information is written
in code on the right hand column.

To most tradesmen, clerical work and report writing are alien tasks. Job reports should
therefore be so designed that:

(a) it can be completed easily with the minimum mental effort

13
 (b) the need of writing is kept to a minimum by using code symbols

(c) it is self indicative of any work or item that has been omitted.

The History Record

The history record is a document on which information about all work done on and/or
by a particular facility is recorded. Each facility contained in the plan has an individual
record which chronicles the maintenance events during its operational life.

Work-Order System

The work order is the basic document in any maintenance system that is to be
controlled. Simply stated, a work order is a written request for service. Normally a
standardized form is prepared or adapted for use. The following is the essential
information in any work order:

 A clear concise information of what is to be done.

 A statement on when the job is to be done.

 A statement on crafts and skills required to do the work.

 A statement on where the work is to be done and where the completed work is
to be delivered.

 The name of the person requesting the work

 The account number or cost centre of to which this work is to be charged.

 The priority of the work.

 An estimate of the time required to do the work.

Breakdowns

Even with planned maintenance, unexpected breakdowns will occur occasionally.

When a fault is reported, it is not always necessary to divert labour to deal with it
immediately. If immediate repairs are not imperative, but can be fitted in with other
work, the disruptive influence can be minimized. By rating faults and breakdowns to a
priority scale, the maintenance department has an indication of their relative
importance and can then plan their repairs accordingly.

An example of such a breakdown repair rating is:

A - Must be repaired immediately.

B - Must be repaired within one day
C - Must be repaired within two days

14
D - Must be repaired within one week
E - Can be carried out at first available opportunity.

2.2.2 Predictive Maintenance (PDM)

Predictive Maintenance or Condition Monitoring comprises a variety of techniques by

which the operating condition of machinery can either intermittently or continuously
monitored. These techniques are a mechanized version of inspection by personnel and
all operate on the same principle of observed deviation from normal condition

All predictive maintenance techniques rely on monitoring some physical characteristic

that reflects the condition of the machine. A normal running level of the characteristic
is established in so called baseline measurements, when the machine is in good
condition and then any significant deviation from the level gives warning that a fault
may be developing. This enables a potential fault to be detected before it becomes
serious enough to substantially affect machine performance and in time for corrective
action to be taken.

It has been estimated that the use of this form of “condition-based” maintenance can
result in an average saving of 20% of direct maintenance costs

Costs of a Predictive Maintenance Program

1. In the beginning of the program, a significant amount of time must be spent

in establishing which equipment to investigate, monitoring points, and
acceptable limits.
2. instrumentation must be selected and purchased.
3. the personnel taking the measurements must be trained.
4. the personnel evaluating the measurements must be trained.

Benefits of a Predictive Maintenance Program

1. there should be an increase in the average time between overhauls.

2. there should be an elimination of unexpected breakdowns.
3. there should be an elimination of secondary damage to other equipment
components.
4. there should be an elimination component waste due to replacement of serviceable
components.
5. an inventory reduction should result.
6. there should be a reduction in damage-insurance premiums.
7. there should be an increase in planned and scheduled maintenance.

Even with all of the costs involved, it is felt that, in the long run, PDM is an extremely
beneficial technique to achieving zero unplanned downtime.

Methods

Spectrogfraphic Oil Analysis. Samples of lubricating oil can be analysed using a

15
spectrometer and the proportions of metal elements present can be determined. The
oil samples used must be representative of the total contents of the system and should
be taken under normal operating conditions. The major source of metals found in
lubricating oil is wear debris, and a knowledge of the component materials can indicate
the origin of the metals selected.

This method requires regular sampling so that trends can be established. Normal wear
will produce a slow bur steady increase in metal levels and it is when a sudden increase
is recorded that some malfunction is indicated. It should be remembered when
interpreting results that metal levels will be high during a running in period anf will also
be affected when oil levels are topped up.

Slow deterioration in operating condition can be detected by carefully monitoring

trends but failures which occur rapidly may not be detected by this technique because
of the time delay between sampling and obtaining the results of the analysis. This
method, because it is based on an intermittent sampling process is not suitable for
automatic alarm shutdown.
Table 2.1 is an example of the typical oil sampling intervals for various pieces of
equipment in normal use.

Table 2.1 Typical Oil Sampling Intervals

Diesel engines monthly to 500 hr
Natural gas engines monthly to 500 hr
Gas turbines monthly to 500 hr
Steam engines bimonthly
Air compressors monthly to 500 hr
Air conditioning Compressors beginning, middle and end of season
Gears and bearings bimonthly
Hydraulic systems bimonthly

Ferrography. Also known as wear-particle analysis or particle retrieval, ferrography is a

technique for separating particulates from liquid. An oil sample is drawn from the
equipment to be analysed and is caused to flow over a glass substrate in a strong
magnetic field; in this manner, the particles are pulled to the glass. After the oil is
washed away, the remaining particles on the substrate become what is referred to as a
ferrogram that is analysed both quantitatively and qualitatively. These particles range
in size from 1 to 250 um and are viewed through a high-powered, bichromatic
microscope. In this manner, information on particle shapes, composition, sizes, and
quantities can provide information on the types of wear within the piece of equipment.

Under normal conditions, the ratio between large (> 5 um) and small particles is fairly
constant. When this ratio changes abnormally, or when particle shapes, composition,
sizes, and quantities reflect different types of wear, such as rubbing, cutting, rolling
fatigue, combined rolling and sliding, and severe sliding wear, impending failure may
be indicated.

The similarity between ferrography and oil analysis ends as soon as the oil sample is
drawn; for example, the conventional spectrographic techniques associated with oil

16
analysis which measure the concentration of metals in lubricants do not detect particles
above 10 µm. Since it is felt that the larger particles are the first indicators of a problem
due to wear, ferrography should be considered as a valuable addition to oil analysis
rather than as a replacement for the latter technique.
Vibration Analysis. The underlying concept of vibration analysis is that every piece of
machinery has a naturally correct vibration level. A baseline reading is initially taken,
and subsequent readings are taken at intervals and compared to the baseline value. As
the equipment wears, there is a change in the vibration spectra due to the deterioration
of gears and bearings, misalignment, or rotor unbalance; components that require
attention, repair, or replacement can then be identified. It has been estimated that a
properly conducted vibration analysis program can reduce breakdowns up to 60%,
extend the operating life of equipment by 20%, improve the productivity of the
maintenance staff by 20%, and reduce inventory requirements up to 20%.

To institute a vibration analysis program, piezoelectric accelerometers are mounted at

strategic locations on the equipment to be monitored. Vibration signals are then
recorded from the accelerometers through the use of a portable tape recorder. At the
completion of the survey, the tape recorder is taken to the office and then connected to
a monitoring system; in this manner, the control program can be loaded into a
computer. The system then breaks the gathered information down into a spectrum of
levels at several frequencies

Since the computer’s memory will contain the relevant reference spectrum that was
taken when the equipment was considered to be in good condition, a simple
comparison with the recently gathered spectrum can generate a warning list where
faults are developing. The engineer then diagnoses the faults by checking which
frequencies correspond to which machine parts.

Shock-Pulse Analysis. In shock-pulse analysis, a hand-held shock-pulse analyser

measures lubrication and mechanical condition in ball and roller bearings and is
equipped with a built-in microprocessor digital read-out which provides immediate
assessment of overall conditions. It operates on the principle that damaged bearings
and other mechanical components generate abnormal amounts of high-frequency
energy from mechanical shock and friction. A special accelerometer mounted on the
machinery being tested transmits a signal containing the shock signatures to the
analyzer that is insensitive to normal vibrations and focuses solely on shock signals.

Though offering similar results as vibration analysis, shock-pulse testing of bearings is

considered a simple, low-cost alternative requiring only two forms of input: (1) bearing
bore diameter. And (2) rotational speed in rpm. Periodic inspection with the analyser
can aid in trend analysis, and its effective use can lead to timely identification of
defective components and maintenance scheduling.

Thermography. Thermography, or infrared inspection, is a technique to detect incipient

failures through overheating. With the use of a hand-held scanner, a technician can
sample many points on a daily basis. The detection of hot spots through closed covers
is also possible.

17
Because all objects radiate infrared energy proportional to their temperatures, the
scanner can convert the emission into a thermogram that show the relative temperature
differences within the machinery. Since the image can be photographed or videotaped,
a permanent record can be made for comparison with a baseline reading.

18
 CHAPTER 3

MACHINERY MOUNTING

3.1 Introduction

Rotating machines are frequently required to operate in ‘sets’ e.g. driver-driven, and
therefore require a common bedplate on which the separate units can be mounted (see
Fig. 3.1). This common bedplate provides a rigid, level structure which enables the
machines to be maintained in alignment during operation. Independent machines that
are sufficiently rigid and are not required to align with other equipment may be
mounted directly onto a foundation.

Fig. 3.1 A Typical Mounting Arrangement for Rotating Machines

It is important to realize that the mounting of the bedplate onto the foundation is critical
to the operation of the machinery. If the bedplate is to provide a suitable base on which
satisfactory machine operation can be achieved, then it must be level and firmly secured
to the foundation without distortion. One of the functions of the foundation is to absorb
machine vibrations caused by any unbalanced or inertia forces that may be present. If
there is any relative movement between the bedplate and the foundation then any
vibrations present, instead of being absorbed by the foundation, will tend to further
loosen the bedplate mounting and cause damage to the machine. If the bedplate is not
pulled down evenly and without distortion onto the foundation, then alignment of the
individual machines will be difficult and casing distortion will occur when they, in turn,
are pulled down onto the bedplate. This will eventually lead to rapid wear and damage
to machine elements during operation.

3.2 Setting and Levelling

The setting and leveling process ensures that the mounting points for the individual
machines are true and level. The bedplate should be provided with machined flats on
which the machines are mounted and these should be taken as reference points in the
leveling process. If level itself is not highly critical then any flat horizontal surface on the
bedplate can be used. For most machinery, level can be adequately determined by
using an engineers’ spirit level, but for large equipment, or where special accuracy is
required, then a surveyors’ level may be used.

The bedplate should be mounted on shims that can be adjusted during the leveling
process. Shim material should preferably be corrosion resistant and of sufficient
proportions to support the weight of the machine. If the shims are crushed under the

19
load of the machine then level and alignment will be destroyed. Shims may be either
flat material or wedge shaped and should always be placed at the anchor bolt locations
where the weight of the machinery is concentrated. When a flat shim material is used it
is recommended that it is shaped to fit around the anchor bolt.

Fig. 3.2 A Flat Shim Shaped to Fit around Anchor Bolt

Wedge-shaped shims provide an easy method of adjustment but care must be taken to
ensure that they are installed correctly so that they are aligned with the bedplate and
fully support the load. Fig. 3.3 shows the right and wrong ways of using wedge shaped
shims.

Fig. 3.3 Using Wedge-Shaped Shims

In order to provide some means of determining whether or not the bedplate is pulled
down evenly and without distortion, it is recommended that a dial indicator is set up
across the coupling, in the same way as for coupling alignment.

Fig. 3.4 A Dial Indicator Set Up Across a Coupling

The dial indicator will allow the relative position of the machine shafts to be compared
before and after the bedplate anchor bolts are pulled down. If there is a significant
change in that relative position, then this is an indication that the bedplate was distorted
when the bolts were tightened. To overcome this problem, it will be necessary to slacken
the anchor bolts one at a time and use feeler gauges to determine which mounting
requires extra shims under the bedplate to prevent the distortion.

20
3.2.1 Procedure for Setting and Leveling

1. Ensure that the foundation is clean and free of debris and that anchor bolts are
correctly positioned.

2. Lower the bedplate, with the machines installed, onto the foundation and install
preliminary shims under the bedplate and adjacent to each anchor bolt. The
thickness of the shim pack used will vary depending on the size and weight of
the machine but should range from a minimum of about 2cm (3/4``) up to 5cm
(2``) for large machines. Remember the shims have to carry the full weight of
the loaded machine.

3. If the baseplate has machined flats to assist leveling, then mount a spirit level on
the flats and check for level in both directions. If no such leveling point are
provided then select a clean, flat surface on the bedplate on which to mount the
level. If leveling is critical and no machined flats are provided, then it may be
necessary to remove one of the machines and use the machined mounting
points as a reference for leveling.

4. Adjust the shims under the anchor points until the bedplate is level in both
directions. To save time and to avoid trial and error, the adjustment required
can be calculated as follows:
(i) Use feeler gauges to determine the amount of adjustment required to
bring the spirit level into the true horizontal position (see Fig. 3.5).

Fig. 3.5 Using A Feeler Gauge to Determine Adjustments

(ii) Determine the ratio of the length of the bedplate to the length of the
spirit level as shown in Fig. 3-6

Fig. 3.6 Determining the Ratio

21
 (iii) Multiply the ratio by the feeler gauge measurement. This will give a
figure for the adjustment required at the mounting point.
L
adjustment at A  t x 1
L2
(iv) Tighten the anchor bolts and recheck the level. Further adjust the
shims if necessary.
(v) Set up a dial indicator across the machine coupling as shown
previously in fig.3-4. With the anchor bolts loose, set the indicator to
zero at top dead center, rotate the machine and record the indicator
readings at 90o intervals.

(vi) Tighten the anchor bolts and again, with the indicator zeroed at tip
dead center, take readings at 90o intervals by rotating the machine.

(vii) Compare the two sets of readings. If a deflection of more than

0.050mm (0.002``) in shaft position is measured, then some
distortion of the bedplate is indicated.

(viii) Loosen the anchor bolts one at a time and use a feeler gauge to
establish whether clearance exists between the shims and the
bedplate.

(ix) Adjust the shims and recheck as before until the deflection recorded
at the coupling is acceptable.

(x) When level and deflection are satisfactory, tighten the anchor bolts
making sure that all shims are correctly positioned.

The arrangement used to support the dial indicator during the leveling process will also
be useful when shaft alignment is carried out.

3.3 Grouting

Once the setting and leveling procedure is complete and the anchor bolts have been
tightened, the space between the bedplate and the foundation should be filled with
grout, a fluid mixture of mortar-like concrete which expands when it sets. The function
of grout is as follows:

 To secure the shims and ensure that they cannot be dislodged. It also protects
the shims from corrosion.
 To prevent the accumulation of corrosive or hazardous liquids inside the
bedplate.

Before grout can be poured, a dam must be constructed around the top of the
foundation to a height of about 10-12mm ( 3 8   1 2 ) above the top surface of the shims.

22
 Fig. 3.7 Constructing a Grout Dam

The grout is then poured inside the bedplate and thoroughly puddled to ensure that it
is properly distributed and that there are no voids. Grout should be allowed to
completely fill the bedplate so that there are no spaces left where liquid may
accumulate.

3.4 Special Mountings

3.4.1 Adjustable Mountings

In cases where machinery items are free-standing and may be subject to frequent
changeover or change of position, anchor bolts may be replaced by adjustable
mountings that provide a quick and easy means of leveling.

Fig. 3.8 A Typical Example of an Adjustable Mounting

The leveling features incorporated in this type of mounting enable a machine to be

leveled to precise limits in a minimum amount of time. Machines supported in this way
would normally need to be equipped with flexible service lines for power, air, water,
etc.

Before attempting to use this type of mounting it is important to ensure that it is clean
and greased so that the necessary adjustments can be made, and so that the mounting
doesn’t jam. It is also important to use mountings that are designed to carry the load of
the machine.

23
3.4.2 Vibration Isolators

An important consideration in many machinery installations are the problems of

vibration, noise and shock. To overcome these problems various types of special
mountings are available. The simplest solution, if these problems are not too severe, is
to insert pads of absorbent material, such as felt or rubber, between the bedplate and
the foundation. In order to distribute the load, the material should be sandwiched
between two steel plates as shown in Fig 3.9.

Fig. 3.9 Inserting Absorbent Material between Bedplate and Foundation

Felt and other materials are available in different grades and thickness for different
loading pressures. Where the weight of a machine is not evenly distributed over the
bedplate it may be necessary to use different grades of material at different mounting
points.

Where vibrations are more severe, a significant degree of deflection may be required if
they are to be absorbed by the mountings. In such cases a spring type of mounting is
preferred.

Various devices of this type are available ranging from a simple spring mounting of the
type shown in fig. 3-10 to a more sophisticated type which incorporates a self-damping
feature.

Fig. 3.10 Spring Mounting

Spring mountings normally provided a means of level adjustment which eliminates the
need for shims and may also include padding to reduce noise transmission. Vibration

24
isolators of this type serve the dual function of preventing machine vibrations from
being transmitted to other adjacent equipment and preventing the amplification of
internal stresses which cause misalignment and wear of machine elements.

25
 CHAPTER 4

BEARINGS

4.1 Introduction

A bearing is a device which supports a rotating shaft or spindle or guides one

component which slides over another. In addition to its supporting function, a bearing
is designed to allow relative movement between two separate components to occur
with the least possible frictional resistance. Almost all industrial mechanisms contain
elements which require relative movement between contacting surfaces and therefore
include some sort of bearing. In principle, bearings fit into two main categories:

4.1.1 Classifications of Bearings

Plain bearings

Under this category, the surface of one component slides over the surface of another
and where the surfaces in contact are specially prepared in order to minimize friction
and wear as shown in Fig. 4.1

Fig. 4.1 Examples of Plain Bearings

Rolling element bearings

Under this category, a series of rolling elements, i.e. either balls or rollers of various
shapes, are interposed between the two surfaces in order to facilitate movement of one
with respect to the other.

Bearings can also be classified according to the type of function they perform:

Journal bearings which support a rotating shaft or spindle and confine radial motion as
in Figs 4.1a and 4.2b.

Thrust bearings which prevent axial motion of shaft as in Figs 4.1b and 4.2c.

Linear bearing which guide or support relative motion between components in a

straight line as shown in Figs 4.1c and 6.2c

26
 Fig. 4.2 Examples of Rolling Element Bearing

The function a bearing performs is largely determined by the type of load that it has to
carry. The type of load also determines the particular type of bearing selected. Loads
can be one of three kinds: Radial, Axial and Combination.

Fig.4.3 Bearing Loads

4.2 Plain Bearings

4.2.1 Principles of Operation

The operation of a plain bearing relies on relative motion between plain surfaces which
are either cylindrical, in the case of journal bearings, or flat, in the case of thrust or slider
bearings. In order that motion may occur with minimum resistance the effect of friction
between the two surfaces must be reduced as much as possible. This is achieved by
ensuring that the two surfaces are smooth and by introducing a film of lubricant
between them. In some cases a bearing material which has self-lubricating properties
may be used, otherwise a separate supply of oil or grease must be provided. For the
best operation it is preferable that full-film lubrication is achieved so that metal-to-metal
contact is eliminated. In some cases however, this may not be possible. When loads are
very high it is impossible for a lubricant to maintain separation of the surfaces and even
with extreme pressure lubricants, only boundary lubrication can be achieved. In the
case of slider bearings, where positional accuracy of the sliding element is required such
as for machine tool carriages, full-film lubrication is undesirable because the lubricant
film tends to vary in thickness. Hence boundary lubrication, which allows some metal-
to-metal contact and thus more accurately locates the sliding element, it preferable.

27
The material of a plain bearing is always softer then the material of the shaft or slider it
supports. This allows the bearing to wear out rather than the shaft or slider. The design
of plain bearing assemblies is usually such that the bearing material itself can be
relatively easily replaced.

The key to satisfactory operation of a plain bearing is the maintenance of the correct
lubricant film. This is often assisted by machined grooves in the bearing surface which
act as reservoirs and ensure even distribution of lubricant across the bearing surface.
The grooves are usually connected to the lubricant inlet which is often located just
ahead of the most highly loaded area of the bearing.

One of the most important aspects of bearing operation is the control of temperature.
This may be achieved either by ensuring an adequate flow of lubricant which acts as a
coolant or by surrounding the bearing with chambers in the housing through which
cooling water can circulate.

4.2.2 Types and Materials

Journal bearings

A plain journal bearing is essentially a tube which encircles, either totally or partially, a
rotating shaft. The tube is normally held in a fixed housing and provides a support for
the shaft and allows it to rotate with minimum resistance.

There are two principal types of plain journal bearings – solid and split. A solid bearing
is usually called a bushing when it is of the thin-walled type i.e. up to 2mm (5/64``) for
a  25 mm (1) bearing, and a sleeve bearing when it is of the thick-walled type.

Fig. 4.4 Types Of Solid Journal Bearings

There are various types of split bearing but the most common consists of two halves
which together form a full circle. They are used particularly for ease of shaft removal
which can be accomplished by removing the top half of the bearing only.

28
 Fig. 4.5 Split Journal Bearings

Similar to a split half bearing is a multipart bearing which is composed of more than
two segments which fit together around the journal to form a full circle.

Fig. 4.6 Partial bearing

A partial bearing is one which supports the shaft from the bottom only and may
comprise a half-circle or less. This type of bearing can only be used when loads are
relatively heavy and are constant in direction.

Thrust bearings

A plain thrust bearing supports the end thrust of a shaft and restrains axial movement.
The bearing surface itself consists of a stationary surface in the form of a pad against
which the rotating element bears.

The most common form of plain thrust bearing is the thrust collar arrangement with the
bearing face machined with radial grooves as shown below.

29
 Fig. 4.7 Plain Thrust Bearing

Lubricant must be fed into the bearing at the inner diameter so that lubricant flows
outwards across the bearing face. Running speeds are limited by lubricant viscosity.

A slight modification to the above is a profiled pad thrust bearing where the pads are
shaped to provide a convergent lubricant film and help to form a hydrodynamic wedge.
The pad may be profiled to be uni-directional or bi-directional as shown below in Fig.
4.8

Fig. 4.8 Profiled Thrust Bearing

Tilting pad thrust bearings are able to accommodate a large range of speeds, loads, and
lubricant viscosities. This is achieved by providing pivoted pads which can assume a
small angle with respect to the rotating collar surface, and this makes sure that a full
hydrodynamic film is maintained between the surfaces.

Fig. 4.9 Linear bearings

Linear bearings, which are often called ways or guides, support either linear or
curvilinear motion and are often associated with reciprocating mechanisms. There are
various forms that linear bearings can take, some of which are shown in Fig. 4.10.

30
 Fig. 4.10 Typical Plain Linear Bearings

Materials

The requirements of a plain bearing material are complex. A bearing material must be
hard enough to resist wear and yet soft enough to conform to the contours of the journal
during the running-in process.

The following materials are commonly used:

Whitemetals. The whitemetals or Babbitt alloys are the best known of all bearing
materials. They are either tin-based or lead-based alloys and contain a significant
percentage of antimony. They are normally used as a coating or liner backed by steel,
cast iron or bronze. Whitemetals have excellent characteristics in all respects except that
compressive and fatigue strength falls rapidly with rising temperature.

Copper-lead alloys. These provide strength and fatigue resistance up to four times that
of whitemetals. Conformability (ability to tolerate misalignment and deflection under
load) and embeddability(to embed foreign matter and protect the journal from wear
and scoring) are lower however, and are sometimes improved by overlaying a thin layer
of whitemetal in a tri-metal construction as shown in fig. below.

Fig. 11 Overlying a Copper-Lead Alloy with Whitemetal

Bronzes. Bronze can be produced with a wide range of properties and are probably the
most economical of all bearing materials. Four types are used.

31
Lead bronze. Can be used without a steel backing but has low comformability and must
be accurately aligned. It is easily cast and machined and is used for moderate speeds
and loads.

Tin bronze. Has relatively high hardness and is used in applications where loads are
high but speeds are low. Tin bronzes require reliable lubrication and a hardened
journal.

Aluminium bronze. Has good shock and wear resistance and can be used at
temperatures of 260oC (500oF) and above. It is best used in heavy duty, low speed
application.

Phospor bronze. Also useful in heavy load, high temperature applications.

Aluminium alloys. These may be used as solid aluminium on steel or with an overlay
of whitemetal. They have high load capacity, good fatigue strength and excellent
corrosion resistance, but poor conformability and embeddability. They are best suited
to heavy load at moderate speeds.

For more specific details regarding the composition of bearing materials it is necessary
to consult either the appropriate standards or manufacturer’s information.

4.2.3 Maintenance Practices

General

There are a number of general considerations that relate to the maintenance of plain
bearings.
 Cleanliness is a keynote that must be observed when handling bearings of any
kind. Dust and dirt particles should be kept away from bearings sufaces and all
bearing components should be kept dry and protected at all times.

 Good alignment is essential to plain bearings without self-aligning properties.

 When plain bearings are disassembled all parts should be marked so that they
can be reinstalled in their original positions. The` matching of parts during
running-in makes them unsuitable for operation in other positions.

 When fitting plain journal bearings careful attention should be paid to the correct
tensioning of bolts. Bolting operations are normally conducted by manufacturers
with bolts tensioned to the same specification recommended in the maintenance
instruction. Incorrect tensioning may affect clearances and bearing crush.

 The key to good bearing performance is having the correct clearances and the
correct lubricant.

 Bearing surfaces should be given preliminary lubrication before the shaft is

turned.

32
  The journal surface or thrust collar should always be checked to ensure that it is
perfectly smooth. In the case of a journal, a micrometer should be used to check
the size so that replacement bearings will have the correct i.d. ( inside diameter).

Assembly

Bushes and sleeves. Bushes and sleeves may be either a press-fit or a shrink-fit in the
housing. In the case of a press-fit the following procedure should be adopted.

1. Check the dimensions of the bush and housing and compare with manufacturer’s
recommendations to ensure they are correct.

2. Ensure that the mating surfaces are clean, smooth and free of burrs.

3. Press the bearing into the housing using an arbor press if possible. Hammering
should be avoided as this may ruin the bearing. The bearing should be pressed in
in one continuous motion and a lubricant should be used.

4. Check the inside diameter of the bush to see if it has been reduced due to ‘close-in’
as a result of the press fit.

5. Hone or ream the bush to the recommended size.

In the case of a shrink-fit, the bearing can be assembled either by heating the housing
or by cooling the bearing. If the housing is heated, care should be taken to ensure that
heating is uniform so that no warping or distortion occurs. Heat up should not be too
rapid and normally a temperature of around 100oC should provide sufficient
expansion. Avoid heating the housing any more than is absolutely essential. If it is not
convenient to heat the housing, the bearing may be packed in dry-ice or chilled in a
deep-freeze unit before assembly. As in the case of a press-fit, it is advisable to check
the inside diameter of the bearing when temperatures have returned to normal to
ensure that it has not been reduced due to ‘close in’

Split bearings. There are a number of important considerations to be taken into account
when assembling split bearings of the precision type.

 It is vital that the surfaces of the bearing and housing are clean. Especially check
between the bearing and housing and the joint faces of both the bearing and
housing. Also check the oil-ways and oil grooves.

 A split bearing is provided with ‘free spread’ to ensure that both halves assemble
correctly and do not foul the shaft along the joint line when bolted up.

33
 Fig. 4.12 Free Spread in a Split Bearing
 Free spread can be adjusted by tapping the bearing gently with a wooden mallet
as shown below.

Fig. 4.13 Adjusting the Free Spread

 Manufacturer’s recommendations should be checked to determine the amount

of free spread allowed.

 To ensure that the bearing inserts have good contact with the housing they are
made so that the inside diameter at right angles to the parting line is slightly
larger than the diameter across the parting line as shown below.

Fig. 4.14 Bearing Crush

This excess is called crush and ensures that when the bearing is bolted up it will be held
securely and in full contact with the housing.

The bearing halves should be installed in the housing so that the crush is even on both
sides of the housing. Bolts should be torqued up progressively and evenly on both sides.

Clearances. The correct adjustment of clearances is vital to the operation of plain

bearings. If clearances are insufficient then metal-to-metal contact will occur causing
excessive wear. If clearances are too great then the hydrodynamic wedge will break
down and also cause metal-to-metal contact. In the case of journal bearings there are
several ways in which clearances can be checked.

34
  Measurement of the inside diameter of the bearing and outside diameter of the
journal can be made with either a micrometer or gauges. Care should be taken
if using a micrometer, to take readings in several positions.

 A soft material that will deform easily, such as a plastic thread, can be inserted
between the bearing and the journal before the bolts are torqued up. After the
bolts have been torqued and released again, the flattened material can be
compared with a suitably prepared chart and the clearance read directly.

Fig. 4.15 Checking Bearing Clearance with Plastic Thread

 A third alternative is to insert lead or brass shims in between the bearing and the
housing. The shims are adjusted to the point where the shaft turns easily but
where an extra 0.025mm (0.001) added to the thickness of the shim would
cause it to jam. Great care has to be taken not to damage the bearing surfaces
if this method is used.

If, whatever method is used, some out-of-roundness is found to exist, then it is the
minimum clearance which is critical. In the case of thrust bearings it is also important
to measure the end float to ensure that sufficient clearance exists between the thrust
collar and the bearing. This can be done by forcing the shaft hard up in each direction
and either measuring the clearance at the thrust faces with gauges or shims or setting
up a dial gauge and reading against a suitable shoulder on the shaft.

Relining journal bearings. Although it is less common these days for plain bearing liners
to be poured on site it is often still practical for large bearings used in heavy equipment.
For smaller bearings, spare liners are usually purchased from the manufacturer and held
as stock. However the technique of relining is still used and should be understood.

4.2.4 Failure Patterns

Before replacing a damaged bearing it is important to know the precise cause of failure
so that the problem can be properly corrected, otherwise similar failures may keep
occurring due to the same cause. There are two levels at which the symptoms of bearing
failure can be detected. The first is what might be called the level of external symptoms
which are exhibited while the bearing is in operation. The second can be called the
level of internal symptoms which can only be observed when the bearing is shut down,

35
dismantled and inspected.

Operating symptoms

When the condition of a bearing begins to deteriorate, whatever the cause, then it may
exhibit one or all of the following symptoms:

Overheating. The temperature of a plain bearing during operation is a vital indication

of its condition. A properly lubricated bearing in good condition should not generate
excessive temperatures and should run cool enough to touch. The most efficient way
to check bearing temperature is to use a portable sensing device and to measure the
normal running temperature of the bearing once it has been run in. Routine checks at
regular intervals will then show up any sudden or dramatic increases from the base
level.

Vibration. A plain bearing in good condition should run very smoothly, even more so
than a rolling element bearing. As clearances increase, some vibration may develop
which will tend to accelerate the deterioration of the bearing. As with temperature, hand
contact is usually sufficient to establish whether unnecessary vibration is present. It is
advisable where possible, and especially for critical equipment items, to establish a
normal operating level of vibration using a vibration monitor and to make routine
checks to establish when a deviation occurs. As with temperature, dramatic change in
operating characteristics indicates a need for further investigation.

Noise. A plain bearing should not produce high noise levels if it is in good condition. If
the noise level increases it may be due either to misalignment or excessive wear.
Foreign particles trapped in the bearing may also cause noisy operation.. Noise levels
can be measured independently although vibration monitoring is more commonly
used. Technicians should develop an ‘ear’ for the sound of machinery so that changes
in both level and characteristics can be detected.

Seizure. Total seizure of a plain bearing is, of course, a symptom which cannot be
ignored. If the three characteristics referred to above are carefully monitored then
seizure should not occur. Seizure is usually a result of excessive temperature build-up
due to lack of lubrication and if temperatures are routinely checked then seizure should
be avoided. The danger in allowing undetected deterioration to lead to ultimate seizure
of a bearing is that such a sudden catastrophic failure is likely to also cause severe
damage to the housing and other machine components. The excessive temperature
build-up can result in fire and the sudden shutdown of the machine may cause severe
or even disastrous process problems.

Symptoms often occur simultaneously and the presence of one often leads to the others
appearing. This means that cross-checks can be made to establish whether a problem
exists. For example, if it is suspected that the noise level in increasing, then a check on
operating temperature may confirm that the condition of the bearing is deteriorating.

36
Symptoms found on inspection

The operating symptoms alone rarely, if ever, provide sufficient evidence for the exact
cause of failure to be determined. It may be possible, once the external symptoms of
failure are detected, to attribute them to the general cause of ‘wear’ and then merely to
proceed to replace the bearing and re-start the equipment. This is a short-sighted
approach however, and runs a strong risk of a premature repetition of the same
problem. In order to be more precise about the cause of failure, it is necessary to
dismantle the bearing and inspect the bearing surfaces to establish what internal
symptoms exist. These can generally be identified according to one of the following
categories.

Wear. Any two surfaces that are in constant sliding contact, even though properly
lubricated, will eventually wear out. This process will, in most cases, be apparent due
to a general loss of metal across the bearing surface. The bearing surface may still be
reasonably good and the wear only clearly evident by the increased clearance
established by a dimension check. Wear occurs due to a combination of the processes
of adhesion and abrasion described earlier.

Fig. 4.16 A Typical Example Of General Wear

Fatigue. Fatigue is caused by cyclical stressing due to fluctuating loads and although
not as common in plain bearings as in rolling element bearings it can often occur when
load or speed becomes excessive.

Fig. 4.17 A Typical Pattern of Fatigue Failure

37
Galling. Sometimes the adhesion due to cold welding of two surfaces in contact
becomes so great that grain displacement of the bearing material takes place leaving
pits or craters. This is usually associated with high loads which cause excessive pressure
between points of contact.

Scoring. When excessive amounts of dirt or large dirt particles are present due to
contamination of the lubricant or because of abrasive wear then scoring and erosion of
the bearing surface will result

Fig. 4.18 Scoring of the Bearing

Pitting. Local loss of metal in the form of pits or deep craters can result from a number
of causes. This can sometimes be due to stray electric currents that arc across the
bearing and cause pitting of both the surface of the bearing the journal.

Fig. 4.19 Pitting of Bearing Surface

38
Wiping. When there is insufficient clearance in the bearing or overheating occurs due
to inadequate lubrication then a superficial melting of the bearing surface and a flow of
material occurs.

Fig. 4.20 Wiping of the Bearing Surface

Fretting. Fretting is most likely to occur in plain bearings between the liner and the
housing when the interference fit is inadequate and slight vibratory movement occurs.
A characteristic fine brown debris of oxidation material is the usual evidence of fretting
or false brinelling as it is sometimes called. Fretting may also occur between the bearing
surfaces while the shaft is stationary due to vibrations transmitted from external sources.

Corrosion. Etching and surface discoloration are all evidence of corrosion.

4.2.5 Causes of failure

In theory there are an almost infinite number of possible causes of bearing failure but
in practice it has been found that most failures can be attributed to one of several quite
specific causes. In order of significance, these are as follows:

Dirt

The presence of dirt is the single most destructive cause of plain bearing failure. Large
dirt particles which become embedded in the bearing surface can cause excessive wear
and reduce the life of the bearing and journal. An excessive quantity of fine dirt particles
will cause scoring and rapid wear. Dirt particles can also become trapped between the
bearing liner and the housing. When the particles are large this can cause distortion of
the liner, reduction of clearances and an impairment of heat transfer. Over-heating and,
in some cases, fatigue failure are the likely results.

Dirt particles are most likely to become entrapped during the assembly procedure and
the technician must take all possible care to ensure that this does not occur.
Contaminated lubricant may also be a source of dirt and recalculating systems should
be properly filtered and the filter changed or cleaned at regular intervals. In a crankcase

39
the failure of one bearing may result in contamination of the lubricant by particles of
bearing material which may then endanger other bearings. If this condition is suspected
then more frequent lubricant changes may be necessary to protect the other bearings.

Inadequate lubrication

Oil starvation is a common cause of bearing failure and may occur for various reasons.
The period immediately after overhaul is always critical and it is recommended that the
lubrication system be primed to ensure lubricant is present on initial start-up. The
lubrication system should be kept under close observation for the period after start-up
to ensure that pressures and temperatures are established according to design.

During normal operation, several factors may affect the supply of oil. Leaks, oil pump
failure, blocked filters and blocked oil passages are all potential problems. Care must
be taken when installing bearing liners to ensure that the oil hole is in line with the oil
passage in the housing. It should also be recognized that once a bearing becomes badly
worn the hydrodynamic wedge cannot be effectively established and the wear rate will
further increase due to inadequate lubrication.

Bearing failure may also occur due to use of an unsuitable lubricant due either to error
or poor selection. Lubricant suppliers and equipment manufacturers should be
consulted if there is reason for concern about the suitability of the lubricant used.
Lubricants should be stored properly and clearly marked so that the likelihood of error
is reduced.

Improper assembly

As well as ensuring that cleanliness is observed during the assembly procedure, it is also
important to ensure that the bearing is assembled correctly in all other respects. The
main considerations are that the bearing should be fitted square and secure in its
housing and that it does not get physically damaged during assembly. Failure to ensure
proper assembly may result in uneven or rapid wear and overheating.

Misalignment

If the journal is not properly aligned in the bearing uneven bearing wear and possible
damage to the journal will result. The alignment procedures described earlier should be
followed carefully. The alignment of shaft couplings should also be checked to ensure
that misalignment there does not affect the true running of the journal in the bearing.

Overload

Equip overloads can occur for many different reasons and are particularly likely to occur
when extra output is required. The most common symptoms of overload are
overheating and fatigue. When these are observed a review of operating conditions is
advisable in order to establish whether any overloading has occurred.

Increased speeds, feed rates, levels, operating temperatures and pressures, etc. can all

40
create overload conditions which lead to machine elements such as bearings having to
perform above design limits.

Moisture

The presence of water due to condensation or lack of effective sealing may cause
corrosion of the bearing surfaces and the formation of rust.
Lubricant breakdown

Breakdown of the lubricant, because of the formation of organic acids due to oxidation
or the presence of specific elements in the oil such as sulphur compounds, may lead to
corrosion of the bearing surfaces. An analysis of the lubricant after it has been in service
may be necessary to establish whether deterioration has taken place. A review of the
oil replacement period may be sufficient to avoid recurring problems. This should be
done in consultation with the lubricant supplier.

4.3 Rolling Element Bearings

4.3.1 Principles of Operation

Rolling element bearings, or anti-friction bearings as they are often called, differ from
plain bearings in that they incorporate rolling elements, either balls or rollers, which
are held between two raceways as shown below. A soft metal cage or retainer separates
the rolling elements and ensures that they are evenly spaced, but does not carry any
load. As a result of the relatively small area of contact between the rolling elements and
the races, the frictional resistance to relative motion is comparatively low.

Outer race

Inner race

Fig. 4.21 Typical Ball and Roller Bearings.

Because the relative motion between the moving elements is one of rolling rather
than sliding, the material requirements are quite different from plain bearings. Instead
of requiring bearing materials to be soft in comparison with the journal, both the rolling
elements and the raceways of rolling element bearings are made of specially
hardened steel. The harder the elements, the smaller the indentation and deformation
of the surface and hence the lower the frictional resistance. However, although sliding

41
action between the two moving elements is much reduced, in comparison with plain
bearings, it cannot be eliminated entirely, and therefore lubrication is just as critical to
rolling element bearings as to plain bearings.

Rolling element bearings are manufactured to very precise standards of accuracy to

ensure good performance and long life. Tolerances are held to a thousandth or in some
cases a tenth of a thousandth part of a millimetre in order to minimise run-out and to
ensure the proper radial and axial clearances required for smooth operation. The
choice of balls or rollers as the rolling elements depends on the operating conditions and
the following considerations.

Bearings can operate at higher speeds without overheating, are less expensive for
lighter loads, have lower frictional resistance at light loads, are available in a wider range
of sizes. Roller bearings can carry heavier loads, are less expensive for heavier loads
and larger sizes, are superior under shock or impact loading, provide greater rigidity.

The important physical difference between balls and rollers that gives rise to this
difference in performance is the variation in the area of contact between the rolling
elements and the raceway. The ball has a small area of contact which resembles point
contact depending on how much deformation of the ball and raceway occurs. The
roller, by comparison, has a greater area of contact which resembles line contact.

The greater area of contact of the roller makes it better able to carry heavy loads and
withstand impact, but tends to increase frictional resistance at low loads. Ball bearings
generate lower resistance at low loads but deform more significantly at high loads which
causes frictional resistance to increase. Ball bearings can run at higher speeds due to
the smaller area of contact.

4.3.2 Types Of Rolling Element Bearings

Journal Bearings

Some journal bearings of the rolling element type are given below:

42
 Fig. 4.22 Types of Rolling Element Journal Bearings

Thrust Bearings

Some thrust bearings of the rolling element type are also given below:

Fig 4.23 Types of Rolling Element Trust Bearings

4.3.4 Bearing Assembly Design

Shaft and housing fits

As a general rule a rolling element bearing should be installed so that its rotating ring is
an interference fit and the stationary ring is a slip or push fit. An interference fit is one
which requires a press or a driver or, if the fit is especially tight, may require hot
mounting, whereas a slip or push fit can be slid into place by hand. Sometimes if loads
and speeds are high, both races may be fitted with an interference fit. The fit required
for a particular bearing should be established by consulting the manufacturer or the
standards of the ISO (International Standards Organisation).

43
Thermal expansion

When a shaft is mounted on rolling element bearings some provision may have to be
made for thermal expansion of the shaft in the axial direction while at the same time
ensuring that all elements of the machine are maintained in the correct relative
positions.

In the common case where the shaft rotates and is held by more than one bearing it is
normal to have one bearing held in the housing and the other floating and able to
accommodate axial movement of the shaft due to expansion or contraction.

Types of mountings

There are several standard arrangements that are used to fix a bearing to a shaft so that
its axial position is maintained.

Shaft nut and locking washer. This is the most common arrangement and can used for
both single and double row radial bearing It employs a specially designed nut and a tab
washer as shown in Fig. 4.24.

Fig. 4.24 Shaft Nut and Locking Washer Arrangement

Slotted nut and pin. Sometimes a castle nut or specially designed slots; nut may be used
in conjunction with a split pin or cotter pin in order to provide adjustment for inner
cones of tapered roller bearings as shown Fig. 4.25.

Fig. 4.25 Slotted Nut And Pin

44
4.3.5 Maintenance Practices

General

Although there are specific maintenance practices associated with particular types of
rolling element bearings there are a number of general recommendations that apply to
all types. These should be kept in mind whenever bearing maintenance is carried

 As with plain bearings, cleanliness is vital to the satisfactory operation of rolling

element bearings. Bearings should be kept free of dust and dirt particles and be
kept dry and protected at all times.

 Bearings should be handled with clean, dry hands or with clean gloves

 It is important when mounting and dismounting bearings tat the correct tools are
used and that they are in good condition in order to avoid damage to the bearing
or bearing assembly

 Bearings should be wrapped in oil-proof paper when not in use.

 Only clean solvents and flushing oils should be used for bearing cleaning.

 Before installing a rolling element bearing both the housing and the shaft should
be carefully inspected for burrs, nicks and scratches that may interfere with the
fitting of the bearing.

 Bearings that are dry and not lubricated should not be spun. If compressed air
is used to clean a bearing care should be taken to avoid spinning the bearing.

 Cotton waste or dirty rags should not be used to clean bearings, but only clean
lint free rags.

 The force applied when mounting or dismounting should always be applied to

the ring with the interference fit and should never be applied in such a way that
the force is transmitted through the rolling elements.

 Never strike a bearing directly with a hammer or mallet

 Remember that all sealed and shielded bearings must be mounted cold.

 Bearings should never be heated with a naked flame.

Tools and equipment

The maintenance of rolling element bearings requires specialized tools and equipment
and without these many tasks are extremely difficult. The following items should be
considered essential:

45
Mounting dollies and sleeves

When mounting bearings which are a press fit in the housing or on a shaft it is
important that pressure is applied evenly around the bearing ring. If the bearing
is cocked due to uneven force then surfaces can be damaged and the bearing ring
distorted. A set of mounting dollies and sleeves will ensure that bearings are
driven home evenly. These can be purchased direct from the bearing
manufacturers or can be made up to suit a particular application.

Fig. 4.26 A Typical Example of a Mounting Sleeve

Hammers

Hammers should be made from steel or a soft material and should be free from burrs.
Copper or synthetic resins are suitable materials for soft hammers but lead and tin
should not be used. Wooden mallets should not be used because of splinters.

Drifts

Only steel drifts should be used and they shoe be used for bending or straightening
tabs on washers or for driving shaft nuts.

Arbor press

An arbor press ensures that bearings are evenly especially when the fit is tight. It is
used in preference to other methods practicable.

Pullers

Bearing pullers are essential for dismounting there are several types available. Pullers
should be maintained in good condition that they operate freely and the claws are
from burrs.

46
 Fig. 4.27 Typical Examples of Bearing Pullers

Lifting gear

When handling large, heavy bearings it is important to have suitable lifting gear available
such as for slings.

Hook and impact spanners

Hook and impact spanners are needed for use adapter sleeve nuts, withdrawal nuts
and shaft

Induction heater or oil bath

Modern induction heaters, such as the type shown in Fig. 4.28, are much cleaner and
easier to use than an oil bath when bearings have to be heated for a shrink fit.

Fig. 4.28 Induction heater

Fig. 4.29 Oil bath.

47
When induction heaters are not available, the traditional oil bath should be used.

Gauges

A set of various types of gauges is necesssary for measuring diametral clearances,

housing bores and shaft diameters. An ordinary set of feeler gauges is sufficient for
measuring clearances but a special set of bore gauges may be required for measuring
the bore of housings. Alternatively, standard inside and outside micrometers can be
used for measuring diameters.

The above tools represent the minimum required for bearing maintenance. Where
bearings are mounted on tapered shafts or on adapter or withdrawal sleeves some
hydraulic equipment may also be required.

Oil injection equipment

Where shafts have been provided with oil ducts, hydraulic pressure supplied by an oil
injection pump can be used for mounting and dismounting both straight bore and
tapered bore bearings. A typical situation is shown in Fig. 4.30.

Fig. 4.30 Mounting By Oil Injection.

Hydraulic nuts

These tools consist of a nut that incorporates a groove in which an annular piston
moves when oil pressure is built up behind it. Hydraulic nuts can be used for both
mounting and dismounting and employ the same oil injection equipment referred to
above.

Fig. 4.31 Typical Hydraulic Nut

48
As well as the above equipment, there are a number of standard items which may be
required from time to time and should be readily available. These may include:
straight edge, marking blue, dial gauge, plumb line, solvent, clean rags, etc.

Tools should be kept clean, and in good condition. Bearings are precision items and
tools and equipment should therefore be maintained, handled and stored
accordingly.
I
4.3.6 Mounting procedures

Preliminary steps

Before starting the mounting procedure for any bearing, the following points should
be considered:

 Check the manufacturer's drawing of the bearing arrangement and ensure that
it is clearly understood. Establish which fit is the interference fit.

 Check that the necessary tools and equipment are available after determining
the mounting procedure to be used.

 Select a suitable working environment that is clean and adequately lit.

 If an old bearing is to be remounted make sure that it has been properly
cleaned and lightly coated with lubricant. Protect the bearing in greaseproof
paper until ready for fitting.

 New bearings should be kept wrapped until ready for fitting. Check that the
bearing is the correct type and size according to the manufacturer's
recommendations.

 Check that the shaft and bearing housing are clean and free from burrs and
other surface damage.

 Check the shaft and housing dimensions to ensure that they are correct
according to the manufacturer's drawings.

 Check shoulders and abuttments for run-out, especially in the case of thrust
bearings. Run-out in the thrust face mounting will cause rapid wear and should
be checked with a dial gauge.

49
 Fig. 4.32 Checking Run-Out in The Thrust Face Mounting

Pre-lubrication

Normally, rolling element bearings are not lubricated until after they are mounted,
although there may be exceptions, especially when the bearings are inaccessible. For
cold mounted bearings, however, a light lubrication of the bearing seat and the shaft
journal and housing will assist in the assembly procedure. It is also good practice
where shaft nuts and adapter sleeve nuts are used for drive-up, that the threads be
lightly lubricated so that they create minimum resistance.

Selection of mounting method

The method to be used for mounting a bearing will depend on the type and size of
bearing and on the mounting arrangement. The manufacturer's instructions or service
manual should be followed where available.

Bearings with a bore of 100mm (4") or less can usually be cold mounted, whereas
larger bearings need to be heated. For bearings with tapered bores, only very large
bearings need to be heated.

Cylindrical bore bearings need to be moun mechanically whereas tapered bore

bearings car mounted using hydraulic mounting tools.

The following methods can be considered standard for mounting rolling element
bearings doubt exists as to which method should be used tl equipment and bearing
manufacturers should consulted.

Arbor press

An arbor press can be used for small bearings wdith cylindrical bore. A sleeve should
be used between the bearing and the press which has flat, parallel are burr-free end faces.
The sleeve should bear on bearing ring with the interference fit.

50
 Fig. 4.33 Typical Arrangements Using an Arbor Press

Hammer and Dolly

For cold mounting of all cylindrical bore bearing suitable dolly or sleeve can be used
to drive bearing on to its mounting. The sleeve must bear the bearing face with the
interference fit and should be taken to ensure that the bearing is do on smoothly and
does not cock over.

Fig. 4.34 Typical Example 0f The Use Of A Hammer And Dolly

Hook and impact spanners

For small and medium sized bearings (i.e. up to 200 mm (8") bore) with tapered bore,
either a hook or impact spanner can be used with a drive nut to drive the bearing on
to the tapered shaft or on to an adapter sleeve as shown in Fig. 4.35.

51
 Fig. 4.35 Using Hook and Impact

When a drive nut is used in this manner the face of the nut facing the bearing should be
coated with a dry lubricant such as molybdenum disulphide and the surface of the shaft
or sleeve coated with a light oil.

Hydraulic nut

A hydraulic nut can be used for bearings with tapered bores as shown in Fig. 4.36.

Fig. 4.36 Hygralic Nut

Oil injection

Oil can be injected between the bearing inner face and the shaft for a tapered bore
bearing to expand the bearing and reduce the friction and make it easiser to drive the
bearing on to the seat.

In order to be able to use this method the shaft must have been specially machined
with an oilway and oil grooves to distribute the oil between the bearing and the shaft.

Oil injection plus hydraulic nut

For large bearings on tapered bore shafts or with suitably machined withdrawal
sleeves, oil injection can be used in conjunction with a hydraulic nut.

52
Hot mounting

For bearings with cylindrical bores and for large bearings with tapered bores it
may be necessary to heat the bearing. The bearing should be heated to around
80°C to 90°C above the shaft temperature but never to more than 120°C
(250°F). The heating apparatus should be close to the equipment and the hot
bearing should be pushed home quickly and smoothly before it cools down or
jams.

If an oil bath is used, the bearing should be heated with the oil and not dropped into
hot oil and should be kept off the bottom of the bath by a grate to prevent
distortion.

Whatever method is used a careful check must be kept on the temperature of the
bearing by using a surface thermometer.

When a bearing is an interference fit in the housing and it is impossible to heat up

the housing it may be necessary to cool the bearing by submerging it in a bath of
alcohol cooled by dry ice or a cryogenic liquid.

4.3.7 Dismounting procedures

The procedure used for dismounting a bearing will depend on the way in which the
bearing is mounted and whether the interference fit is on the shaft or in the housing.
If the bearing is to be re-used then its relative position should be marked before it is
dismounted i.e. which side is `up' and which way does it face.

Whether the bearing is to be re-used or not, care should be taken not to damage the
bearing during the dismounting process so that the evidence of failure is not disturbed
and can be used to establish cause of failure.

The following methods are commonly used.

Interference fit on the shaft

The most common method for dismounting bearings with either a cylindrical bore or
a tapered bore is by the use of a puller such as the one shown earlier.

Bearings mounted on shafts that have been machined with oil ducts can be
dismounted using the oil injection method.

Interference fit in the housing

When the bearing is an interference fit in the housing then the bearing may have to
be hammered off using a dolly or a soft metal drift.
Because of the tendency of soft metal drifts to chip they should never be used for
mounting. When dismounted in this way bearings should be washed carefully
before being re-used.

53
4.3.8 Operating Symptoms

The external symptoms of failure are the same for rolling element bearings as for
plain bearings.

Overheating

As the condition of a rolling element bearing deteriorates, the frictional resistance to

motion increases and the operating temperature of the bearing begins to rise. Unlike
plain bearings, however, where almost any change in condition tends to cause an
increase in operating temperatures, only certain causes lead to overheating in rolling
element bearings. The two main causes are inadequate lubrication and loss of internal
clearance. Because of the sliding contact between the surfaces of a plain bearing almost
any change in surface condition will increase the frictional resistance to motion. The rolling
contact in a rolling element bearing

The temperature of a rolling element bearing can be measured in the same way as a plain
bearing and once again it is deviation from the normal running condition that provides
a warning of malfunction. A rise of 10oC above normal running temperature is generally
considered as a cause for alarm with a maximum allowable temperature for a standard
bearing being around 125oC (260oF)

Vibration

Unlike plain bearings, some vibration of rolling element bearings is normal due to the
action of the rolling elements themselves. With rolling element bearings it is particularly
important that a signature pattern is established either by vibration analysis or by direct
observation. Deviation from that pattern can then be monitored to detect change in
condition of the bearing. The acceptable limits for measured vibration vary with the size
and type of machine and recommended values are given in Chapter 10. If vibration levels
are assessed by direct observation then experience is required to determine the severity
of the problem.

An understanding of the principles of operation of the bearing and the material

characteristics should make it obvious, even to the inexperienced, when vibration levels
are becoming unacceptable.

Vibration may develop in a bearing because of defects in the bearing itself, or it may be
transmitted to the bearing from other parts of the machine or other adjacent equipment.
Vibration produces rapid and repeated blows on bearing surfaces and contributes, sooner
or later, to fatigue failure of the bearing material. It can also affect the properties of grease
and damage bearing seals and hence lead to loss of lubricant.

When vibration is transmitted to a stationary bearing it can cause fretting corrosion,

described below.

54
Noise

As is the case with vibration, rolling element bearings generate more noise under normal
running conditions than do plain bearings. The normal noise pattern may vary due to
changes in operating speeds and loads and, as with vibration patterns, a signature should
be established from which deviations can be observed.

Although noise can be measured with an acoustic monitoring device it is more usual for
direct observations to be made by ear. Hence it is important for maintenance personnel
to become familiar with the characteristic noises produced by different types of bearings
and the changes produced by different types of defects. For example, dirt tends to
produce a crackling sound, damage to the raceways causes a high-pitched whine, and
loss of lubricant causes a squeaking sound. The most common aids used in the detection
of bearing noise remain the screwdriver and the stethoscope and valuable information
about bearing condition can be determined this way.

Seizure

If noise, vibration and overheating are carefully monitored then complete seizure should
rarely occur. When it does, it may indicate that overheating has reached the point where
the bearing metals have fused and the usual cause of this is lack of lubrication. It is also
possible for a very badly worn bearing to seize due to displacement of the rolling
elements. The failure of the bearing cage or retainer can also cause the rolling elements
to jam.

4.3.9 Symptoms found on inspection

Rolling element bearings also develop symptoms of malfunction that can only be
observed when the bearing is dismantled. Careful observation of the surfaces and other
evidence is essential if the precise cause of failure is to be established. The only
exception here is sealed bearings which are usually discarded and replaced without
investigation. The following symptoms are commonly found as evidence of rolling
element bearing malfunction or failure

Wear

Rolling element bearings are not as susceptible to general wear from adhesion and
abrasion as plain bearings, because of the rolling rather than sliding motion of the
surfaces, but the presence of foreign material will cause surface damage in the form of
scratching and scoring as shown below

55
 Fig. 4.37 Surface Damage Caused by the Presence of Foreign Material.

Fatigue

The rolling action of balls and rollers sets up an intermittent transfer of load from one
raceway to another and generates cyclical stresses in the loaded area of the raceways.
The continuous deflection of the metal causes cracks to develop which lead to flaking
of the surfaces.

Fig. 4.38 Surface Flaking.

As this condition worsens, the metal breaks down further and grain displacement takes
place. This condition is known as spalling.

Fig.4.39 Grain Displacement Due To Spalling.

56
Fretting

Fretting corrosion or false brinelling is most likely to occur when a rolling element
bearing is dry and stationary. It is due to slight, almost imperceptible motion between
the contacting surfaces of the rolling elements and raceways. Such motion may be
transmitted to the bearing from an external source or may come from the machine itself.
Fretting produces a characteristic red-brown dust at the interface.

Fig. 4.40 A Typical Example Of Fretting

Fretting corrosion is most likely to occur when a machine is in transit or on stand-
by.

Brinelling

True brinelling, which false brinelling or fretting is said to resemble, consists of

indentations in the raceways made by the rolling elements when the bearing is
subjected to shock loading.

Fig. 4.41 True Brinelling

Pitting and fluting

A pitted or a fluted effect as shown in Fig. 4.42 may appear as a result of stray electric
currents arcing across the contact surfaces.

57
 Fig. 4.42 Pitting and Fluting.
It is usual for the pitting to develop first and if no action is taken to prevent further
damage this deteriorates fruther into a fluted or washboard effect.

Smearing and galling

If the rolling elements fail to rotate properly and rub or slide over the raceways then
smearing may occur due to the surface of the raceway `picking up' on the rolling
element as shown in Fig. 4.43.

Fig. 4.43 Smearing of Bearing Surface

Fig. 4.44 Evidence of Galling

58
Corrosion

Corrosion of bearing surfaces may be evident as pitting or spalling of bearing

raceways. Rust and other corrosion products may be present.

Wear Patterns

The pattern or load zone produced on the internal surfaces of a ball bearing can be
an important clue to the cause of failure. Although other types of bearings also
generate specific loading patterns they are much more difficult to analyse than ball
bearings.

In order to benefit from the study of load zones it is necessary to differentiate between
normal and abnormal patterns. The normal pattern to be expected from a bearing
will depend on the way the load is carried and whether it is the inner or the outer
ring that rotates. Fig. 6-81 shows examples of the normal and abnormal load patterns
that can be expected to develop under the loading conditions stated.

Fig.4.45 Typical Loading Patterns For Ball Bearings

4.3.10 Causes of failure

The same problems that cause malfunction and failure of plain bearings also
cause failure of rolling element bearings. Rolling element bearings can also be
affected by factors that do not usually affect plain bearings due to their different

59
configuration. Thus the symptoms described above can result from one or more
of the following:

Dirt

As with plain bearings, the presence of dirt or other foreign material in the bearing will
cause excessive wear and premature failure of a rolling element bearing. Cleanliness
during assembly, constant filtering of lubricants and well maintained seals will help to
avoid this problem.

Inadequate lubrication

The oil supply system is as critical for rolling element bearings as for plain bearings and
all the recommendations for maintaining an adequate supply of the correct lubricant
apply. Failure of the system will lead to rapid deterioration in bearing condition
due to smearing and galling, and the likely seizure of the bearing. It is generally
recognised that inadequate lubrication is the single most common cause of rolling
element bearing failure.

Improper assembly

If a rolling element bearing is not correctly assembled then rapid wear will result from
excessive or insufficient pre-loading, misalignment or failure to secure the inner and
outer rings correctly. Abnormal wear patterns such as those described in the previous
section will result and also the likelihood of fatigue failure is increased.

Misalignment

For rolling element bearings that do not have inherent self-aligning features the
alignment of shaft and housing can be critical to the operation of the bearing. Cylindrical
roller bearings are the most susceptible to run-out and there are limits to the tolerable
run-out for all other types except self aligning ball bearings and spherical roller
bearings. Wear patterns should be studied carefully in order to establish evidence of
misalignment and squareness of the housing and shaft alignment should be closely checked
if doubt exists.

Overload

If a rolling element bearing is subjected to loads in excess of those for which it was
designed, then its life will be shortened and early fatigue failure will occur. The reduction in
life span can generally be expected to be roportional to the cube of the load increase. This
means if the load were doubled then bearing life would be reduced to approximately one-
eighth of normal. Overloading can also occur due to excessive speed which leads to
overheating of the bearing. High temperatures may affect the properties of the lubricant
and cause centrifugal throw-out of oil and grease. Excessive wear will occur as the
effectiveness of the lubricant deteriorates, and at very high speeds fatigue life may be
reduced due to the increased loading which results from high centrifugal forces acting
on the rolling elements.

60
Moisture

The presence of water in a bearing, due to leakage into the housing or condensation of
moisture due to temperature changes, can cause considerable damage from corrosion.
Water may also find its way into the bearing as a result of improper washing and
drying techniques used during inspection. In an oil lubricated bearing, the presence
of significant quantities of water will cause emulsification of the lubricant.

Lubricant breakdown

Oxidation of the lubricant may lead to the formation of acidic compounds that
may cause corrosion of bearing surfaces. Sometimes lubricant additives may be
incompatible with bearing materials and also lead to corrosive attack.

Shock loading

Rolling element bearings are more susceptible to shock loading than are plain
bearings because of the point or line contact of the rolling elements. Shock
loads cause indentation of the raceways and result in the brinelling effect discussed
in the previous section.

Electric currents

Stray electric currents, even at very low voltages, can arc across the lubricant
film and lead to pitting and fluting. This is more likely to occur with electrical
machinery but can also occur in other machines due to currents that build up
statically and short circuit to ground through the bearing. This type of problem may
also occur due to the incorrect positioning of earthing leads when welding is being
carried out on a machine.

External vibrations

Vibrations transmitted from other parts of a machine, or from another machine

altogether, can cause damage to a rolling element bearing whether it is running or
stationary. If a bearing is in operation and is subjected to vibrations from an
external source, then its fatigue life is likely to be reduced depending on the severity
of the vibrations. External vibrations transmitted to a stationary bearing may
produce fretting corrosion.

61
Table 4.1 Summary of the Symptoms and Causes of Rolling Element Bearing
Failure
Symptoms Causes

Operating Inspection
Overheating Wear Dirt
Vibration Fatigue (spalling) Inadequate lubrication
Noise Fretting Improper assembly
Seizure Brinelling Misalignment
Pitting and fluting Overload
Smearing and galling Moisture
Corrosion Lubricant breakdown
Abnormal wear zones Shock loading
Electric currents
External vibration

62
 CHAPTER 5

V-BELTS DRIVES

5.1 Introduction

Although various other types of belt are also used, V-belts are the most common.
However, many of the maintenance considerations that apply to V-belts are also
relevant to other types of belt drive such as flat belts and timing belts.

5.2 Principles of Operation

V-belts are normally used to transfer power between two shafts whose axes are parallel
and some distance apart.

Fig. 5.1 Typical V-Belt Arrangements

The belt is mounted on pulleys that are attached to the driving and driven shafts and
the drive relies on friction between the belt and the pulleys for its operation. The belt
sits in the groove of the pulley and makes contact with the sides of the groove as shown
in Fig. 5.2. There are various ways in which the output shaft of one machine can be
linked to the input shaft of another so that transmission of power can take place.

Fig. 5.2 V-Belt in Pulley

63
In order to be able to transmit power, the belt must be under tension so that it is forced
down into the groove. The belt is squeezed and friction develops between the sides of
the belt and the sides of the groove. The depth of the groove is always greater than the
thickness if the belt, however, and the belt should never bottom in the groove. The
operation of the belt and its ability to transmit power depend on the size of the friction
force and the arc of contact of the belt. The greater the arc of contact the more power
the belt can transmit (Fig. 5.3).

Fig. 5.3 Arc of Contact/Angle of Contact

As well as performing its primary function of transmitting power, a V-belt can be used
to change the speed of the driver output and hence the torque transmitted to the driven
unit. There are three basic alternatives as shown in Fig. 5.4.

Fig. 5.4 Alternative Arrangements for V-Belt Drives

64
The speed ratio between the pulleys of belt drive can be calculated from a simple
formula.

driver pulley diameter mm 

driven speed RPM   x driver speed RPM 
driven pulley diameter mm 

It is generally accepted that V-belt drives are limited to belt speeds between 300 and
3000 metres per minute (1000 – 10 000 feet per minute

5.3 Types and Arrangements

5.3.1 Single V-belt

The most common type is the single belt arrangement whose operation has been
described above. In addition to being used to transmit power between parallel shafts,
the single belt can also be used for quarter turn drives and angle drives as shown in Fig.
5.5

Fig. 5.5 V-Belts Can Be Used For Quarter Turn and Angle Drives

5.3.2 Multiple V-belt

In order to increase the capacity of the drive an arrangement which uses several belts
mounted on multi-grooved pulleys is often used.

65
 Fig. 5.6 Multi-Grooved Pulley

5.3.3 Banded V-belts

In order to overcome the tendency of belts to whip, twist or jump off, a banded V-belt,
in which the V-sections are vulcanised to common band can be used.

Fig. 5.7 A Banded V-Belt

5.4 Belt Tension

V-belts are often tensioned by means of an idler pulley for the following reasons.

 If the relative position of the shafts cannot be adjusted then an idler pulley can
be used to assist installation of the belt.
 If the drive is subject to varying loads then a spring loaded idler can provide
automatic adjustment of belt tension.
 The inclusion of an idler pulley can help to increase the arc of contact and hence
the power transmission capacity of the drive.

It is generally recommended that idler pulleys be mounted on the slack side of a belt,
as shown in Fig. 5.8, and close to the drive pulley.

66
 Fig. 5.8 Mounting Of Idler Pulleys

5.5 Maintenance Practices

The following general points should be taken into account in the maintenance of V-
belts.

 The operation of V-belts depends largely on the condition and correct

positioning of the pulleys.

 V- pulleys should be kept clean, free of oil and grease and free from damage
and wear.

 Pulleys should be installed parallel and in line with each other.

 Belt tension should be adjusted according to the manufacturer’s

recommendations.

 V-belt should never be forced or levered on to the pulley as shown in Fig. 5.9.

 Multiple V-belts should be correctly matched to ensure the load is evenly

distributed. As well as being the same size it is preferable that all belts are
supplied by the same manufacturer.

Fig. 5.9 Incorrect Method of Installing V-Belt on Pulley

67
  Multiple V-belts should be changed as a set. A single new belt will be shorter
than the worn, stretched belts and will tend to carry more than its fair share of
load. It is therefore likely to fail prematurely.

 No dressings of any kind should be applied to a V-belt.

 V-belts should be stored in a clean, dry place and should not be exposed to heat
or direct sunlight.

 Do not hang V-belts on nails or small pegs while in storage. Store flat if possible.

5.5.1 Alignment

The correct alignment of the shafts and pulleys is vital to the operation of a V-belt drive.
Misalignment of pulleys can occur in several ways.

The first step in aligning the pulleys is to check that the two shafts are level and parallel.
This should be done by using a spirit level on the exposed shafts to check for level, and
then by using a feeler bar or gauge to check the distance between the shafts on both
sides of the pulleys. (Fig. 5.11)

Once the shafts are parallel then the pulleys can be brought into line by using a straight
edge across the faces as shown in Fig. 5.12.

Fig. 5.10 Misalignment of Pulleys

Fig. 5.11 Using a Spirit Level and Feeler Bar

68
 Fig. 5.12 Pulleys Brought Into Line Using A Straight Edge Across The Faces.

Reposition either of the pulleys until they are properly aligned. If either shaft is subject
to end float make sure that it is in its normal running position when the alignment is
checked. Rotate the shafts and check the alignment in several positions before it is
finally accepted.

5.5.2 Belt Tension Adjustment

It is important that V-belts run with the amount of tension recommended by the
manufacturer. If tension is insufficient then the belt will slip and overheating and wear
will result. If the belt is too tight it will also cause overheating as well as damage to
bearings.

There are a number of ways in which belt tension can be checked. The most common
is to depress the belt and measure the deflection using a ruler and straight edge as
shown in Fig. 5.13.

Fig. 5.13 Checking Belt Tension by Depressing the Belt and Measuring
deflection.

If this method is not considered sufficiently accurate then a spring balance can be used
to deflect the belt against a specified pull as shown in Fig. 5.14.

69
 Fig. 5.14 Using a Spring Balance

A third alternative is to measure the elongation of the belt under tension. This is done
by marking a defined length of the belt and then remeasuring between the same two
marks when the belt is under tension as shown in Fig. 5.15.

Fig. 5.15 Measuring the Elongation of the Belt under Tension

For normal drives the elongation of the belt should be around 2%. This may increase
for high speed drives and should be checked against manufacturer’s recommendations.

5.5.3 Installation of V-belt drives

The following procedure should be adopted when installing V-belts.

1. Checking the condition of the pulleys and check for wobble.

70
 Fig. 5.16 Pulley Wobble

2. Align the pulleys according to the procedures outlined above.

3. Reduce the centre distance of the shafts by adjusting the position of the motor.
If an idler pulley is used release the tension on the idler so that the belt can be
fitted.

4. Fit the belt or belts taking care not to damage them in the process.

5. Adjust the belt tension as recommended above.

6. Run the unit for a short period; say 10 minutes, to allow the belt to seat correctly
in the pulley grooves.

7. Readjust the tension

8. Rechecked the tension after 24 hours of operation.

9. Ensure that the drive is protected with a suitable guard at all times during
operation. The guard should be provided with ventilation and secure against
removal by unauthorized personnel.

5.6 Failure Patterns

Like most machine elements, V-belts do not have an unlimited life and will eventually
wear out. Their normal life expectancy will depend on the operating conditions, speed
and loading. When belts fail prematurely it is important to determine the precise cause
of failure so that corrective action can be taken and performance improved for future
operation. As with other machine elements an investigation of failure patterns can be
divided into an analysis of symptoms and analysis of causes.

5.6.1 Operating Symptoms

Belt slippage

Any tendency of a V-belt to slip will led to rapid wear and premature failure. The
common causes of belt slippage are insufficient tension, drive overload and the
presence of oil or grease on the belt.

71
Belt squeal

Squealing often accompanies belt slippage and is also caused by overload and
insufficient tensio0n. It may also occur when the arc of contact is insufficient.
Belt ticking or slapping

When the operation of a belt drive is accompanied by a ticking or lapping sound and
this is often evidence that some form of mechanical interference is taking place. This
may be poorly aligned guards or contact with other machine parts.

Belt whipping

If a V-belt starts to whip it is likely to jump out of the pulley groove or to roll over and
become damaged. Whipping may be the result of the drive centres being too far apart
or due to wobbling pulleys.

Belts turned over

If the cords of the belt are broken during installation by levering the belt on to the pulley
then the belt will stretch excessively and lose strength. Lack of tension may also allow
the belt to roll over in the pulley groove. The effect of impulse loads and whipping may
also cause the belt to roll over and this may be overcome by installing a spring loaded
idler pulley. Once the belt has turned over it will be damaged and should be
automatically discarded.

Belt breakage

If a V-belt breaks immediate action is clearly required. Breakage may occur due to
overloading in the form of shock loads or heavy starting loads bur if the belt has been
properly selected this should not occur. A belt that has been weakened by being levered
on to the pulley is very likely to break prematurely. The presence of foreign objects or
material will also damage also damage the belt sufficiently for it to break.

5.6.2 Symptoms Found on Inspection

When the drive is shut down and examined the condition of belts and pulleys will
provide evidence from which the cause of failure may be determined. The following
conditions are commonly- found symptoms of V-belt malfunction.

Wear

A properly aligned and tensioned belt will wear along the sides and will eventually need
to be replaced. Atypical example of normal is shown in the fig. 5.17. If wear is rapid
and leads to premature failure this may be due to misalignment or the presence of dust
or other abrasives. Uneven wear is shown in fig 5.18, may be the result of either
misalignment or damaged pulley grooves.

72
 Fig. 5.17 A Typical Example of Normal Wear

Fig. 5.18 Example of Uneven Wear

Cracking

When hardening and cracking appear on the underside of the belt this is usually caused
by excessive heat build – up. This may be caused by poor ventilation or by slippage.

Fig 5.19 Hardening and Cracking of Belt

Worn sheaves

In addition to belt damage the pulley grooves may show evidence of wear. This may
appear on the sides of the groove), as a shiny surface on the sides or as a shiny surface
on the bottom of the groove, which indicates that the belt has been bottoming. A pulley
which shows excessive wear of this type should be replaced and new belts installed.

73
Table 5.1 Summary of the Common Symptoms and Causes of V-Belt Failure
SYMPTOMS
Operating Inspection CAUSES
Slipping Wear Worn sheaves
Squealing Cracking Incorrect tension
Ticking Fraying Interference
Whipping Stretching Foreign material
Turn-over Swelling Overloading
Breakage Burns Overheating
Worn sheaves Damaged sheaves

74
 CHAPTER 6

GEAR DRIVES

6.1 Introduction

Gear drives are used to transmit power from one machine to another where changes
of speed, torque, direction of rotation or shaft orientation are required. They may
consist of one of more sets of gears depending on the requirements. In most cases the
gears are mounted on shafts supported by an enclosed casing which also contains a
lubricant.

Most gear drives in use are speed reducers. They reduce the speed of shaft rotation
between driver and driven machines and, at the same time, produce a corresponding
increase in torque. The recent increased use of high speed machinery, such as
centrifugal compressors, has also generated a need for speed increasers.

6.2 Principles of Operation

A gear is a form of wheel with teeth machined around the outer edge which allow it to
engage with another similar wheel or rack.

The most important features of a gear are the tooth profile or cross-sectional shape,
and the number of teeth. In modern gears the tooth profile is based on an involute
curve which is the shape produced when a line is traced by a point on a cord which is
‘unwound’ from a cylinder as shown in fig. 6.1

Fig.6.1 Generating the Involute Form

The advantage of the involute form is that when two gear teeth mesh together a
constant velocity ratio is maintained with the minimum of sliding and the maximum of
rolling action of one tooth against the other. This feature helps to reduce wear and
extend the life of the gear.

In order to understand the geometry of gears it is useful to imagine that the simplest
form of gears is two plain discs which touch tangentially. If sufficient friction exists
between the surfaces in contact then there is no need for special teeth to be cut.
However, there is a limit to the torque that can be transmitted by friction and so teeth

75
are cut into the outer edges of the discs to provide a means of positive engagement as
shown in Fig.6.2

The imaginary circles on which the gears are cut are called the pitch circles, and the
pitch circle diameter is the major dimension on which gear geometry is based. The
other important dimension is the pressure angle. This is the angle between a tangent to
the pitch circle and the line of contact of two mating teeth as shown in Fig. 6.3

Fig. 6.2 Teeth Provide a Means of Positive Engagement

Fig. 6.3 Pressure Angle

A full explanation of the terms used to describe the geometry of a circular gear is given
in Fig. 6.4. If two gears are to mesh properly they must have the same pressure angle.
Standard pressure angles of 14.5o and 20o are used with 20o being the most common.

76
 Fig. 6.4 Terms Used In Circular Gear Geometry

In practice, gears are cut to provide running clearance between mating teeth. This is
known as backlash.

Fig. 6.5 Gears Are Cut To Provide Backlash

The characteristics of mating gears are often described by the term, diametral pitch.
This term refers to the ratio of the number of teeth to the pitch circle diameter of the
gear and reflects the size and shape of the teeth. Hence two mating gears must also
have the same diametral pitch as the same pressure angle.

number of teeth
 Diametral pitch =
pitch circle diameter
 (3.142)
 Diametral pitch =
circular pitch

77
 number of teeth  2
 Diametral pitch =
outside diameter
The speed relationship between two mating gears depends on the number of teeth on
each gear and can be determined as follows:

no. of teeth of driver

Speed of driven gerar (rpm)  speed of driver (rpm) 
no. of teeth on driven

6.3 Types and Arrangements

The following types of gears are in common use.

6.3.1 Spur Gears

The spur gear is the simplest type of gear and has teeth cut parallel to the axis. Spur
gear may be used as external or internal gears or as a rack and pinion.

Fig 6.6 Spur gears

Spur gears are used to transmit power between parallel shafts operating at moderate
speeds. They are simple to manufacture, do not develop end thrust and are the
preferred type to be used where practicable. It is conventional to refer to the large gear
as the wheel or bull gear and the smaller as the pinion.

6.3.2 Helical and Herringbone Gears

Helical gears are also used to transmit power between parallel shafts but have the teeth
cut on an angle.

78
 Fig. 6.7 Helical Gears Have Teeth Cut On an Angle
The advantage of this design is that several teeth are in mesh at the same time and this
results in great load carrying capacity and smoother operation. Because of the angle of
the teeth, helical gear produce end thrust which must be carried by the shaft bearings.
This can be overcome by the use of two rows of opposed helical teeth in a ‘herringbone’
arrangement shown in fig. 7-51. Herringbone gears are generally not recommended
when externally applied end thrust is present or when operating speeds are very high
because of the tendency for one helix to carry most of the load.

Fig 6.8 Herring Bone Gears

6.3.3 Bevel Gears

Bevel gear are used to transmit power between two intersecting shafts, normally at the
right angles. The teeth on bevel gear may be plain or spiral.

Fig. 6.9 Bevel Gear Teeth May Be Plain or Spiral

Spiral bevel gear distribute the load over several teeth, in the same way that helical
gears do for parallel shafts, and hence give smoother operation.

6.3.4 Worm Gears

Worm gears are designed to transmit power between tow non-intersecting shafts at right
angles, as shown in fig. 6.10, and are used when high ratio speed reduction is required.
The worm may be cut with one or more threads and must be of the same hand as the
wheel.

79
 Fig. 6.10 Worm Gears

Whatever type of gear is employed, the arrangement may involve one or more pairs of
gears depending on the degree of speed reduction required. Most gear drives are
mounted in fully enclosed casings but large ring gears may be installed as open gear
with a suitable guard arrangement. Gears are generally made from steel or cast iron
and are surface hardened in order to increase the wear resistance.

6.4 Maintenance Practices

As with other methods of power transmission, the key to satisfactory operation of gear
drives is good alignment, proper lubrication and the exclusion of dirt and other
contaminants.

6.4.1 Alignment

In most gear drives the alignment is determined by the machining of the casing and the
bearing housings and under normal conditions the gears should be automatically
aligned. Care should be taken when mounting a gear box to ensure that no distortion
of the casing occurs when the mounting bolts are pulled down.

Excessive wear and run-out in the bearing will result in run-out and wear of gear teeth
and should be rectified as soon as possible.

When gears are open, or installed in such a manner that adjustment of the relative
positions is possible, either the center distance between the gears or the backlash
between the teeth can be measured. The center distance between two gears in proper
mesh should be equal to half the sum of the pitch circle diameters of the gears.

If it is more convenient to measure the backlash taken, whenever the relative position
of gears is adjusted, to make sure that the shafts remain parallel so that the gears run
true. Parallel alignment of gear tooth faces can be checked by applying marking blue
to the pinion teeth And then turning the gear wheel over by hand. The contact pattern
on the gear wheel teeth should be even across the face.

6.4.2 Lubrication

Most gear boxes contain a reservoir of lubricating oil in which the lower halves of the
gears are submerged. As the gears turn they pick up lubricant which protects the teeth

80
during contact. If maximum gear life is to be achieved the correct lubricant must be
used and the correct operating level must be maintained in the sump or reservoir.

A gear box should be checked from time to time for leaks and these should be corrected
as soon as possible. The products of gear tooth wear will collect in the oil reservoir along
with any other contaminants which enter the gear box casing. It is therefore necessary
to change the lubricant at regular periods as recommended by the manufacturer. This
is particularly important during the run-in phase of the machine when the rate of wear-
debris production tends to be relatively high.

Gear boxes that are pressure lubricated are normally fitted with a filter and this must be
changed or cleaned periodically.

Open gears are usually lubricated by a sump in which the bull gear runs. If the
atmosphere is dusty then a large build-up may develop on the gears and it must be
cleaned off from time to time.

6.5 Failure Patterns

Like all machine element which involve relative motion between lubricated
components, there are a number of ways in which gear failures occur.

6.5.1 Operating Symptoms

The symptoms of gear malfunction found during operation are relatively few in number
and easily detectable.

Noise

Even when gears are in good condition they produce a significant amount of noise.
This is because of the continuous impact of the gear teeth as they mesh with each other
and it will vary with speed and torque transmitted. Every gear combination and gear
box has its own distinctive running sound when it is operating satisfactorily and
familiarity with that would will assist the maintenance technician in detecting
deterioration in the running condition. Gears in good condition should produce a
constant hum with a relatively smooth tone. Once the gears begin to deteriorate, or
some malfunction in their operation develops, this noise will change. The sound may
become much rougher which could indicate that the gears are not properly in mesh or
that they are out of alignment. Misalignment may also cause a rhythmic or pulsating
sound to develop. When the surface condition of gear teeth begins to deteriorate, due
either to wear or other factors, the should of the gears tends to increase in pitch and
develops into a whine.

Whatever the nature of the sound, whether it be a growl or a whine, the more it
increases the more it is an indication of malfunction of the drive assembly. It is not
possible to be precise about the nature of the sound that may emanate from a particular
problem and the above description can only be considered as a general guide. Increase
in noise level, however, can always be treated as positive evidence of a change in the

81
condition of a gear drive.

Vibration

The nature of gears makes it inevitable that their operation is accompanied by a certain
amount of vibration. As with noise levels, this will vary according to the type of gears
and the speed and load transmitted. An increase in vibration levels will occur when
condition deteriorates or a malfunction develops. The most likely causes of an increase
in vibration levels are shaft misalignment and teeth running out of mesh. This may
occur because of faulty assembly or deterioration in the condition of the shaft support
bearings. Wear and deterioration of tooth surface condition, unless they become
excessive, are less likely to cause an increase in vibration levels.

Overheating

Generally speaking, overheating of a gear drive is likely to be due to overload or

inadequate lubrication and is more likely to occur with enclosed gear boxes than open
gears. Serious misalignment or running out of mesh may also cause ea eventual incrase
in running temperature. These conditions should be detected from the change in noise
and vibration levels before this becomes significant.

6.5.2 Symptoms Found on Inspection

Once the external evidence of gear drive malfunction becomes significant then the unit
must be shut down and examined so that further evidence can be gathered and cause
of failure determined. The following patterns of failure are those most commonly
encountered.

Wear

There are various ways in which gear tooth surfaces can wear. In the early stages of
gear life, surface irregularities often cause pitting along the pitch line which later
disappears when the gears wear in.

Fig. 6.11 Pitch Line Pitting

Normal wear occurs because of metal-to-metal contact between mating teeth and under

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light to moderate loads. At higher loads and speeds the adhesion and welding of surface
that takes place, due to the failure of the lubricant, becomes more extreme and the wear
pattern that develops is known as scoring as shown in Fig. 6.12

Fig.6.12 Scoring

The most extreme form of this failure mode is known as galling. When foreign particles
such as dirt and grit are present abrasive wear patterns, similar in appearance to scoring,
may develop. Running out of mesh will cause either under cutting of tooth faces due to
interference or a shift in the location of the wear pattern towards the tips of the teeth.

Fig .6.13 Undercutting of Gear Teeth

Fatigue

The mechanism of fatigue failure in gears follows the same patterns as for other
machine elements. Cyclical stressing due to the intermittent contact of gear teeth,
especially at high loads, causes sub-surface cracking which then develops into pitting
and spalling

Plastic flow

Deformation of gear tooth surfaces due to the effect of heavy loading is referred to as

83
plastic flow or cold flow. This is more likely to occur with soft, ductile gear but can also
occur with case-hardened gears. The surface metal of the gear teeth flows under load
and the effect is often described as rippling, ridging, rolling or peening.

Fig. 6.14 Examples of Plastic Flow Due To Peening Of Tooth Edges

Tooth breakage

If regular inspection is carried out then complete or partial breakage of gear teeth should
rarely occur. When it does happen there will usually have been some weakening of the
teeth due to a condition that has been present for some time. Once a gear breaks it
usually becomes inoperable. The two principal causes are fatigue and heavy impact
loads. Fatigue failure is often associated with the presence of a stress raiser such as a
quenching crack or some surface defect such as a notch or a tool mark.

6.6 Causes of Failure

6.6.1 Inadequate Lubrication

The operation of gears is vitally dependent on an adequate supply of the correct

lubricant and if this is available gears should give almost unlimited life. If the wrong
lubricant is used or if lubricant is allowed to deteriorate then the gears will begin to
wear. It is also important that lubricant replacement is carried out according to the
manufacturer’s recommendation. Additives should be carefully selected to suit the
particular operating conditions, and lubricant supply systems, including filters, should
be properly maintained.

6.6.2 Misalignment

There are two different ways in which gears may be misaligned. They may be out of
parallel or out of plane. The uneven wear patterns referred to in the previous section

84
are produced by misalignment and if the condition is allowed to continue then tooth
breakage may eventually occur.

6.6.3 Out of Mesh

If the gears are set up so that the pitch circles are not touching each other then they can
be considered to be out of mesh. If the center distance between the gears is too small
and there is insufficient backlash then interference occurs and the tip of one tooth tends
to dig into the root of the mating tooth and produce excessive wear. This will cause
rapid deterioration of gear condition and may result in excessive noise and vibration. If
gears are set too far apart the backlash will be excessive and wear will occur close to
the tips.

Of the teeth which may even break from the impact. Noise and vibration will also
increase due to the large amount of backlash.

6.6.4 Overload

Speeds and loads which exceed design limits and high impact loads will accelerate wear
processes and lead to the likelihood of premature failure. Heavy spalling or galling and
tooth breakages are the usual consequences of overload conditions. The design limits
of the drive should be checked and the unit operated according to the manufacturer’s
instructions.

6.6.5 Contamination

The contamination of gear lubricant due to the presence of dirt, dust or other abrasives
will increase wear rates and cause scratching of tooth surfaces. Particles of wear metal
or chips of broken teeth will also cause significant damage. Careful atten6tion should
be paid to the condition of seals and filters and the regular replacement of lubricant if
contamination is to be avoided.

6.6.6 Moisture

The presence of moisture in a gear box may cause rusting to develop. In order to avoid
moisture due to condensation build-up, special breather arrangements may be required
whereas ingress of moisture from other sources should be prevented by the oil seals.

6.6.7 Lubricant Breakdown

If lubricants are not replaced regularly they may deteriorate to the point where harmful
acids may form. If corrosion is detected then lubricant analysis may be required to
establish whether any change in properties of the lubricant has occurred. The effect of
lubricant additives on particular metals should also be considered and the lubricant
manufacturer consulted for advice.

85
 CHAPTER 7

SHAFT ALIGNMENT

7.1 Introduction

Perfect alignment is seldom achieved but good alignment can and should be possible
for any machine of which continuous, reliable operation is demanded. Poor alignment
can cause vibration and wear and lead to premature failure of bearings, seals, couplings
and other machine elements. Despite the fact that flexible couplings can tolerate quite
significant degrees of misalignment, it is recommended that shaft alignment should
always be as accurate as possible as any misalignment present will set up vibration
patterns that will be transmitted through the machine and tend to cause wear.
Alignment is critical aspect of machinery operation and the techniques used should be
properly understood.

7.2 Principles of Alignment

7.2.1 Misalignment

Shafts can be misaligned in two ways.

7.2.2 Parallel Misalignment

This occurs when the shaft centre-lines remain parallel, but are offset, as shown in Fig.
7.1

Fig. 7.1 Parallel Misalignment

7.2.3 Angular misalignment

This occurs when the shaft centre-lines are out of parallel, although they may intersect
at the coupling, as shown in Fig. 7.2

Fig. 7.2 Angular Misalignment

It is usual to find that both types of misalignment occur simultaneously and the
alignment techniques described are designed to overcome both.

86
7.2.4 Tolerances

Depending on the size and type of the coupling, coupling manufacturers may indicate
that parallel run-out of up to 0.5mm (0.020”) and angular run-out to 15o may be
tolerated. It is important to realize that these figures represent the coupling tolerance
and not the machine tolerance. Machinery manufacturers normally supply a
recommended tolerance for a particular machine and some companies have their own
standards which may be even more stringent. The higher the speed and the power
transmitted, the more critical alignment becomes.

7.2.5 Adjustment

It is normal practice to adjust the position of the driving machine relative to the driven
machine, especially when the driving machine is an electric motor with no
interconnecting pipework. The position of driven machines is normally determined by
associated process piping. It will have been set up to eliminate pipe strain and should
not be disturbed.

Ideally the driving machine should be free to move in any direction with respect to the
driven machine. However, if both are mounted directly onto the baseplate without
shims, then it is clearly impossible to move the driving machine down with respect to
the driven machine. Therefore before the alignment procedure is started a preliminary
shimpack of, say, 1.25mm (0.05”) should be installed under both machines. These
shims should be installed before the interconnecting pipework is aligned and bolted up.

Alignment in the vertical and horizontal directions should be carried out separately to
avoid confusion and error. It is normal practice for vertical alignment to be carried out
first otherwise the horizontal alignment may be disturbed when vertical adjustment is
made.

7.2.6 Dial Indicators

The operation of indicators should be clearly understood before they are used in shaft
alignment. The important point to remember are that when the plunger is depressed,
the gauge reads positive and when it is extended the gauge reads negative.

Fig. 7.3 Reading a Dial Indicator.

It is also important to remember that when a dial indicator is zeroed prior to takings
readings, the plunger should be approximately in the mid-range position so that it is
free to move in either direction.

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7.2.7 Total Indicator Run-out

When a reading is taken with a dial indicator over 180o, i.e., from top to bottom of a
shaft or from side to side, the difference in readings is known as the total indicator run-
out (TIR).

Fig. 7.4 Total Indicator Run-Out

For these readings to be properly interpreted it must be understood that total indicator
run-out represents twice the shaft centre-line offsets. As the indicator is turned through
180o, the shaft offset is doubled on the indicator scale, as shown below.

Fig. 7.5 Total Indicator Run-Out – 2 X Shaft Run-Out

7.2.8 Thermal Growth

Because of the difference in thermal expansion between the driving and the driven
machine during operation, shafts often need to be set up cold with an offset that
disappears when the machines are up to operating temperature. This occurs most
commonly with steam turbine drivers. Because a turbine undergoes considerable
thermal expansion during operation, the shaft needs to be set lower than that of the
driven machine in the cold state.

Information about thermal growth is normally supplied by the manufacturer but

otherwise can be measured by setting up dial indicators on a fixed reference and
recording the actual growth at the operating temperature.

88
It is generally accepted that a ‘hot-check’ for machinery alignment is of little value. Not
only up to temperature, stop it and determine alignment before it cools down, but the
results are highly questionable.

7.2.9 Dowelling

In order to ensure that shaft alignment is maintained when the machine is in operation
it is advisable that the position of both machines is secured by dowelling. Two dowels
holes should be drilled and reamed in position through the machine mounting into the
bedplate. The dowel pins should be parallel ground to give a light drive fit in the holes.
The size of the dowels will depend on the size of the machine.

7.3 Methods of Alignment

7.3.1 The Straight Edge and Feeler Gauge Methods

The simplest and easiest method, but also the least accurate, is to use a straight edge
across the coupling halves to test for parallel run-out and feeler gauges or a taper gauge
between the coupling halves to test for angular run-out as shown in Fig. 7.6.

Fig 7.6 Using a Straight Edger and Feeler Gauge

Adjustments to the shimpacks under the driving machine will need to be made on the
basis of trial and error, although repeat alignment work on an individual machine will
help the technician to develop a feel for the adjustment required. It is recommended
that, with this method, angular run-out be eliminated first and then the remaining
parallel run-out can be eliminated by making equal adjustments at both mountings of
the driving machine.

Thos method is only recommended for use on machines fitted with flexible couplings
capable of tolerating up 15o angular run out, and 0.25mm (0.010”) parallel run-out,
and for low horsepower, slow speed conditions. The degree of accuracy achieved is
unlikely to be consistently better than 0.125mm (0.005”).

7.3.2 The Face and Rim Method

This method can only be used for couplings installed with a spacer, and involves the

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use if two dial indicators supported on a bracket or two brackets set up across the
coupling, and mounted on the driving machine as shown in Fig. 8.7. Note that the
coupling spacer has to be removed fro this method to be used.

As shown in Fig. 7.7, parallel run-out is measured by readings taken on the outside
diameter of the coupling and angular run-our is measured by readings taken on the
face of the coupling half. The support brackets on which the dial gauges are mounted
must be rigid and securely attached to the coupling halves. The alignment procedure
is carried out by first zeroing both indicators at top dead centre and then turning the
shaft supporting the gauges through 360o and recording the gauge readings at 90o
intervals

Fig. 7.7 Face and Rim Method

A typical set of readings would appear as follows.

Fig. 7.8 A Typical Set Of Readings.

The readings taken on the coupling o.d. or rim represent the parallel run-out in both
the vertical and horizontal directions. In this case the driving machine has been
recorded as 0.275mm (0.011”) high at the coupling (remember shaft centre-line offset
is half the total indicator run-out), while the run-out in the horizontal plane is 0.075mm
(0.003”). The readings taken on the face of the coupling show the angular run-out
which, in this case can be seen to be greater in the vertical plane than the horizontal.

Although it is theoretically possible to use the readings obtained to calculate the precise

90
adjustment required at the mountings of the driving machine, this is rarely, if ever done
in practice. The procedure for adjustment, as with the straight edge and feeler gauge
method, is essentially one of trial and error backed up by the experience of the
technician. Consequently several sets of readings may be required with progressive
adjustments being made until satisfactory alignment is achieved.

The face and rim method has traditionally been one of the most widely used alignment
techniques and is the specific method recommended in many maintenance manuals
for rotating machinery. However, for high speed, high horsepower machinery where
alignment tolerances become more critical, this method has a number of shortcomings.

Shortcomings of the face and rim method

 The indicator readings obtained by this method reflect not only the misalignment
of the shafts but also the out-of-roundness, eccentricity and surface
imperfections of the coupling upon which the readings were taken. Even with
good quality high speed couplings, run-out in excess if 0.025mm (0.001”) in the
coupling o.d. and face is not uncommon.

 To obtain accurate face measurements it is vital that end float is accounted for.
The only way to do this is to ensure that both shafts are hard up against the
thrust bearings at all times. Consistent readings are difficult to obtain however,
because the axial position of the shaft will depend on how hard it is pushed.

 Face readings are taken across a relatively small diameter and the angular
misalignment measured here can be greatly magnified at the outboard end of a
long shaft. For example a difference of 0.05mm (0.002”) measured across a
100mm (4”) coupling which might normally be considered as acceptable may
represent an error of as much as 0.75mm (0.030”) at the rear end of the
machine shaft.
 Removal of the coupling spacer is time consuming and increases the risk of
coupling damage. These problems make the face and rim method unsuitable
for high speed machinery and have also resulted in it being superseded in
general applications by the reverse indicator method which has gained
increasing popularity in recent years.

7.3.3 The Reverse Indicator Method

This method involves using dial gauges to take readings on the outside diameter of the
coupling hubs (or the shafts) only. No face readings are involved. The gauges are
supported on separate brackets mounted on opposite halves of the coupling so that a
reading is obtained on each. (Fig. 7.9)

The main advantage of this method is that it allows the relative position of the two shafts
to be accurately determined. It is then possible to determine the exact adjustment
required at the mountings of the driving machine to produce proper alignment. The
shortcomings of the face and rim method are overcome in the following manner.

91
 By turning both shafts simultaneously, errors caused by coupling hub run-out
are entirely eliminated.

 Since no face readings are involved, the end float of shafts is of no concern.

 By spanning the entire coupling, angular misalignment is greatly magnified and

can be measured with greater accuracy.

 If the support brackets are designed to be mounted on the back of the coupling
halves, the coupling spacer does not need to be removed.

Fig. 7.9 Typical Arrangement of the Dial Gauges

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 CHAPTER 8

TRIBOLOGY

8.1 Introduction

Tribology, is the collective name given to the science and technology of interacting
surfaces in relative motion, is indeed one of the most basic concepts of engineering,
especially of engineering design. The term tribology, apart from its conveniently
collective character describing the field of friction, lubrication and wear, could also be
used to coin a new word - tribodesign.

It is an obvious but fundamental fact that the ultimate practical aim of tribology lies in
its successful application to machine design. The most appropriate form of this
application is regarded here as a branch of machine design concerning all machine
elements where friction, lubrication and wear play a significant part.

8.2 Purpose

This module introduces lubrication and explains why we lubricate as well as the theory
and application of lubricants and is aimed at boosting your confidence in giving you
improved knowledge of why lubrication is important and in the uses of lubricants.

It will do this by;

 providing you with information on friction and the mechanism of lubrication;
 providing you with information on lubrication regimes;
 providing you with information on the properties, selection and classification
systems for lubricants.

8.2.1 Module Objectives

At the end of this module you will

 have an understanding of the wide range of uses of lubricants;
 you will feel comfortable with the concept of viscosity and viscosity indices,
 you will be familiar with types of additives and their uses; and
 you will have had exposure to the critical factors to consider when selecting and
recommending lubricants.

8.3 Theory and Application

8.3.1 What is friction?

When one surface slides over another, there is always some resistance to the
movement. This resisting force, or friction, depends on the nature of the two surfaces
in contact. When friction is small, as it is when a skier glides down a snow slope,
movement is smooth and easy.

93
When friction is large however, sliding becomes difficult and the surfaces become hot
and worn. This happens when brake pads are applied to slow down a moving wheel.

8.3.2 What causes friction?

Friction is a result of the roughness of surfaces. Under a high-powered microscope,

even the most smoothly engineered surfaces show minute ridges, or asperities. Two
surfaces which appear to be in full contact actually only touch one another at the peaks
of their asperities.

The whole load is therefore carried on just a few tiny points and the pressure on each
of these points is enormous. When the surfaces move, the asperities get caught up with
one another and can weld together. The harder the surfaces are forced together, the
greater the friction.

8.3.3 The consequences of friction

In most machines it is important to keep the friction between moving parts to a

minimum. When friction is excessive, extra work has to be done to overcome it. This
generates heat and wastes energy. Friction also increases wear and so reduces the life
of the machine.

Wear

Durability requires an understanding of wear, we can start by defining it.

Wear is define as: Damage to a solid surface, generally involving progressive loss of
material, due to relative motion between that surface and a contacting substance or
substances.

However, wear can appear in different forms and these are represented by different
terminology.

There are seven lubricated wear phenomena:

Abrasion
Erosion
Pitting
Fretting
Scuffing
Flow
Chemical/corrosion

Abrasive wear is the removal of material by localised surface contact with a harder
mating material. Material removal generally occurs by a cutting or ploughing action and
can result from a rough hard surface in contact with a softer material or from hard
particles trapped between two contacting surfaces.

Erosion occurs in the presence of fluid flow where surface films are removed by the

94
motion of the fluid, where direct removal of metal occurs by entrained particles or by
the implosion of vapour filled cavities (cavitation).

Pitting is a consequence of surface fatigue where there is a rolling element in the

contacting motion of adjacent surfaces. Particles of metal are detached from the surface
under high cyclic stresses which generate surface and subsurface initiated cracks, these
produce a pit when the propagation of the crack reaches the surface.

Fretting occurs as a consequence of small oscillating sliding motion between surfaces,

producing characteristic oxide wear debris.

Scuffing is the localised welding of asperity contacts, associated with high friction and
high localised (asperity) temperatures. Shearing of the welds leads to metal transfer,
metal fragments may become detached. In the USA, scuffing is referred to as scoring.

Flow wear is the plastic deformation of contacting sliding surfaces under load, fine
slivers of material become detached by a fatigue/flow mechanism.

Chemical wear is the result of surface reaction with components or naturally occurring
by-products of the lubricant additive package, usually requiring frictional heating to
activate the aggressive agent, e.g. some EP additives.

Corrosive wear is via aggressive agents present as contaminants such as water, mineral
acids from combustion, weak organic acids from incomplete combustion or oil
oxidation products.

It is possible to identify lubricated wear by using a decision tree based on our knowledge
of conditions operating at the time, one example is shown below. We start with a
question, in this case “Are abrasive particles present”, each question requires a “yes”
or “no” answer which leads to either another question or identifies the wear
phenomenon.

Fig. 8.1 Lubricated Wear Identification

95
Brinelling is not a wear phenomenon; it enables the completion of the decision tree.
However, it can lead to wear.

With this decision tree we can move through a series of questions, following a path that
will end in identification of the wear phenomenon. Additional evidence regarding the
appearance of the wear scar and the nature of wear debris aid confirmation of the wear
phenomenon. These are shown in the following slides. Clearly the result of the decision
tree should tie in with the appearance of the wear scar.

Surface appearance is a key element in identification of the wear phenomenon because

this is what we can see. However, surface appearance alone may not be adequate to
identify the wear phenomenon, note that in the following slide a polished appearance
can be the result of either two or three body abrasion, mild flow wear, chemical or
corrosive wear!

Fig. 8.2 Wear Scars Appearance

The third aid in identifying wear is the characteristic appearance of the wear debris.
Unfortunately, with the probable exception of fretting debris, it does not remain on the
surface and has to be collected either from magnetic plugs, filters or by separation from
the lubricant. Even then, chemical or corrosive wear debris may be difficult if not
impossible to identify. Laboratory tests may enable identification of chemical or
corrosive activity, while metallurgical examination can confirm, for example, scuffing.

Table 8.1 Characteristics of Some Wear Debris

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On steel contacts, fretting is characterised by a red/brown cocoa coloured product, the
characteristic alpha form of Fe2O3. Beta or gamma forms of Fe2O3 would indicate an
event other than fretting. Fretting can occur with materials other than steel, again
yielding an oxide as wear debris. X-ray diffraction is used to identify the wear products
where fretting is thought to be possible.

In machines, when would we expect most wear to occur, run up or run down? Assuming
that we are not suffering from dry starts, the answer is on run down. This is because the
oil is hot, the oil film is much thinner, metal-to-metal contact more likely and run down
takes longer than start up.

8.4 Lubrication

Any procedure that reduces the friction between two moving surfaces is called
lubrication.
Any material that is used for this purpose is known as a lubricant.

Movement

Friction

Contact between
two surfaces

Fig. 8.3 The Need for Lubrication

8.4.1 How does lubrication reduce friction?

The main function of a lubricant is to provide a film to separate surfaces and make
movement easier. In a simple model where a liquid is acting as a lubricant, the liquid
can be thought of as forming a number of layers with the two outermost layers adhering
firmly to the surfaces. As one surface moves over the other, the outer layers of lubricant
remain attached to the surfaces but the inner layers are forced to slide over one another.

The resistance to movement is no longer governed by the force required to separate

the ridges on the two opposing surfaces and move them over one another. Instead it
is determined by the force needed to slide the layers of lubricant over one another. This
is normally much lower than the force to overcome the friction between the two solid
unlubricated surfaces.

8.4.2 The Consequences of Lubrication

Because lubrication reduces friction, it saves energy and reduces wear.

97
 At rest

•Contact between surfaces

Relative motion

Fig. 8.4•Separation
Separation of
of Surfaces
surfacesby
bya lubricant
Lubricant

However, even the very best lubricants can never eliminate friction entirely. In the most
efficiently lubricated car engine, for example, about 20% of the energy generated is still
used up in overcoming friction.

8.4.3 Types of Lubrication

Lubrication always improves the smoothness of movement of one surface over another.
This can be achieved in a number of ways. The various types of lubrication are often
referred to as lubrication regimes. Transitions between the various regimes of
lubrication often take place during the operating cycle of machines.

Hydrodynamic lubrication

The best lubricating conditions exist when two moving surfaces are completely
separated by a film of lubricant as in the model described above. This form of
lubrication is know as hydrodynamic or thick-film lubrication. The oil film thickness
depends mainly on the viscosity of the lubricant, a measure of its ‘thickness’ or
resistance to flow.

The requirements of hydrodynamic lubrication are:

 The surfaces must be moving relative to each other. (The greater the sliding
speed, the thicker the oil film - assuming temperature remains constant. The
disadvantage of this is that moving surfaces come into contact when equipment
starts up and shuts down.)
 The surfaces must be converging.
 A viscous fluid must be between the surfaces - oil thickness is the most important
factor.

Mixed or thin-film lubrication

A decrease in viscosity or speed and/or increase in load while in hydrodynamic

lubrication causes the lubricant film to thin. When the film thickness becomes
insufficient to provide complete separation of the surfaces, asperity contact and Mixed-
film Lubrication occurs.

In a mixed-film lubrication, the load is carried partly by the fluid film, and partly by the
contacting surface asperities.

98
Frictional resistance will occur partly due to shearing of the lubricant film, and partly
due to asperity contact. The coefficient of friction is therefore higher than in
hydrodynamic lubrication. Some wear can occur.

In some situations when even less oil is present, and/or loads are higher, a point is
reached where fluid lubricant plays little or no part in the lubrication of the machine
elements. This condition is Boundary Lubrication.

Boundary lubrication

Under these conditions the thickness of the oil film becomes negligible. In contrast, the
nature of the metal surfaces and the additive properties of the lubricant become
important.

Boundary lubrication is achieved by the addition of additives into the lubricant. The
additives provide a “shearable” molecular layer that will prevent direct metal-to-metal
contact.

Very
Very low
low speed
speed

Fig. 8.5 Boundary Layer Lubrication

These additives are of two (2) basic types - polar and non-polar (or Extreme Pressure)
additives.

Boundary Lubrication

very long molecular chains

one end of the molecule will attach itself to
the metal surface and the other facilitates
sliding
Polar Additives
gives low friction, hence often used with
worm gears
examples are rapeseed and castor oil

chemically react with metal surface

elements of sulphur,
phosphorous, chloride Non-Polar Additives
forms thin films on the metal surfaces

activated by temperature when local pressure increases

99
Elastohydrodynamic lubrication (EHL)

This is a special type of hydrodynamic lubrication, as shown in Fig. 8.6 which can
develop in certain heavily loaded contacts, such as roller bearings and some types of
gears. Deformation takes place without permanent distortion (elasto) in the full film
(hydrodynamic) regime of lubrication. In the case of a ball in a rolling race bearing, or
a roller in a roller bearing the point of contact can be seen to be a point or a line. In
these mechanisms, lubricant is dragged into the contact area and then subjected to very
high pressures as it is squeezed under the heavy load.

The raised pressure has two effects. First of all, it causes the viscosity of the lubricant,
and therefore its load-carrying capacity, to increase dramatically. Secondly, the
pressure deforms the loaded surfaces and spreads the load over a wider area.

Under extreme loads, the EHL film becomes so thin it ultimately may not be capable
of maintaining total separation of metal parts. This also leads to boundary lubrication
conditions.
LOAD

Oil film

Rolling
Cylinder

High pressure increases viscosity and deforms surface

Fig. 8.6 Elastohydrodynamic Lubrication

It should be highlighted that usually more than one lubrication regime (see Fig. 8.7) will
be acting during the operating cycle of the machine.

Lubricating Films and Lubrication Regimes

Boundary Lubrication
Hydrodynamic Lubrication
(full film) Additives become
important

Viscosity (thickness of) is •gears •heavy loads

important
Elasto-Hydrodynamic Lubrication
•plain bearings •pistons
•spur/helical/
•bevel gears Viscosity is important
•ball and roller •cams and
bearings tappets

100
 Fig. 8.7 Lubricating Films and Lubrication Regimes

8.4.4 The Relationship Between the Regimes of Lubrication

The Streibeck Curve in Fig. 8.8 shows the relationship between the coefficient of
friction, the lubricant viscosity, the operating speed, the system pressure, and the major
lubrication regimes (ZN/P).

The curve tells us that:

 Boundary lubrication occurs at low speeds ie start up, shutdown and/or slow
operating speed (point a).
 Boundary lubrication also occurs under high loads.
 When the speed increase and/or loads decrease, the lubrication mode approaches
hydrodynamic (point b). This is the most desirable mode of lubrication where
friction is lowest and wear virtually non-existent.
 If load remains constant and either viscosity and/or speed increased, the
coefficient of friction will also increase (point c).

Irrespective of the regime of lubrication, it can be seen that in all cases the lubricant is
trying to separate the moving surfaces and prevent wear.

The Streibeck Curve

Coefficient
 Click to of
addfriction,
text f

a b c
ZN / P

Fig. 8.8 The Streibeck Curve

8.4.5 The Mechanism of Lubrication

Most machines are lubricated by liquids. How are these liquids able to separate surfaces
and reduce the friction between them?

In order to understand the way in which liquids lubricate in practice, it is helpful to look
at the case of the journal bearing.

In this widely used simple device, a load-carrying shaft rotates within a fixed hole in
which there is a small quantity of oil. An example is the big end bearings of a car
engine. As the shaft rotates, a wedge of oil as shown in Fig. 8.9 builds up between the
surfaces which generates enough pressure to hold the bearing surfaces apart and carry
the load on the shaft.

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 The formation of an oil wedge in a plain bearing

Metal-to-metal contact Oil wedge supports load

Fig. 8.9 Oil Wedge Formation in a Plain Bearing

Oil wedges can form in other bearings, such as sliding and rolling element bearings, by
a similar mechanism.

The most efficient lubrication, so-called hydrodynamic lubrication, is only achieved

when the oil film that builds up in a bearing has a thickness several times greater than
the roughness of the opposing solid surfaces. If the oil film is too thin, the surfaces
come into direct contact, friction increases, heat is generated, and wear occurs.

Hydrodynamic
Lubrication

High
speed

Fig. 8.10 Hydrodynamic Lubrication

Several factors influence the formation of the oil film and, therefore, the efficiency of
lubrication. These include:

The viscosity of the lubricant

This is the most important factor. If the viscosity of the lubricant is too low, that is, the
lubricant is too ‘thin’, it will not be able to form a satisfactory oil wedge. It is impossible
to generate sufficient pressure to separate the moving surfaces.

If, on the other hand, the viscosity is too high, the ‘thickness’ of the lubricant may restrict
relative movement between the surfaces. The viscosity of a liquid decreases with
increasing temperature, so a bearing which is lubricated efficiently when it is cool may
not work well if it gets too hot. (We shall be looking at viscosity and its variation with

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temperature in more detail in later in this module.)

The design of the bearing

The shape of the lubricated surfaces must favour the formation of an oil wedge. There
must also be adequate clearance between the moving surfaces.

The supply of lubricant

Clearly, hydrodynamic lubrication cannot develop if there is a lack of lubricant.

The relative motion between the surfaces

The greater the sliding speed, the thicker the oil film will be, assuming the temperature
remains constant. An important consequence of this is that the moving surfaces will
tend to come into contact when equipment starts up and shuts down.

The load

At any given temperature, an increasing load will tend to decrease the oil film thickness.
An excessive load will tend to increase friction and wear.

8.4.6 So what do lubricants do?

Lubricants must not only lubricate. In most applications they must also cool, protect,
maintain cleanliness and depending on their use, other functions as well. The main
function of a lubricant is simply to make it easier for one surface to slide over another.
This reduces friction and wear, and saves energy.

Cooling

Any material that reduces friction will act as a coolant simply because it cuts down the
amount of heat generated when two surfaces rub together. Many well lubricated
machines still generate considerable quantities of heat, however, and this excess heat
must be removed if the machine is to function efficiently. Lubricants are often used to
prevent overheating by transferring heat from hot areas to cooler zones.

Perhaps the most familiar example of a lubricant being used for cooling is the oil we
use in our car engines, but this function is vital in many other applications. Compressor
oils, turbine oils, gear oils, cutting oils and many other lubricants must all be good
coolants.

Protection against corrosion

Effective lubrication minimises mechanical wear by reducing contact between moving

surfaces. However, chemical wear, or corrosion, may still take place. Obviously, a
lubricant should not cause corrosion. Ideally, it should actively protect the surfaces it
lubricates by inhibiting any damage that might be caused by water, acids or other
harmful agents that may contaminate the system.

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Lubricants protect against corrosion in two different ways. They coat surfaces and
provide a physical barrier to attack. In addition, many lubricants are formulated with
inhibitors which react with corrosive chemicals to neutralise them.

Maintaining cleanliness

The efficiency with which a machine operates is reduced if its mechanism becomes
contaminated by dust and grit or the products of wear and corrosion. These solid
particles can increase wear, promote further corrosion and may block oil feed pipes and
filters.

Lubricants help keep machines clean and operating efficiently by flushing contaminants
away from the lubricated mechanism. Some lubricants, such as engine oils, also
contain additives which suspend dirt particles and disperse soluble contaminants in the
oil. This stops them clumping together and depositing on lubricated working surfaces.

8.4.7 Types of Lubricant

There are basically four kinds of material able to carry out the functions of a lubricant
to a greater or lesser degree.

Liquids

Many different liquids can be used as lubricants but the most widely used liquid
lubricants are based on mineral oils derived from crude petroleum. Their manufacture
and composition will be reviewed in some detail later in this module.

Other oils used as lubricants include natural oils (animal and vegetable oils) and
synthetic oils.

Natural oils may be excellent lubricants but they tend to break down more rapidly in
use than mineral oils. In the past, they have rarely been used for engineering
applications on their own, although they were sometimes used in combination with
mineral oils.

Recently, there has been an increased interest in possible applications of natural

vegetable oils as lubricants. They are readily biodegradable and are generally less
harmful to the environment than mineral oils.

Synthetic oils are manufactured by chemical processes and so tend to be expensive.

They are mainly used when some particular property is essential, such as the resistance
to extremes of temperature required of aircraft engine oils. Synthetic oils also offer a
range of performance benefits that exceed those offered by mineral oils.
At normal operating temperatures, oils flow freely, so they can be easily fed to and from
the moving parts of a machine to provide effective lubrication and to carry away heat
and debris. On the other hand, because they are liquid, oils can run away from the site
they are supposed to lubricate, they can leak, and they may not form effective seals

104
against dirt or moisture.

Greases

A grease is a semi-solid lubricant usually made from oil and a thickening agent,
traditionally a soap or clay. It provides a sort of reservoir of lubricant which is retained
where it is applied. Greases effectively seal surfaces from external contamination.
However, because they do not flow as freely as oils, they are harder to feed into a
machine when it is operating and they are less effective coolants than oils.

Solids

The main materials used as solid lubricants are graphite, molybdenum disulphide and
polytetrafluoroethylene (PTFE or Teflon). These are much less widely used than oils
and greases but are invaluable for special applications in conditions which oils or
greases cannot tolerate.

They can, for example, be used in extremes of temperature, and in reactive chemical
environments. The telescopic legs of the Apollo lunar module were lubricated by
molybdenum disulphide.

Gases

Air, and other gases, can be used as lubricants but they are generally only used for
special purposes. Gas lubricated bearings can operate at very high speeds but can only
carry relatively low loads. Such bearings can be found in the high speed drills used by
dentists.

8.4.8 The Features of Different Lubricants

Some important features of the basic types of lubricants are compared in Table 8.2.

Table 8.2 Features of Different Lubricants

Oils Greases Solids Gases
Hydrodynamic lubrication
Boundary lubrication
Cooling
Ease of feed to bearing
Ability to remain in bearing
Ability to seal out
contaminant
Protection against
corrosion
Temperature range of
operation

105
Key: Excellent Very good Good Fair Inapplicable

8.4.9 Important Properties of Lubricants

Many factors have to be taken into account when choosing a lubricant. The most
important of these is the viscosity of the lubricant.

Viscosity

The simplest definition of viscosity is resistance to flow. Under the same conditions of
temperature and pressure a liquid with a low viscosity, such as water, will flow more
quickly and easily than a liquid with a high viscosity, such as syrup or honey.

Viscosity can be defined in terms of a simple model in which a thin film of liquid is
placed between two parallel flat plates as shown in Fig. 8.11. The molecules of the
liquid are considered to be spheres which can roll along in layers between the plates.
The viscosity of the liquid is essentially a measure of the friction between its molecules
as they move past each other. It depends on the forces between the molecules and is
therefore influenced by their molecular structure.

Sur face m oving a t a r ea “ A”

velocity “ V”
Oil film

Sta tiona r y sur fa ce

Fig. 8.11 Thin Film of Oil Between Two Parallel Plates

Suppose the lower plate in Fig. 8.11 is kept stationary and the upper plate is moved
across it at a constant velocity. The molecules next to the moving plate will tend to
cling to it and move with it. The layers beneath will move as well, but more slowly, and
the bottom layer will not move at all (see Fig. 8.12). This orderly motion of molecules
is called viscous flow and the difference in speed between each layer is known as the
rate of shear.

For ce “ F”

Oil velocity = “ V”
h
Oil velocity = 1/ 2V
Film
th ick n ess
Oil velocity = 0

Fig. 8.12 Relationship Between the Applied Force and the Rate of Shear

106
The viscosity is defined as the shear stress (that is, the force causing the movement of
the layers) divided by the rate of shear.

This definition of viscosity, the absolute or dynamic viscosity, is used by engineers in

their calculations for bearing design. It is measured with a unit known as the centipoise
(cP).

Lubricant manufacturers and users usually find it more convenient to use an alternative
definition, the kinematic viscosity. This is the dynamic viscosity divided by the density
of the lubricant and is measured in units known as centistokes (cSt). Water at room
temperature has a kinematic viscosity of about 1cSt and the viscosities of most
lubricating oils at their operating temperatures, lie in the range 10 - 100cSt.

SAE engine viscosity number

The viscosity of internal combustion engine oils are usually classified according to the
SAE system devised by the American Society of Automotive Engineers. For engine oils
ten grades are specified, each corresponding to a range of viscosities. Four of the
grades are based on viscosity measurements made at 100ºC.

These are, in order of increasing viscosity, SAE 20, SAE 30, SAE 40, and SAE 50. The
remaining grades are based on measurements of maximum viscosity made at lower
temperatures (see Fig. 8.13). These grades are:
 SAE 0W (measured at -30ºC);
 SAE 5W (measured at -25ºC);
 SAE 10W (measured at -20ºC);
 SAE 15W (measured at -15ºC);
 SAE 20W (measured at -10ºC);
 SAE 25W (measured at -5ºC).

The ‘W’ suffix indicates that an oil is suitable for winter use.

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 Engine oil viscosity grades (SAE J300 system)
‘Thick ’
SAE 25W

SAE 20W
Hig h tem p er a tur e viscosity
SAE 15W g r a d es
(M a xim um a n d m inim um
SAE 10W viscosities sp ecified )

Viscosity
SAE 5W

SAE 0W

SAE 50

SAE 40
Low tem p er a tur e viscosity
SAE 30
g r a d es
(M a xim um viscosity sp ecified
SAE 20
only)
‘Thin’
Tem p ( o C) - 30 - 25 - 20 - 15 - 10 - 5 100

Fig. 8.13 Viscosity Grades for Engine Oils

Oils which can be classified in only one of the above grades are known as monograde
oils. An oil which meets the requirements of two grades simultaneously is known as a
multigrade oil. For example, an SAE 20-20W oil has a viscosity at 100ºC in the SAE
20 grade range and a viscosity at -10ºC that qualifies it for an SAE 20W rating.

SAE gear viscosity number

A system similar to the one used for engine oils is used for classifying automotive gear
oils. In this system, the grades SAE 90, SAE 140 and SAE 250 are based on viscosity
measurements made at 100ºC and the grades SAE 75W, 80W and 85W on
measurements made at -40ºC, -26ºC and -12ºC respectively.
Automotive viscosity grades (SAE J300 system)
‘Thick ’
SAE 85W
SAE 80W

SAE 75W
Viscosity

Hig h tem p er a tur e

viscosity g r a d es

SAE 250
Low tem p er a tur e viscosity
g r a d es SAE 140
(M a xim um viscosity sp ecified
only) SAE 90
‘Thin’
Tem p ( o C) - 55 - 40 - 26 - 12 -0 100

Fig. 8.14 Viscosity Grades for Gear Oils

The classification system for these gear oils is independent of that used for engine oils
which may make it difficult to compare their viscosities. For example, an SAE 50 engine
oil may actually be more viscous than an SAE 80W gear oil.

108
Based on SAE numbers, a direct correlation with an ISO viscosity range can be made.
For example, Shell Rimula X 30 has a viscosity which is equivalent to Shell Tellus 100,
while Shell Rimula X 10W and Shell Tellus 32 are equivalent.

Alternative systems of classifying industrial lubricants according to their viscosities are

used, for example, by the International Standards Organisation (ISO). In the ISO
system 18 grades are defined, each grade spreading over a narrow range of viscosity.
An ISO grade is specified by the term ISO VG followed by a number which is a measure
of its viscosity at 40ºC. The viscosity of any grade is about 50% greater than that of its
preceding grade.

It is important to note that, whatever grading system is used, the SAE, BSI or ISO
number only relates to the viscosity of an oil. It reveals nothing about any of its other
properties or about the quality and performance of the oil.

These ISO grades are used for Industrial Lubes i.e Hydraulics, Compressors, Industrial
Gears, Turbines etc. For industrial oils generally, it is usual to classify viscosity grades
in accordance with the international (ISO) classification (shown in Table 8.3) based on
Kinematic viscosity in centistokes (cSt or mm²/s ) at 40ºC (+/ 10%).

Table 8.3 ISO Grades for Industrial Lubes

Kinematic Viscosity Limits
ISO Midpoint Viscosity cSt at 40ºC
Viscosity Grade cSt at 40ºC
Min Max
ISO 22 22 19.80 24.20
ISO 32 32 28.80 35.20
ISO 46 46 41.40 50.60
ISO 68 68 61.20 74.80
ISO 100 100 90.00 110.00
ISO 150 150 135.00 165.00
ISO 220 220 198.00 242.00
ISO 320 320 288.00 352.00
ISO 460 460 414.00 506.00
ISO 680 680 612.00 748.00

Many fluid suppliers now incorporate the ISO viscosity grade in their brand designation
(eg Nuto H32, Tellus 68, Rando HD46 etc).

AGMA Lubricant No

The American Gear Manufacturers’ Association (AGMA) publishes standard

specifications for the selection of Industrial Gear Lubricants.

These specifications not only correspond to required viscosities, but also lubricant
performance. Each viscosity grade is given an AGMA number (based on viscosity @
40ºC). Hence an AGMA No 6 lubricant corresponds to an ISO 320 oil eg Shell Morlina

109
320 while an AGMA No 6 EP corresponds to Shell Omala Oil 320.

Below is a diagrammatic representation for ease of comparison between the various

viscosity rating systems.
1000
250
850 42
775 40
700 38
680 8
625 36
550
500
 Click to add text 34
32
460 140
450 7 30

cSt 400 28 cSt

365 26
@ 315 24
@
°C
40 280 320 6
22 100°C
240 20
220 5 90 50
205 18
175 16
150 40
140 4 14
115 85W 12
100 3 30
85 10
68 80W
60 2 8
46 1 20
40 6
32 75W 10W
20 22 4
10 5W
10 2

ISO VG AGMA SAE Gear SAE Engine

Lubricant No Viscosity No Viscosity

Fig. 8.15 Comparison Between the Various Viscosity Rating Systems

Viscosity index

The selection of a suitable lubricant requires that not only is its viscosity known, but
also that the way in which the viscosity changes with temperature is understood. The
viscosity of any liquid decreases as the temperature increases, so an oil which appears
to have a suitable viscosity at room temperature may be too ‘thin’ at the temperature
at which it is expected to perform.

Conversely, an oil which has the right viscosity at its operating temperature may be so
viscous at low temperatures that the mechanism it lubricates cannot be started from
cold. The viscosity index of a lubricant describes the effect of temperature on its
viscosity. Oils with a viscosity which is sensitive to changes in temperature are said to
have a low viscosity index; high viscosity index oils are less affected by temperature
changes.

Fig. 8.16 Variation of Viscosity with Temperature

110
The viscosity index of an oil is determined from its viscosities at 40ºC and 100ºC. The
normal range of viscosity index for plain mineral oils is from 0 to 100. Oils with a
viscosity index of more than about 85 are called high viscosity index (HVI) oils. Those
with a viscosity index of less than 30 or so are known as low viscosity index (LVI) oils,
while those in the intermediate range are known as medium viscosity index (MVI) oils.

It is possible to increase the viscosity index of a mineral oil by adding a viscosity index
improver. This, coupled with the use of modern refining techniques, enables the
production of multigrade engine oils with viscosity indices of 130 or more.

As a liquid gets hotter, the forces between its molecules weaken and the molecules are
able to move around more freely. The friction between them, and the viscosity of the
liquid, therefore decreases as the temperature rises. Generally, for most common
liquids, the larger the molecules, the more its viscosity is affected by changes in
temperature. When a graph of viscosity against temperature is plotted, a smooth curve
is obtained, but the precise shape of the curve depends on the particular liquid
concerned. Because of this, several measurements of viscosity and temperature are
needed before it is possible to predict accurately the viscosity at a particular
temperature. The viscosity index of an unknown oil is assigned by comparing its
viscosity/temperature characteristics with those of standard reference oils. The
standards used were chosen some years ago and at that time, were the oils which
showed the greatest and least changes in viscosity with temperature. Their viscosity
indices were therefore arbitrarily assigned values of 0 and 100 respectively and it was
assumed that any other oil would have a viscosity index between these limits.

In practice, the viscosity index system has several limitations, particularly for high
viscosity index oils. Its main use, therefore, is simply to give an indication of the extent
to which viscosity changes with temperature.

Viscosity and pressure

The viscosity of a liquid depends on pressure as well as temperature. An increase in

pressure squeezes the molecules of a liquid closer together, increases the friction
between them, and therefore increases the viscosity. For many applications, this effect
is not significant, but when lubricants are subjected to very high pressures (about 200
bar or more), as they may be for example at the interfaces of gears and of rolling
bearings, the viscosity of the lubricant may be affected.

In addition to viscosity, several other properties may also have to be considered to

make sure that a lubricant will continue to lubricate, cool, protect against corrosion,
maintain cleanliness, and carry out any other required functions safely and over the
maximum period of time for a given application.

Low temperature flow

Where machines are operating in cold environments, it is important that the oils used
to lubricate them retain the ability to flow at low temperatures. The lowest temperature
at which an oil will just flow is known as its pour point. In practice, lubricants should

111
have a pour point of at least 10ºC below the lowest temperature at which they will be
expected to perform.

Thermal stability

If an oil becomes hot in use, it is important it does not decompose to the extent that it
is no longer able to lubricate properly, or that flammable or hazardous breakdown
products are liberated.

Chemical stability

Lubricants may come into contact with a variety of substances. They must be able to
withstand chemical attack by these substances, or they may become unsuitable for use.
Oxidation by reaction with oxygen in the air, is the most important cause of the
deterioration of mineral oils. It generates acidic waste products which may corrode
surfaces and form sticky deposits on parts operating at high temperatures. Oxidation
also produces solid sludge which can hinder the flow of oil.

Heat transfer properties

Lubricants which are good conductors of heat should be used where it is necessary to
conduct heat away from a bearing. The ability of a material to conduct heat is its
thermal conductivity. Usually oils of low viscosity are better conductors of heat than
higher viscosity oils.

In systems where cooling depends on the circulation of oil, the specific heat of the oil is
an important property. This determines the amount of heat that the oil can carry away.

Corrosiveness

A lubricant must not corrode the metal surfaces with which it comes into contact. Many
mineral oils contain small quantities of weak acids but these are not usually harmful.
However as mentioned previously, mineral oils which are in contact with air at high
temperatures are oxidised to produce acidic compounds. The oil may then become
corrosive to metals. The acidity or basicity of a lubricant can be expressed in terms of
the quantity of alkali or acid needed to neutralise it. The evaluation of this
neutralisation number gives an indication of the deterioration of an oil in service.

Demulsification (Water separability)

When water is added to oil, it normally forms a separate layer because it is insoluble as
shown in Fig. 8.17. In some situations however, it is possible to disperse water in oil or
oil in water, in the form of tiny droplets. These mixtures are known as emulsions. In
most industrial applications the formation of emulsions should be avoided.
Emulsification has a detrimental effect on the ability of the oil to lubricate and may
promote corrosion of the lubricated surfaces.

112
 Water
droplets

Fig. 8.17 Insolubility Nature of Water in Oil

In turbines, compressors, hydraulic systems and other applications where lubricants are
likely to become contaminated with water, it is important that the lubricant should have
good demulsification properties. Any contaminating water should separate rapidly
from the lubricating oil so that the water can be drained off and the oil can be
recirculated and continue to do its job efficiently.

Emulsification

Although emulsification is usually undesirable, some lubricants are deliberately

formulated as emulsions. In metal working oil-in-water emulsions are used because
they provide effective cooling and good lubrication of the cutting tool. Water-in-oil
emulsions are used for some fire-resistant hydraulic fluids.

Flammability

There must be no risk that an oil will catch fire under the conditions in which it is used.
An indication of the fire resistance of an oil can be obtained by determining its flash
point. This is the lowest temperature of a liquid at which the vapour above the liquid
can be ignited by an open flame. It is worth noting that the fire risk at the flash point
may be very slight. Not only must the oil be heated to that temperature, but a flame
must be brought near it before it burns. Light mineral lubricating oils usually have flash
points above 120ºC.

Compatibility

A lubricant must not have any undesirable effect on other components of the system.
For example, it must be compatible with any seals used to confine the lubricant, with
any hoses used to transfer the lubricant from one component to another, and with any
paints, plastics, or adhesives with which it may come into contact.

Toxicity

Lubricants should obviously not pose a hazard to health. Most commonly used
lubricants are based on highly refined mineral oils which are relatively harmless
materials, especially if any contact with them is short term. They may, however, contain
additives which present specific health and safety hazards. In industrial oils, additives
are usually only present in small amounts so that any hazard is very much reduced.
Any potential risks are further minimised by common sense precautions such as not

113
letting lubricants come into contact with the skin repeatedly or for long periods, and
guarding against accidental swallowing or inhalation.

In those unusual applications in which a lubricant containing hazardous additives is

essential, manufacturers provide clear statements of the risks involved and specify any
additional safety precautions that need to be observed. This information is made
known to users by Material Safety Data Sheets and warning labels on the product
containers.

8.4.10 What’s in a lubricant

The vast majority of lubricants are made with mineral oils, that is, oils obtained from
crude petroleum. Originally mineral oil lubricants consisted simply of those fractions of
suitable viscosity obtained during the distillation of petroleum. Nowadays, the
manufacture of lubricants is a much more complicated process.

This process typically involves several stages of refining and blending for the production
of base oils with suitable properties. Base oils, by themselves, may not be able to carry
out all of the functions required of the lubricant. So, additives are added to the base
oil to produce the final lubricant. Additives either improve a lubricant’s property or
impart an entirely new characteristic.

8.4.11 Why use mineral oils?

Mineral oils are widely used as lubricants because they possess three crucially important
properties:
1. they have suitable viscosity characteristics;
2. they are effective coolants because they are good conductors of heat and
have a high specific heat;
3. they have the ability to protect against corrosion.

In addition mineral oils:

 are relatively cost-effective and plentiful;
 are comparatively stable to heat, and chemical decomposition;
 are compatible with most components used in lubricating systems;
 are virtually non-hazardous;
 can be blended with other oils and a wide variety of additives to extend or
modify their properties;
 and can be manufactured to produce the required physical characteristics.

Synthetic oils are also used as base oils and can offer the following advantages over
mineral oils;
 synthetic hydrocarbon base oils such as XHVI and PAO’s are the ultimate
refined base oils as they contain no residual heteroatoms;
 this leaves the formulator free to get the balance of performance enhancing
additives correct for the refining process, without interference from residual
active chemistry;

114
  some of the lubricant properties of synthetic base oils are not quite as good as
those of mineral oils, but with correct formulation can produce better lubricants.

Base oils

Lubricant base oils are produced by refining crude petroleum oils and blending the
refined products. Crude oils are complex mixtures of chemical compounds. Their
compositions vary considerably, depending on their origins.

As you might expect, the properties of the base oils produced from different crudes vary
considerably also. By mixing base oils in various proportions, it is possible to produce
a great number of blends with a wide range of viscosities and chemical properties.

Since the properties of a base oil are largely a consequence of its chemical composition,
it is worth looking a little more closely at the components which make up a mineral oil.
All mineral oils consist mainly of hydrocarbons, chemical compounds built up from the
elements carbon and hydrogen only. There are three basic types of hydrocarbon:
alkanes, cycloalkanes and aromatics.

Alkanes

These compounds, formerly known as paraffins, are built up from straight or branched
chains of carbon atoms. They are very stable to heat and oxidation. They have a high
viscosity index but only ‘fair’ low temperature flow properties.

Poor low temperature properties Good high

(highwax content) temperature
H H H stability
Good
oxidation H C C C H
stability
H H H
High
Used in engine oils, gear oils, viscosity
and hydraulic oils index

Fig. 8.18 Characteristics of Alkanes

Cycloalkanes

The most common type of hydrocarbon found in lubricating oils, the cycloalkanes
(formerly known as naphthenes) have molecules in which some of their carbon atoms
are arranged in rings. These compounds are less stable than alkanes and their viscosities
are more sensitive to changes in temperature. However, they do have good low
temperature flow properties. They are also good solvents and good boundary
lubricants, that is, they are able to lubricate surfaces which are in contact under heavy
loads.

115
 Good low Medium oxidation
temperature stability
HC2
properties
CH2 HC2 Makes good
Natural CH2 HC2 boundary
detergency lubricants
CH2
Used in Medium
refrigeration oils, process viscosity index
oils, slideway oils

Fig. 8.19 Characteristics of Cycloalkanes

Aromatics

Like cycloalkanes, aromatics contain rings of carbon atoms. However, they contain a
lower proportion of hydrogen. Aromatics are good solvents and good boundary
lubricants but have poor viscosity characteristics. They are more easily oxidised to give
acids and sludge.

High solvency
Poor viscosity characteristics
Poor oxidation stability
Used in some process oils, heat transfer oils
H
C

HC CH

HC CH or
C
H

Fig. 8.20 Characteristics of Aromtics

In addition to their hydrocarbon content, mineral oils may include small quantities of
compounds which contain elements such as oxygen, nitrogen and sulphur. Many of
these compounds are not stable to heat and oxidation and can promote the formation
of lacquer, varnish and other deposits.

8.4.12 The Manufacture of Lubricating Oils

The manufacture of lubricating oils is a complex multi-stage process. Some of the key
steps are outlined here. The first stage of most oil refining processes is atmospheric
distillation (presented in Fig. 8.21) in which the crude oil is heated in a furnace to
400ºC. A mixture of gases and liquid is produced which passes to a giant condenser
or fractionating column.

116
 Fig. 8.21 Manufacturing Lubricating Oils

Some gas passes straight through but the remainder condenses in the column, liquids
of different boiling points collecting at different heights from where they can be drawn
off. These are the starting materials for the manufacture of a variety of fuels. The liquid
residue from the first distillation, which collects at the bottom of the column, is the raw
material for the production of lubricating oils. It is subjected to a second distillation,
this time under reduced pressure (vacuum distillation), and split into further fractions.
The most volatile of these fractions is used for fuels, the residue is used for the
production of heavy oils and bitumen products, while the intermediate fractions provide
the base stock for the manufacture of lubricating oils.

Up to four fractions of lubricating oil base stock are produced and each of these is
subjected to further treatment. The least volatile fraction, the so-called short residue oil,
contains a large quantity of compounds containing oxygen, nitrogen and sulphur.
These so-called asphaltenes are removed in the process of deasphalting.

Propane is mixed with the oil and dissolves most of it, but not the asphaltenes, which
can then be separated out.

The short residue oil and the other fractions are next treated by solvent extraction. In
this operation the base stock is mixed with a solvent which dissolves most of the
aromatics and some other unwanted compounds. Alkanes and cycloalkanes are not
dissolved and can be separated off. The product of this stage is sometimes known as
raffinate. It has a higher viscosity index and better oxidation stability than the original
base stock. The next step is dewaxing in which high melting point alkanes are removed
and the low temperature flow properties of the base stock are therefore improved. In
the conventional technique of solvent dewaxing, the base stock is mixed with a suitable
solvent and cooled. Waxes solidify, separate out and are filtered off.

The technique of catalytic dewaxing, which achieves the same objective but in a
different way, may be used as an alternative. In this process the molecular structure of
the high melting point alkanes is altered by treatment with hydrogen in the presence of
a catalyst. For certain types of base oil, the aromatic and asphaltene content of the base
stock needs to be reduced still further. This cleaning up is usually done by
hydrofinishing, in which the oil is treated under pressure with hydrogen in the presence
of a catalyst.

The refined base stock is now ready for blending with other base oils and mixing with

117
additives for the production of finished lubricants. The production of a satisfactory base
oil is often a matter of compromise. For example, where an oil with a high viscosity
index is required, a blend containing a high proportion of alkanes might appear to be
the obvious choice. This however, is likely to have poor low temperature flow
properties and will be unsuitable for use in cold conditions.

On the other hand, a blend which contains a high proportion of cycloalkanes, and flows
well when it is cold, will have a lower viscosity index. Where both viscosity index and
low temperature flow are important, it will be necessary to balance the content of
alkanes and cycloalkanes carefully and produce a blend which provides the optimum
solution to two conflicting requirements.

A similar compromise has to be made over the aromatics content of a base oil.
Increasing the proportion of aromatics improves solvency and boundary lubrication
properties. However, a high aromatics content lowers the viscosity index and, more
significantly, reduces oxidation stability. Again, the methods of refining and blending
will be chosen to give the optimum qualities for the particular application.

8.4.13 Additives

Modern machinery places high demands on lubricants. In order to meet these demands
most industrial lubricants contain small quantities of additives which enhance the
properties of base oils or confer additional properties.

There are many different types of additive, some of which may fulfil several different
functions. The combination of additives used in a lubricant depends on the use to
which the lubricant is to be put.

It is convenient to divide additives into three categories:

1. Additives which modify the performance of the lubricant. These include viscosity
index improvers and pour point depressants.
2. Additives which protect the lubricant. These include anti-oxidants and anti-
foaming agents.
3. Additives which protect the lubricated surface. These include corrosion
inhibitors, rust inhibitors, detergents, dispersants and anti-wear additives.

Additives which modify the performance of the lubricant

Viscosity index improvers are added to base oils to reduce the extent of viscosity
changes with temperature. They are useful where a lubricant has to perform
satisfactorily over a wide range of temperatures. For example, engine oils used in cold
climates must be ‘thin’ enough to allow the engine to start easily and yet ‘thick’ enough
to lubricate efficiently at the high temperatures generated in the working engine. Most
multi-grade engine oils are treated with viscosity index improvers and are able to
perform better over a wider range of temperatures than untreated base oils.

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 Viscosity Index Improvers

Oil at SAE
15W
Engine
Start

At SAE 40
Normal
operating
conditions

Fig. 8.22 Viscosity Index Improvers

Viscosity index improvers are usually long chain polymers such as polyisobutenes,
polymethacrylates, and olefin copolymers. All of these increase the viscosity of a base
oil. At low temperatures the polymer molecules tend to curl up, but as the temperature
increases they uncurl. This effect tends to restrict the motion of the oil molecules,
‘thickens’ the oil and therefore to some extent, counteracts the decrease in viscosity of
the base oil. Some types of viscosity index improvers also have dispersant properties.

The viscosity of an oil which contains a viscosity index improver depends on the rate
at which it is made to flow. It may decrease dramatically if the oil is sheared rapidly as
in a high speed bearing. This effect must be borne in mind when it is planned to use a
multigrade oil. The decrease in viscosity with shear rate can be temporary or
permanent. A temporary loss in viscosity develops when high shear rates force the
large polymer molecules to align themselves in the direction of flow. More seriously, a
permanent loss of viscosity may occur if the shear rate is sufficient to physically break
up the polymer molecules into smaller units. Oxidation of the polymer can also occur
and adversely affect its ability to thicken the oil.

Pour point depressants are used to minimise the tendency of a mineral oil to congeal
and solidify when it is cooled. They are necessary additives for most oils used in
machinery operating at low temperatures.

Pour point depressants are usually high molecular weight polymers or low molecular
weight alkyl aromatic compounds. In order to understand how they work, it is
necessary to appreciate what happens at the pour point. When a mineral oil is cooled,
various waxy constituents start to crystallise. The wax crystals form a network of sheets
and needles which traps the remaining liquid and hinders its flow. Pour point
depressants are thought to act by forming a coating on the wax crystals. This does not
prevent them crystallising but it does restrict them binding together to form a three
dimensional network. The low temperature flow properties of the oil are therefore
improved.

Additives which protect the lubricant

Anti-oxidants improve the oxidation stability of lubricants and are particularly important
for oils that will become hot in use. They are very widely used; virtually all oils which
contain additives contain some anti-oxidant.

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When a mineral oil is exposed to the oxygen in the air it reacts to form organic acids,
sticky lacquers and sludge. Acids can cause corrosion, lacquers can cause moving
surfaces to adhere to each other and sludge thickens the oil and can clog holes, pipe
lines, filters and other components of the lubrication system. Oxidation reactions
depend on the extent to which oxygen is allowed to come into contact with the oil.
They take place more rapidly at high temperatures and are also promoted by moisture
and other contaminants present in oil such as dirt, metal particles, rust and other
corrosion products. Anti-oxidants block oxidation reactions and slow the breakdown of
a lubricant. They have a specific action which continues as long as they are present in
the oil, even in small concentrations. But once they are used up, the oil starts to oxidise
rapidly. It is therefore essential that an oil is changed before its anti-oxidant properties
are exhausted.

Anti-oxidants are of two types and to understand how they function we need to know
a little about the mechanism of the reactions in which oils are oxidised. In these
reactions, oxidation initially leads to the formation of compounds known as organic
peroxides. These react with further hydrocarbon molecules to oxidise them and
produce more peroxides. So a chain reaction gets going and carries on relentlessly,
particularly when metals are present to act as catalysts. One type of anti-oxidant, the
peroxide destroyers, reacts preferentially with organic peroxides and so interrupts the
chain reaction before it can get started. These compounds are usually phenols or
amines. The second type of anti-oxidant, the metal deactivators, react with metal
surfaces and with metal particles in the oil to block their catalytic effects. Metal
deactivators are usually soluble sulphur or phosphorus containing organic compounds.

Anti-foaming agents prevent the formation of foams in lubricating oils. Highly refined
lubricating oils do not usually foam. However, foams may develop in the presence of
certain contaminants especially in machines in which there is excessive churning and
agitation. Foaming increases the exposure of an oil to the air and so encourages
oxidation. It may cause oil to be lost from the system through air vents.

More seriously, it reduces the efficiency of lubrication; a film of foam is a much less
effective lubricant than a continuous film of oil. Foams developing in hydraulic fluids
cause the fluid to become ‘spongy’ and severely reduce their capacity to transmit power
efficiently. Anti-foaming agents are usually silicone compounds such as dimethyl
silicone. They reduce the surface tension of oil so that oil bubbles break as soon as
they are formed and foams do not build up.

Additives which protect the lubricated surface

Corrosion inhibitors restrict the chemical changes which may be caused to surfaces by
contaminants in the oil which lubricates them. The most likely causes of corrosion are
acids. These may be formed by oxidation of the lubricant or, in internal combustion
engines, during the combustion of fuels. Corrosion inhibitors are usually strongly basic
oil-soluble compounds which react chemically with acids to neutralise them.

Rust inhibitors are corrosion inhibitors specifically designed to inhibit the action of water
on ferrous metals. They are usually needed in turbine oils and hydraulic oils since these

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kinds of oil inevitably become contaminated with water. Rust inhibitors are commonly
organic acids which adhere strongly to metal surfaces and protect the surfaces from
attack.

Detergents are frequently added to engine oils and are able to protect lubricated
surfaces in a number of different ways. They reduce the deposition of carbon and
lacquer at high temperatures, prevent piston ring sticking and provide a reserve of
basicity to neutralise any acids formed during the combustion process. They may also
have anti-oxidant and anti-rust properties. Detergent additives consist of organic soap
molecules surrounding a basic inorganic core. The soap molecules contribute to the
additives’ detergency and anti-oxidant properties, while the basicity counteracts acid
combustion products and controls the development of engine rust.

Dispersants are added to oils to keep any contaminants, such as soot and oil breakdown
products, in suspension. They therefore inhibit the formation of larger aggregates which
could block oil ways and filters and they prevent them from being deposited on surfaces
where they might interfere with lubrication and heat transfer. Dispersants are usually
long chain molecules which have a hydrophilic (or water seeking) ‘head’ and a
hydrophobic (or water avoiding) tail. The hydrophilic ends tend to attach themselves
to dirt particles, leaving the hydrophobic tails protruding into the oil. The dirt particles
are thus kept apart.

Boundary lubrication agents are necessary when hydrodynamic lubrication cannot be

maintained and some metal-to-metal contact between moving surfaces takes place. It
is usual to distinguish three types of boundary lubrication agents: anti-scuffing
additives, load carrying additives and friction reducing additives.

Load carrying additives are further subdivided:

Where penetration of the oil film by surface asperities is intermittent, as can occur in
lightly loaded contacts in the “mixed lubrication regime” effective additives are referred
to as anti-wear additives.

As the number of metallic contacts increases with increasing load, a point is reached
where the bulk oil film collapses, this is accompanied by increases in friction and
temperature, seizure can occur. Additives effective in this regime are referred to as
extreme pressure (EP) additives.

Additives that are effective in one regime may not be effective in the other regime.
However, some have multiple roles and zincdialkyldithiophosphate (ZDTP) is one; it
acts as an anti-wear additive is an effective EP agent and also acts as an anti-oxidant.

Anti-scuffing additives are compounds which are adsorbed on to metal surfaces to form
a protective film that prevents direct metal-to-metal contact and significantly reduces
friction and wear.

Anti-scuffing additives are long chain polar organic chemicals such as alcohols and fatty
acids. They are adsorbed on to metal surfaces to give a thin layer of molecules in which

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the hydrocarbon chains are orientated perpendicular to the surface. This arrangement
provides very effective boundary lubrication in conditions of low oil film thickness.

Anti-wear and Extreme pressure (EP) additives are required in situations of severe
loading when anti-scuffing additives are ineffective.

Phosphorus, and most phosphorus/sulphur- containing materials are effective mainly

in the anti wear regime, they include amine or aryl phosphates and ZDTP. They react
with the metal surface at elevated temperatures. ZDTP additives rely on the
decomposition products for film formation which is itself very complex.
Under even more severe conditions, such as are often encountered on highly loaded
steel-on-steel gear teeth, EP additives are required. These additives are stable at normal
temperatures but, at the high temperatures which develop when two gear teeth are
squeezed together, they decompose and their breakdown products react with the metal
to form a protective lubricant film.

Extreme pressure additives are compounds usually containing chlorine or sulphur.

Examples include sulphurised polyisobutene, sulphurised fats, and chlorinated
hydrocarbons (which are tending to be removed from formulations for environmental
reasons). At temperatures of 300ºC or more which may develop when gear teeth mesh
together, these compounds decompose and react with the metal surface to form a
chemical film. These films are sheared more easily than two pure metal surfaces in
contact.

Friction reducing additives are a further category of boundary lubrication agents that
are generally used in combination with load carrying additives. Examples include
molybdenum compounds and organic amides. They achieve a reduction in boundary
friction with consequent benefits in efficiency. The mechanism of friction reducing
additives has yet to be elucidated.

8.4.14 Formulation

Most modern lubricants consist of a blend of several base oils and many additives. The
mixing, or formulation, of these constituents to produce the best product for a specific
application can be a very complicated task. It is often necessary to compromise between
the conflicting requirements of performance, compatibility and cost. We have already
seen how the blending of base oils involves balancing their alkane, cycloalkane and
aromatic content to produce a final blend with the optimum flow, solvency and
lubricating properties. A similar balancing act is required when mixing additives.

Each additive must be compatible with the base oil and with all the other ingredients of
the formulation, otherwise it may be rendered ineffective. Complete compatibility can
be difficult to achieve. In addition, it is obviously important from the commercial point
of view to minimise the cost of the formulation process and of the final product.

Once a formulation has been developed, it is essential to find out if it will work well and
safely in the application for which it is intended. Measurements of physical properties
(such as viscosity and viscosity index) and of chemical properties (such as acidity and

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thermal stability) can give some guidance here. However, if the lubricant or the
intended application is unusual in any way, it is essential to carry out a performance
test.

In performance testing, the conditions under which the lubricant will be expected to
operate are simulated. The test may use the service equipment under actual service
conditions or, more likely, be carried out on special test rigs in the laboratory. Whatever
method is used, evaluation of the results will involve stripping down the test machinery
and examining it closely as well as a detailed analysis of the condition of the lubricant
during and after the test. Some of the investigations which are most commonly carried
out are described later in this module.

Formulation - some questions to be answered

Performance:

How good is good enough?

Is this a product for general use?
Are there any special requirements?
What compromises can be made?

Compatibility:

Do the properties of any additives:

augment each other
cancel each other out?
Is the formulation stable:
in use? in storage?

Cost:

How much will the formulation cost:

to develop? to test? to make?
How much will the customer pay:
for an adequate product?
for a premium product?

Fig. 8.23 Some Questions to Answer During Formulation

The development of a typical lubricant formulation can require a number of different
tests, any one of which may suggest the need to reformulate the product and carry out
further testing. A complete formulation project can therefore take up to a year or more
and cost upwards of a half a million dollars.

There are not many companies which have the skills and resources necessary to
undertake these sorts of programmes. But every “Shell” branded lubricant has a
formulation which has been developed and tested in this way. Our customers can be
confident that our products will do the jobs expected of them efficiently, cost-effectively
and reliably.

8.4.15 The Selection of lubricants

Mixing oils

In general mixing oils (particularly mixing mineral and synthetic oils), should be
discouraged. It creates all sorts of problems as
1. chemical reactions between additives may occur,
2. existing additives will be diluted,
3. the final viscosity of the oils will be changed therefore the oil will have different
load carrying and heat transfer capabilities.

Principles

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Several factors must be taken into account when choosing a lubricant. The most
important are the specific application, operating conditions and cost. With these factors
in mind, the right lubricant can, in principle, be chosen with the aid of the following
check list:
1. What is the most suitable viscosity at the operating temperature?
As far as the actual lubrication is concerned, the most important property of a
lubricant is its viscosity (or, in the case of a grease, its consistency). The best
viscosity for a particular application can be determined by calculation but practical
experience often provides a useful guide. Many design parameters influence the
final choice, but the usual objective is to select a lubricant with the lowest viscosity
able to sustain the applied load, thus minimising energy consumption.

It is essential to remember that it is the viscosity at the operating temperature that is

important.

 For example, suppose the most efficient lubrication of a simple bearing requires
an oil with a viscosity of 10cSt.
 If the bearing is to work properly at 100ºC, the oil should have a viscosity of
10cSt at 100ºC.
 If, on the other hand, the bearing is to work properly at -30ºC, it should have a
viscosity of 10cSt at -30ºC.
 Two very different oils would be required. Their viscosities at room temperature
would be about 300cSt and 2cSt respectively.
1. What viscosity index is needed?
It is essential to select an oil with a suitable viscosity index. Although the viscosity at
the normal working temperature is critically important, the lubricant must also be able
to do its job over a temperature range which extends from the coldest starting
temperature to the hottest operating temperature. It must not be so ‘thick’ at low
temperatures that the machine cannot be started, nor so ‘thin’ at high temperatures that
it is unable to provide a suitable lubricating film.

2. What SAE or ISO viscosity grade of oil is required?

Having decided on the oil viscosity and viscosity index, the viscosity grade of the
required lubricant is determined. This involves converting the viscosity at the operating
temperature to the viscosity at a standard reference temperature and can be done using
readily available tables and charts, such as a Refutas Chart. The appropriate SAE or
ISO viscosity grade can then be selected.

Some machines contain several different lubricated components for example,

gearboxes contain gears and bearings. Some systems use lubricants to carry out more
than one function for example, hydraulic systems use lubricants for lubrication and
power transmission. In applications such as these, it may be possible to compromise
on the chosen viscosity grade so that the same oil can be used for all purposes. In
practice, a variation of 30-50% of the ideal viscosity is usually possible. So, an oil with
an ISO viscosity grade of 68 can be used to cover the range of viscosities from ISO VG
46 to ISO VG 100.

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 Application Viscosity range (cSt) at the
bulk operating temperature

Motor oil 10 - 50
Turbine oil 10 - 50
Compressor oil 10 - 50
Hydraulic oil 20 - 100
Rolling element bearing oil 10 - 300
Plain bearing oil 20 - 1500
Gear oil 15 - 1000
Fig. 8.24 Selection of Viscosity Grades for Specific Application

The viscosities of oils in service when used for a variety of typical applications are
summarised in the table below:

Some of these oil types have a wide range of possible viscosities. In general, lower
viscosities are preferred at high speeds, low loads and in enclosed systems with full oil
circulation.

A number of guides have been devised and published to help with the selection of the
best viscosity oil for a particular application. Some typical examples are illustrated
below:

1000
Viscosity Grade (cSt at 40°C)

600

400

200

100
100
0.1
0.1 0.5 11 5 10
10 20 100

Pitch Line Speed (m/s)

Fig. 8.25 Viscosity Selection for Gears

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 50,000

20,000

10,000

5,000

Speed (rpm)

Decreasing bore
2,000

1,000

500 10mm bore

20mm
200 50mm
100mm
100 200mm

2 5 10 20 50 100 200 500

Viscosity at operating temperature (cSt)

Fig. 8.26 Visocity Selection for Rolling Bearings

Viscosity selection for rolling bearings

4. What additives are needed?

Lubricating oils deteriorate in use for a number of different reasons. Most lubricants
therefore contain additives to combat deterioration and extend the service life of the
oil. Additives are also used to enhance particular properties of an oil. Many oils contain
anti-oxidants, dispersants and corrosion inhibitors. Other additives, such as viscosity
index improvers, pour point depressants, anti-foaming agents and anti-wear additives,
may be required depending on the application.

In comparison to the cost of the base oil, additives are expensive ingredients. They are
therefore, only added to the lubricant formulation if their inclusion can be justified on
the grounds of improved performance and economy in use.

5. What cost factors need to be considered?

The price of a lubricating oil is clearly an important factor but price alone should not be
allowed to determine the choice of lubricant. The lubrication systems of modern
machines are usually so well designed that a wide range of lubricants may be able to
be used in them. It is all too easy to select the cheapest lubricant that seems to do the
job required of it. It is necessary, however, to be sure that the oil will continue to
lubricate effectively over a long period.

An oil should be judged in terms of the full costs of running and maintaining machinery
over long periods. Thus lubrication with a cheap oil that has to be changed at frequent
intervals can soon become more expensive than using a more expensive oil with a
longer service life. More seriously, using a cheap oil might lead to a mechanical failure
that could cost much more than the additional cost of a more expensive lubricant.

8.4.16 The lubrication of specific equipment

In subsequent modules of this programme we shall be looking at the lubricants used for
specific purposes in considerable detail, describing what these lubricants must do and
what properties they must have.

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Manufacturers’ recommendations

In practice, the manufacturers of all types of plant and equipment normally specify the
properties and performance standards required of the lubricants which are suitable for
their machinery.

A typical specification might quote limits of viscosity at one or more temperatures, pour
point, flash point and corrosion prevention properties, together with an indication of
the test methods used to determine these characteristics. Frequently the specification
extends to a recommendation to use a named brand or brands of lubricant. Where
such manufacturers’ recommendations are available, the selection of lubricants should
always be based on them.

Where equipment manufacturers’ recommendations are not available, the lubricant

manufacturer, in conjunction with the equipment manufacturer if necessary, will be able
to advise customers on the most suitable brand for a specific application.

8.4.17 Substituting one lubricant for another

The lubricant user will often wish to consider whether an alternative product can replace
a brand that is currently being used. Such a substitution may help cut costs, improve
efficiency or rationalise the range of lubricants in use.

In situations like these, it is often tempting to switch directly to a lubricant which has a
similar specification to the brand in use. This course of action should not be undertaken
lightly as it is possible that the currently used brand is not the best grade for the job,
and that there may be a better lubricant for the particular application than the directly
comparable product.

Therefore, when planning to substitute one lubricant for another, it is essential to

consider the specific application in which the lubricant is to be used. In the vast majority
of cases, a reliable recommendation can be made based on the requirements specified
by the manufacturer.

In those few instances where such information is not available, recommendations must
be based on a consideration of the properties required of the lubricant and the
conditions under which it has to function. It may be necessary to seek technical
assistance.

8.4.18 Testing lubricants

It is good practice to take samples of working lubricants from time to time and examine
them. Testing oils in this way is known as lubricant monitoring. It can reveal
information about the condition of the oil and about the state of the machinery that it
is lubricating. Some of the tests used are quite simple and can be easily applied to the
smallest systems. Others are more sophisticated and tend to be used only for
monitoring the lubrication of larger machines and systems.

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Some of the tests more commonly used, and the information which can be obtained
for them are reviewed below.

Appearance

The appearance of an oil can reveal a lot about its condition (see Fig. 8.27). Darkening,
thickening and the presence of sludge and sooty particles imply overheating and
oxidation. Water may affect the appearance of the oil, suggesting that condensation or
leakage is taking place somewhere in the system. Wear debris is often found during
running in but, if seen in an older system, may indicate that serious wear is taking place.

Viscosity increase due

to sooty contaminants
Viscosity (cSt)

Operating time (hours)

Fig. 8.27 Effects of Sooty Particles on Viscosity

Viscosity

When checking the viscosity of a used oil, a sample of oil is compared with that of the
same unused oil. Any thickening of the oil may be caused by oxidation, by solid
contaminants, or by both factors. On the other hand, thinning of engine oil suggests
dilution by unburned fuel. In some situations, causes of thickening and thinning may
both occur so that the viscosity appears normal.

Flash point

The presence of just a small amount of unburned fuel in an engine oil will produce a
marked reduction in flash point. Other flammable contaminants will have a similar
effect. Water and non-flammable contaminants have a different effect and may obscure
the flash point.

Testing for water contamination

The simplest test for water involves heating the lubricant to above 100ºC. If water is
present, it boils off and causes the oil to crackle and spit. More precise tests involve
treating the oil with a chemical that reacts with water to produce hydrogen, or distilling
the water from the oil using a solvent system.

Acidity and basicity

The acidity of a lubricant can be expressed in terms of its acid number, the quantity of
alkali needed to neutralise it. Similarly, the basicity can be expressed in terms of its

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base number, the quantity of acid needed to neutralise it. Oxidation of an oil produces
acidic products and the evaluation of the total acid number (TAN) therefore gives an
indication of the deterioration of an oil in service.

In diesel engines, combustion of the fuel liberates acidic compounds of sulphur which
can cause corrosion and oxidation of the engine oil. Detergent additives provide a
reserve of basicity to neutralise such acids and evaluation of the total base number
(TBN) gives important information on the extent of the depletion of such additives.

Blotter tests

A drop of oil is placed on a sheet of special blotting paper and allowed to spread. A
new oil will give a uniform, pale yellow, transparent stain. An oil containing
contaminants will give a blot showing flecks, brown or black spots or rings. The precise
appearance of the blot depends on the amount and type of contaminants.

Infra-red spectroscopy

Many oxidation products of oil contain a chemical group, the carbonyl group, which
absorbs infra-red light of a characteristic wavelength. This property can be used to check
for oxidation.

Spectrographic oil analysis

Spectrographic oil analysis (SOA) is a sophisticated technique which enables the

elements present in an oil to be identified and their concentrations to be determined.
It can be used to indicate the causes of contamination and wear. For example, the
presence of silicon suggests that dust or grit is getting into the oil; copper, lead and tin
are probably associated with bearing wear.

Spectrographic oil analysis is based on the principle that when a chemical is heated to
a very high temperature it emits light. The light waves which are emitted depend on
the nature of the atoms in the chemical. Each element emits a characteristic spectrum
of wave lengths and the intensity of the emission is proportional to the amount of
element present.

In modern instruments used for spectrographic oil analysis a mist of oil is sprayed into
a high temperature plasma of argon gas. The oil and any elements in it are vapourised
and emit their characteristic spectra. The spectra are analysed electronically and a
computer prints out details of the elements present and their concentrations virtually
instantaneously.

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 CHAPTER 9

METHOD STUDY

9.1 Method Study Process

9.1.1 Approach to work study

Method study is the systematic recording and critical examination of ways of doing
things in order to make improvements.

The basic approach to method study consists of the following eight steps:

1. SELECT the work to be studied and define its boundaries.

2. RECORD the relevant facts about the job by direct observation and collect such
additional data as may be needed from appropriate sources.

3. EXAMINE the way the job is being performed and challenge its purpose, place,
sequence and method of performance

4. DEVELOP the most practical, economic and effective method, drawing on the
contributions of those concerned.

5. EVALUATE different alternatives to developing a new improved method

comparing the cost-effectiveness of the selected new method with the current
method of performance.

6. DEFINE the new method, as a result, in a clear manner and present it to those
concerned, i.e. management, supervisors and workers.

7. INSTALL the new method as a standard practice and train the persons involved
in applying it.

8. MAINTAIN the new method and introduce control procedures to prevent a

drifting back to the previous method of work.

These eight steps constitute the logical procedure that a work study specialist could
normally apply. In practice, however, the procedure is not as straightforward as it is
presented here. For example, when measuring the results achieved by the new method
one may find that the resulting cost-effectiveness may be negligible and does not
warrant the added investment in time and effort to develop the perceived method. In

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this case the work study person may have to go back to the drawing-board to examine
the job once more and try to develop another improved method.
In other circumstances experience with a new improved method may bring to the
surface new problems, in which case the process of examination, development and
subsequent steps has to be repeated again.

9.1.2 Approach to Work Study

One can argue that almost any operation in a work setting can be a candidate for an
investigation with a view to improving the way it is carried out. Such an argument
would present the work study specialist with an endless workload, some of which may
not be very productive. However, by focusing attention on certain key operations, a
work study specialist can achieve far-reaching results in a relatively short span of time.
There are three factors that should be kept in mind when selecting a job
1. Economic or cost-effective considerations.

2. Technical considerations

3. Human considerations.

Economic considerations: it is obviously a waste of time to start or to continue a long

investigation if the economic importance of a job is small or if it is one that is not
expected to run for long. Questions that should always be asked are: “will it pay to
begin a method study of this job?” or “Will it pay to continue this study?”
Obvious choices for study are:

A. Key profit-generating or costly operations, or ones with the largest scrap/waste

rates

B. Bottlenecks which are holding up other production operations, or lengthy

operations that consume a great deal of time.

C. Operations involving repetitive work using a great deal of labour and ones that
are likely to run for a long time.

D. Movements of material over long distances between workstations, those

involving the use of a relatively large proportion of labour or which require
repeated handling of material.

One of the easiest techniques that can be used to identify key operations as listed above
is the Pareto analysis (sometimes also referred to as “the ABC analysis of value
analysis”). This analysis is named after an Italian economist who noted that often a
small number of items among a range of products account for the highest value. The
same observation can be extended by saying that among all the operations in a given
plant a small number account for the largest share of cost or of profit, or for that matter
the largest percentage of waste.

Technical or technological considerations: One of the important considerations is the

desire by management to acquire more advanced technology, whether in equipment
or in processes. Thus management may want to computerize its office paperwork or its

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inventory system, or to introduce automation in the production operations. Before such
steps are taken, a method study can point out the most important needs of the
enterprise in this respect. For example, if paperwork leaves much to be desired and a
good deal of unnecessary or unwarranted information or processes exist, computerizing
the same method of work will do nothing much to improve the efficiency of the office.
A common term used by information systems specialists in this case is “useless material
in yields useless material out”. The only thing that changes in this case as a result of
computerization is that the same unneeded information will be produced at a higher
rate. If, on the other hand, computerization is preceded by a method study, the process
is then simplified a priori. The type of information needed is determined more clearly
and even decisions on the choice of hardware and software are made more rationally.
Method study then acts as a scouting operation prior to the introduction of more
advanced technology. The introduction of new technology should therefore constitute
an important factor in the choice of methods of work to be investigated.

Human considerations: certain operations are often a cause of dissatisfaction by

workers. They may induce fatigue or monotony or may be unsafe or clumsy to operate.
The level of satisfaction should point to a need for method study. Thus an operation
which may be perceived as effective by management may, on the other hand, generate
a great deal of resentment by the workforce. If such operations are addressed by work
study specialists as part of an overall work study programme, the benefits of work study
can become more apparent to the workforce.

In a similar vein, a choice of a particular job for study may lead to unrest or ill-feeling.
The advice given here is to leave it alone, however promising it may be from the
economic point of view. If other jobs are tackled successfully and the study can be seen
to benefit the people working on them, opinions will change and it will be possible, in
time, to revert back to the original choice.

9.1.3 Limiting the Scope of Work to be Studied

One of the first decisions a work study specialist has to make is to define exactly the
type of work to be studied, set up boundaries around it and decide what exactly it will
encompass. To take an example, in the preceding section we used the Pareto analysis
to select products or process that are most profitable or costliest, or yield the most waste.
The next logical question is to decide on the scope of our investigation with respect to
each product or process. Do we wish to examine the whole sequence of operation that
goes into producing that product, or only certain parts of it and in this case which part?
Would it be more opportune, for example, to concentrate only on the movement of
material or operators, or for that matter the handling of material?

To assist in making such decisions, it is important to understand thoroughly the problem

at hand or the present situation before looking for solutions or improvements. Having
a feel for the situation either form experience or by talking to the various people
involved will provide the work study specialist with the clue to the limits of his or her
investigation, at least in the initial stage. Once this is decided it should be adhered to.
Further work may tempt the specialist to go in to greater detail. This should be resisted,
although these indications should be noted and tackled separately. In other words, the

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work study practitioner should not go first for a small one-operative job which may
entail detailed study of the worker’s movements and yield a saving of a few seconds
per operation, unless the job is one that is repetitive. It is of little value to play around
with split seconds and centimetres of movements when a great waste of time and effort
is taking place as a result of poor layout or inappropriate handling of heavy materials.

9.2 Methods and Movements at Work Place

9.2.1 Approach to work Study

We want to consider in a general way how the productivity of workers and machines
can be improved through the use of work study. Still moving from the broader to the
more detailed approach, we have also examined procedures of a general nature for
improving the effectiveness with which complete sequences of operations are
performed and with which material flows through the working area. Turning from
materials to workers, we have discussed methods of studying the movements of persons
around the working area and the relationships between men or women and machines
or workers working together in groups. We have done so following the principle that
the broad method of operation must be put right before we attempt improvements in
detail.

9.2.2 Process Chart Symbols

The recording of the facts about job or operation on a process chart is made much
easier by the use of 5 standard symbols, which together serve to represent all the
different types of activity or event likely to be encountered in any factory or office. They
thus serve as a very convenient, widely understood type of shorthand, saving a lot of
writing and helping to show clearly just what is happening in the sequence being
recorded.
The principal activities in a process are represented by the following symbols:

- Operation: Indicates the main steps in a process, method or procedure. Usually

the part, material or product concerned is modified or changed during the
operation.

- Inspection: Indicates an inspection for quality and/or check for quantity.

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- Transport: Indicates the movement of workers, materials or equipment from
place to place.

- Temporary Storage or Delay: indicates a delay in the sequence of events: for

example, work waiting between consecutive operations, or any object laid aside
temporarily without until required.

- Permanent Storage: Indicates a controlled storage in which material is received

into or issued from a store under some form of authorization, or an item is
retained for reference purposes.

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 Flow Process Chart – Material Type

Fig. 9.1 : Original procedure of engine stripping cleaning and degreasing.

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Fig. 9.2: Improved procedure of engine stripping, cleaning and degreasing.

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9.2.3 Ergonomics

This involves the influence of working conditions on people. All managers will be aware
that the layout of work places is important if operations are to be completed efficiently.
Some people tend to fit the worker to the job rather than the job to the worker. It is of
course difficult to achieve ideal conditions for every job.

Ergonomics has been developed from the biological sciences, and involve the science
of fitting the Job to the worker. Machines and workplaces should be designed around
the capabilities of workers whenever this is possible. With workplaces such as the
workshop, parts department, forecourt, body shop, and so on, the following items play
a part in the efficiency of personnel:

- Temperature: i.e. heat or cold, humidity and air movements.

- Noise: Industrial workers commonly lose their hearing because of excessive
noise. All kinds of noise can influence productivity and should be kept to
acceptable limits for all personnel.
- Lightning: There is a critical lightning level for a given task, and this should be
obtained for optimum performance. Glare and dazzle should be avoided.
- Vibrations: This is closely associated with noise, and vibration should be kept to
a minimum.
- Toxic substances: the effect of substances such as carbon monoxide from
exhaust gases all workers. Legislation exists about such matters and should be
stringently enforced.
- Colours: Correct colours for work areas can influence the accident rates. Red is
an accepted colour for danger and can be used accordingly.

In addition to the item listed, ergonomics also covers anthropometry, i.e. measurement
of a person’s physical dimensions. Aural and visual capabilities and limitations, the
autonomic nerves and kinaesthetic senses will affect the ability of a person to work. In
turn the placing of machine, lifts, tools, controls and so on also affect the working
environment. People’s ages shift work arrangements and people’s expenditure of
physical energy are organizational matters which should receive attention to determine
how a workplace can best be used and the rest periods should be arranged accordingly.

Just as many commercial vehicles now have cabs designed by ergonomists, so that a
minimum of effort is required to look at the instruments and operate the controls, so a
workshop supervisor should ensure that by applying basic ergonomic principles, the
firm’s equipment and tools can be used as effectively as possible.

9.2.4 The Principle of Motion Economy

There are a number of “principles” concerning the economy of movements which have
been developed as a result of experience and which form a good basis for the
development of improved methods at the workplace. They may be grouped under three
headings:

A. Use of the human body

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 B. Arrangement of the workplace
C. Design of tools and equipment

They are useful in shop and office alike and, although they cannot always be applied,
they do form a very good basis for improving the efficiency and reducing the fatigue of
manual work. The ideas expounded by Professor Barnes’ are described here in a
somewhat simplified fashion.

Use of the human body

When possible:
1. The two hands should begin and complete their movements at the same time.
2. The two hands should not be idle at the same time except during periods of rest.
3. Motions of the arms should be symmetrical and opposite directions and should
be made simultaneously.
4. Hand and body motions should be made at the lowest classification at which it
is possible to do work satisfactorily.
5. Momentum should be employed to help the worker, but should be reduced to
a minimum whenever it has to be overcome by muscular effort.
6. Continuous curved movements are to be preferred to straight-line motions
involving sudden and sharp changes in direction.
7. “Ballistic” (i.e. free-swinging) movements are faster, easier and more accurate
than restricted or controlled movements.
8. Rhythm is essential to the smooth and automatic performance of a repetitive
operation. The work should be arranged to permit easy and natural rhythm
whenever possible.
9. Work should be arranged so that eye movements are confined to a comfortable
area, without need for frequent changes of focus.

Arrangement of the workplace

1. Definite and fixed stations should be provided for all tools and materials to
permit habit formation.
2. Tools and materials should be pre-positioned to reduce searching.
3. Gravity feed, bins and containers should be used to deliver materials as close
to the point of use as possible.
4. Tools, materials and controls should be located within the maximum working
area (see figure 1) and as near to the worker as possible.
5. Materials and tools should be arranged to permit the best sequence of motions.
6. “Drop deliveries” or ejectors should be used wherever possible, so that the
operative does not have to use his or her hands to dispose of the finished
work.
7. Provision should be made for adequate lighting, and a chair of the type and
height to permit good posture should be provided. The height of the work place
and seat should be arranged to allow alternate standing and sitting.
8. The colour of the workplace should contrast with that of the work and thus
reduce eye fatigue.

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Design of tools and equipment
1. The hands should be relieved of all work of “holding” the workpiece where this
can be done by a jig, fixture or foot-operated device.
2. Two or more tools should be combined wherever possible.
3. Where each finger performs some specific movement, as in typewriting, the load
should be distributed in accordance with the inherent capacities of the fingers
4. Handles such as those on cranks and large screwdrivers should be so designed
that as much of the surface of the hand as possible can come into contact with
the handle. This is especially necessary when considerable force has to be used
on the handle.
5. Levers, crossbars and hand-wheels should be so placed that the operative can
use them with the least change in body position and the greatest “mechanical
advantage”.

These “principles”, can be made the basis of a summary “questionnaire” which will
help, when laying out a workplace, to ensure that nothing is overlooked.
Figure 3 shows the normal working area and the storage area on the workbench for the
average operative. As far as possible, materials should not be stored in the area directly
in front of him, as stretching forwards involves the use of the back muscles, thereby
causing fatigue. This has been demonstrated by physiological research.

Fig. 9.3: Normal and Maximum Working Areas

9.2.5 The Principle of Motion Economy

One of the rule of motion economy in the use of the human body calls for movements
to be of the lowest classification possible. This classification is built up on the pivots

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around which the body members must move, as shown below

Table 9.1: Classifications of movements

Class Pivot
1 Knuckle
2 Wrist
3 Elbow
4 Shoulder
5 Trunk
Body member(s) moved
Finger
Hand and fingers
Forearm, hand and fingers
Upper arm, forearm, hand and fingers
Torso, upper arm, fore arm, hand and fingers

It is obvious that each movement above Class 1 will involve movements of all classes
below it. Thus the saving in effort resulting from using the lowest class possible is
obvious. If, in laying out the workplace, everything needed is placed within easy reach,
this will minimize the class of movement which the work itself requires from the
operative.

9.3 Quality Control

Quality has become a strong competitive weapon on account of several factors. First,
producing a quality standard commensurate with consumers’ expectations creates loyal
customers and improves the enterprise’s image. Second, properly applied quality
control can in many cases reduce rather than increase manufacturing costs. Third, when
applied as a managerial tool, it can help breed a culture within the enterprise which is
constantly striving for improved quality in products, processes, information and other
enterprise functions. The first factor mention above is obvious and needs no particular
elaboration. The last two will become clear as we proceed with our discussion in this
chapter.

9.3.1 The Meaning and Scope

In the preceding paragraph we saw quality as conformity with customer’s expectations.

Quality control therefore means measures undertaken to ensure such conformity. It
does not necessarily mean measures undertaken to attain the highest possible quality.
As a result of the application of quality control, products or services would have
consistent and uniform specifications.
Quality control has come to be identified with two approaches;
 A technical and statistical tool to keep variations from the norm under control.
Here various techniques can be used for this purpose;
 A management tool intended to influence attitudes so that various persons and
groups in the organisation become committed to pursuing and maintaining
quality improvement. This latter concept is referred to as “total quality control”.
The approach to quality control was in the past based on the use of statistical analysis
to measure the deviation from certain defined specifications. It is for this reason that

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quality control is sometimes referred to as “statistical quality control”. While this
approach continues to be used as a basis for measuring quality standards, over the past
15years a new approach to quality control has been developed by Taguchi which
carries quality control a step further, namely towards quality improvement rather than
merely statistical measurement and taking corrective action. A still broader concept is
that of total quality control, extended to all the activities of the enterprise. We explain
these approaches briefly below.

9.3.2 Statistical Quality Control

In traditional statistical quality control certain steps are followed:

i. Identify the quality characteristics we want to measure. This can be weight,
length, diameter, density, humidity, etc.

ii. Decide on the desired quality standards for that characteristic. This should be
determined in line with consumers’ or users’ acceptance level. As we increase
the level of quality standards, consumers; satisfaction may increase but up to a
point after which increased quality standards will not make much difference to
the average consumer. Cost, however, will continue to increase in an
accelerated manner as we pursue higher specifications. For example, in refining
olive oil it will not make much difference to the average consumer if the
percentage of remaining impurities (fatty acids) is 0.01 or 0.005, but the cost of
refining to attain the last figure can become exorbitant.

iii. Decide on the accepted tolerance level. For various reasons, products rarely
conform 100 percent to the desired specifications. There can be specific reasons
relating to the manufacturing process, variations in the raw material used,
sensitivity of the product to the outside or manufacturing environment, and so
on. These various factors combine to give variations from the specifications we
desire. We should accept or tolerate the deviation from our specification up to
a point and then reject the product if its characteristics falls beyond our tolerance
level. Setting tolerance levels is one of the most crucial issues in any quality
control operations. Setting tolerance levels that are too tight can increase the
number of rejects considerably, thereby increasing the costs. On the other hand,
setting them too loosely could mean that products with a wide variation in
quality standards would find their way on the market, with an adverse effect on
consumer satisfaction. In final analysis, in setting tolerance levels management
will be guided by its assessment of consumers’ tolerance of quality variations
and by cost.

iv. Decide on the method of sampling to test for quality. Inspecting every product
may not be possible in all cases (e.g. If we are testing a car against shock or
accident impact, testing all cars produced means virtually destroying them all).
Neither is there any guarantee that 100% testing is an effective method. When
sampling is decided upon, there are three issues to be addressed. First, are there
operations that require more control than others? Here we can use Pareto
analysis to indicate those operations or products-in-progress that have the

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 highest value or suffer the largest number of defects. Second, we can decide on
where to place our inspection points. A third decision to be made would be on
sample size and the frequency of sampling. On this last point, we would use
some of the statistical tools available to assist us in this respect. These tools,
which will not be elaborated on here, indicate to us the sample size we need if
we want to be, say, 95% confident that the observed deviation from the standard
we require is merely due to chance. If we want to be 99% confident, then the
sample size will increase.

v. Establish control charts to measure deviation from tolerance levels.

9.3.3 The Taguchi Approach

The Taguchi approach to quality control in its simplest form may be compared to the
approach of an agronomist. Agronomist have for years experimented with seeds that
were immune to climatic conditions or attacks by insects. The central theme of
Taguchi’s approach to quality is to have a second look at the product and process
design, and change these in such a way as to render them immune to variations. Let
us take a simple example of a factory producing tiles. Under traditional statistical quality
control approaches, the composition of the tiles is given and quality control aims at
assessing the variations in product specification. These variations can arise out of many
factors such as uneven temperature distribution during the baking operation, the mixing
operation, and so on. Under the Taguchi approach, one would try to change the
mixture of the ingredients that make up the tile, with a view of creating one that is
immune to temperature variations. For example, in this particular case an increase in
the lime content reduces a great deal. This is a proactive approach that invites the
search for a better product and process design, so as to reduce the chances of quality
variations.

In addition, every product has several quality characteristics (shape, colour, strength,
etc.), but it is not economical to try to improve all of them. Under the Taguchi method
only those that are of primary importance need to be investigated. Some of these
characteristics maybe produced in accordance with a certain specification but suffer
deterioration on use, say, the colour of a fabric which may fade. Here again, using more
fast colours can alleviate the problem of fading. Thus, apart from controlling the
manufacturing operation to reduce variations from the designed standard, it is better to
go back to the product design stage and create a so-called “robust” design which can
resist both deterioration and variations in the environment during manufacturing.

9.3.4 Total Quality Control

As mentioned earlier in this chapter, quality can also be embraced by management as

an effective competitive tool. As a result, managers may organise the running of the
enterprise in such a way that pursuing quality objectives becomes inherent in
employees’ activities. Since customer satisfaction is the determining yardstick for quality
specifications, then total quality control implies the continuous identification of
customers’ preferences and as in the Taguchi approach, a continuous probing of
product design to minimise variations from specifications, as well as a concerted effort

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by all concerned to minimise variations during processing and to improve customer
services. Instead of relegating quality to a specific department such as the quality control
department, total quality control becomes everybody’s business. Customer satisfaction
is obtained not only through the acquisition of a good administration of an order, clear
and proper billing, and a helpful after-sales service. In implementing total quality control
some companies have found it useful to establish quality circles.

Quality circles (QC) started in Japan in the early 1960s. A QC is a small group, normally
of six to eight persons, who work in the same area and who meet regularly on a
voluntary basis to think of ways to improve the quality of their operational activities.
Circle members usually receive suitable training in approaches to problem solving. In
the early days of QC development, the members were essentially concerned with
quality-related problems. However, later on the concern spread also to productivity
improvement. As the circle members develop, they in turn seek to make systematic
improvements and not just isolated experiments. As the QC movement began to spread
from Japan to various developing and industrialised countries, some variations in the
operation of QC were introduced. For example, QC groups in Japan meet after working
hours, which is not the case in many industrialised countries. Reward for successful
achievements in Japan is given in terms of recognition (say, a trophy), lecturing to other
organisations on achievements or attendance at conventions, and for outstanding
achievements a visit abroad may also be organised. In other countries the use of direct
financial rewards is considered in many cases to be a more appropriate form of
compensation.

The advantage of QC is that it involves employees in quality and productivity

programmes and as such reinforces the approach to total quality control schemes.
Nevertheless, not all QC movements have been successful. Some circles have become
inactive almost from their inception or declined in activity after initial enthusiasm; some
produced marginal results, while others continued their activities with remarkable
success.

9.3.4 Work study and Quality Control

The objectives of method study include not only quantitative gains or cost reduction
but also quality improvement. In this sense, the relation between method study in
particular and quality control is straightforward. A work study person evaluates the
results of his or her work by look at quality improvements as well. In addition,
establishing appropriate quality specifications and tolerance levels and signalling the
primary characteristic of a product for control can reduce costs, again an issue of
concern to the work study person. Also modern trends look at quality control as a
dynamic function that aims at the continuous improvement of product and process
design to meet customer expectations.

In this sense the objectives of method study and that of modern quality control coincide.
It would indeed be difficult for a work study person to be concerned primarily with
quantitative gains while overlooking quality issues. He or she would be ill-advised to
look for product specification in design without taking into consideration the changes
that might be needed in the composition of that product to make it more resistant to
variations and deterioration. In the same vein, method study cannot pursue

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improvement in operations without linking them to the resulting quality imperatives.
Finally, a total quality control approach creates an enterprise culture which can be more
receptive and conducive to a study of the methods work.

9.4 Product Planning and Control

9.4.1 The Scope of Production Planning and Quality Control

A crucial issue in production management is how to prepare the plans for

manufacturing a product or a range of products in the desired quantity and quality to
meet agreed delivery dates. But even then the best-conceived plans are not infallible.
Unexpected delays, low inventories or machine breakdowns can undermine production
plans. As a result, there is a need to establish a control over the progress of operations
which can signal deviations from the plans and thereby trigger off corrective action.
Production planning and control are therefore closely related, so much so that writers
have tended to use only one term to encompass them both. Thus “production control”
has in some cases been used as a term that includes the planning phase as well.

The first approach includes under this discipline the planning of all materials, processes
and operations ending with the finished product. Production planning and control are
seen to involve inventory control, scheduling of operations, and the planning of tools
and equipment that are needed as well as quality control.

The second approach looks at planning as an aggregate overall concept. Here the
starting-point is the sales forecast or sales orders depending on the products being
produced. A production capacity assessment is then made, and as adjustment
introduced to account for the reliability of delivery of raw materials, effective time of
operations and the nature of the product mix. Scheduling of operations then begins.
This second approach, if adopted, would take in issues such as estimation of demand
for various products, probabilistic assessment of operations breakdowns, labour
turnover and absenteeism, all of which fall beyond the scope of this book, where we
are more concerned with production operations and their relations to work study. For
this reason, we intend to take a restrictive view of production planning and control by
limiting it to the scheduling, planning and control of operational activities.

In doing so, we have to differentiate between planning and control in continuous or

line production, planning and control intermittent batch production or functional
production, and planning for specific projects.

9.4.2 Production Planning and Quality Control in continous Production

Continuous or line production consists of operations where one or a few products pass
through a sequence of operations to produce the desired finished product or products.
Examples are chemical industries, paper and pulp plants, and cement factories. In the
event that the enterprise is producing one product, production planning and control
become a rather simple operation of allocating production targets per week or on a
daily basis, the assumption being that all the different machines involved are perfectly
synchronised. A control of the output would signal a deviation from the desired norm
calling for an intervention to take corrective action.

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It is rather unusual to have a single product moving through a production line. More
likely, a few produces may compete for existing capacity. The mix of products involved
can render the planning and control operation more complex. In an oil refinery, for
example, increasing the planning targets for gasoline means a reduction in the
production of other refined products such as diesel oil or kerosene. In several cases in
line production operations, as the various products share more or less the same flow,
adjustments in the plan are made on a daily basis, depending on variations in demand
for each product. When more than two or three products are involved, more
sophisticated tools using suitable computer software are normally used for planning
purposes.

9.4.3 Production Planning and Quality Control in Intermittent Production

Intermittent production is normally a process where a multitude of products or parts are

produced, each necessitating a certain sequence of operations. Examples of intermittent
production are woodworking and furniture industries, and machine shops. In this type
of planning the sequence of operations for each product or part is identified, together
with the time needed in each operation, including set-up times. If the number of
products is limited, then a suitable chart such as Gantt chart (Fig. 9.4) can also be used
to show machine loading, thereby identifying idle time. This would enable rescheduling
to obtain the optimum utilization of machines and equipment. Finally, the Gantt chart
can be used to plan operators’ deployment on various machines, or materials
procurement and delivery needs.
In constructing a Gantt chart one works backwards, starting with delivery dates of the
final product and then scheduling assemblies or subassemblies relating them to a time
scale (in months, weeks, days or hours as the need may be) until one can determine
the starting-point for every operation.

While Gantt chart offer management an easy readable and visual demonstration of a
work plan and the position regarding implementation at a certain date, they become
cumbersome to use once the products or parts are many and varied and if there are a
number of constraints such as capacity utilization, rejection, margins, uncertainty of
delivery dates of raw materials or changing priorities for finished products. In such cases
more sophisticated tools of probability theory and operations research are used to
analyse a planning problem which is decomposed, into various scheduling options.
Computer software exists to assist with such problems, which involve changing the
various constraints to obtain feasible schedules and come up with an optimum solution.

To translate plans into actual operational instructions various forms are issued or
instructions given, sometimes using computer terminal facilities. These can include
manufacturing orders, including routeing of raw material and products-in-progress to
final products, operation cards to operators showing distribution of their time on various
operations, machine loading and utilization orders, and a feedback monitoring
operation. These various types of information though primarily useful for the optimum
allocation of resources for planning and control are also useful for cost-accounting
purposes and enable information to be given on probable delivery dates.

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 Fig. 9.4: Bar Diagram or Gantt Chart

9.4.4 Production Planning and Quality Control in Special Projects

The Gantt char is unsuitable for planning special projects such as building a ship or a
diesel engine, or erecting a building. In these special projects not only are the many
activities too cumbersome to be handled by a traditional Gantt chart operation, but also
several activities can be, and normally are performed simultaneously. Such projects are
planned and controlled using special planning methods and diagramming techniques
called networking. Among the most important planning methods used is PERT
(Programme Evaluation and Review Technique) developed by the United States Navy
and used to plan and control the activities of some 3000 different contractors engaged
in building the Polaris submarine in 1958. Independently, another planning method
called CPM (Critical Path Method) was developed by DuPont together with the Rand
Corporation in 1957. Both systems are similar, and the extended use of both PERT and
CPM over the years eliminated some of the differences that originally distinguished one
from the other. Because of that we will try to explain briefly the CPM method and the
networking planning technique associated with it.
The planning sequence consists of the following steps:

1. Identify the activities needed to complete a certain project

2. Determine which activities can run concurrently and which can only be started
after another activity is terminated
3. Draw the network diagram, using the principles shown in figure 4.
4. Calculate the time required to complete each activity and indicate this on the
diagram
5. Determine the total time for completing the project; this is the longest path on
the network and is called the critical path (figure 5)
6. Calculate the costs needed for each activity if it were to be carried out at a
normal place, or at a crash or accelerated pace (say by using more people,
overtime or more resources).

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7. Balance the use of resources to even out upsurges in their use.
The example in figure 5 shows a network composed of 11 activities. The figures
in bold-faced type indicate the time in days needed to complete each activity.
Note that the length of the arrows bears no relation to the time it takes to
undertake the particular activity.
To get from starting-point A to finishing-point I there are several paths. Each
consists of several activities with time allocations. These are:

A to B to G to F to I or 3+2+4+3=12 days

A to B to C to E to F or 3+5+2+8+3=21 days

A to B to D to E to F to I or 3+3+8+8+3= 25 days

A to B to H to F to I or 3+3+3+3= 12 days

From this analysis one can conclude that the project cannot possibly finish
before 25 days have elapsed. This is the longest path, known as the critical path,
consisting of activities A to B to D to E to F to I.

Fig. 9.5: CPM Activities- Diagram

Fig. 9.6: A Network Diagram Using Normal Times – Diagram

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There are several uses that can be made of CPM. The line of reasoning goes as follows:
1. Activities B to G and G to F require six days to finish. What is important is
that they reach point F three days before the end of the project. Therefore,
they can start at any time before that and need not start immediately after
activity A to B is finished. If they do, they will reach point F on the ninth day
and will have to wait to day 22. They could start for example, on day 15 or
20 and still would not affect the time needed for completing the project.
Since they are not activities on the critical path, they are said to be activities
that float forwards and backward as we wish, with the provision that they
can begin any time after three days from the start of the project.
This floating phenomenon of non-critical activities is very useful as it allows the best
allocation of resources. For example, the same personnel working on activities B and
G to F van after they finish be redeployed to perform activities B to H and H to F or
vice versa, if the skills needed are the same or similar. Having two teams working
simultaneously on activities B-G-F and B-H-F would represent a waste of resources.
We can therefore use CPM to reduce project costs.
2. If these activities were performed, say, by subcontractors, one could by
proper planning of non-critical activities use their float to make the optimum
schedule of payment to the contractors. This would also help to solve cash
flow problems.
3. CPM can also be used to balance project duration with cost, allowing a
project manager to make a decision in line with the situation he or she faces.
Let us assume that some of the activities mentioned above can be
accelerated, say, by employing more people (or using more trucks or other
equipment) but obviously at a higher cost. Others cannot be changed.
As the number of activities increase and the options for decision-making are taken more
and more into consideration, it becomes cumbersome to draw network diagrams for
CPM. Instead good project management software exists which allows the processing of
all the desired information for planning, as well as for control purposes.

9.4.5 Work Study and Production Planning and Control

Work study has two basic components, method study and work measurement. In the
following chapters we went to indicate how method study can simplify the methods of
work and reduce the time of the operation. Once this is done, work measurement then
determines the time it takes to perform the new improved method.

Production planning and control can be carried out only if the times of various activities
are known. It follows that the results of work measurement should constitute the
building blocks of the planning process. It also follows that each time a work study
practitioner changes the sequence of operations and its timing, this can play havoc with
planning unless the results of his or her work feed into the established system for
production planning.

On the other hand, through production control, operations managers are able to detect
trouble spots, too lengthy set-up times or lead times, frequent shortages of materials, or

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uneven utilization of resources resulting in delays. These are all pointers to the work
study person, who can usefully be called in to improve the situation.

Fig. 9.7: A Network Diagram Using Crash Times

9.5 Work Measurement

9.5.1 Introduction

It was said that work study consists of two complementary techniques: method and
work measurement. Work measurement is the application of techniques designed to
establish the time for a qualified worker to carry out a task at a defined rate of working.

9.5.2 The Purpose of Work Measurement

Work measurement, as the name suggest, provides management with a means of

measuring the time taken in the performance of an operation or series of operations in
such a way that ineffective time is shown up and can be separated from effective time.
In this way its existence, nature and extent become known where previously they were
concealed within the total. One of the surprising things about plants where work
measurement has never been employed is the amount of ineffective time whose very
existence is unsuspected: or which is accepted as “the usual thing” and something
inevitable that no one can do much about: that is built into the process. Once the
existence of, ineffective time has been revealed and the reasons for it tracked down,
steps can usually be taken to reduce.

Here work measurement has another role to play. Not only can it reveal the existence
of ineffective time; it can also be used to set a standard times for carrying out the work,
so that, if any ineffective time does creep in later, it will immediately ne shown up as
an excess over the standard time and will thus be brought to the attention of
management.

Earlier it was mentioned that method study can reveal shortcomings of design, material
and method manufacture, and, as such, affects mainly technical people. Work
measurement is more likely to show up management itself and the behaviour of
workers. Because of this it is apt to meet with far greater resistance than method study.
Nevertheless, if the efficiency operation of the enterprise as a whole is being sought, the
application of work measurement, properly carried out, is one of the best means of

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achieving it.

Just as the method study should precede work measurement in any reorganization that
takes place, so must the elimination of ineffective time due to the management short
comings precede any attack on the ineffective time within the control of workers.
Indeed, the mere fact of reducing the hold-ups and stoppages within the control of
management will tend to reduce the waste of time by the operatives, because they will
find themselves faced with proper supplies of work and of material, and will have the
general feeling that the management is “on its toes”. This will in itself have a beneficial
effect without the application of incentives schemes or of any form of coercion.

Work measurement may start a chain reaction throughout the organization.

The first thing to realize is that breakdowns and stoppages taking effect at the shop floor
level are generally only the end results of a series of management actions or failures.
Let us take an example of excessive idle time was revealed by a study taken over several
days. The piece of plant is very productive when operating but takes a long time to set
up. It is found that a great deal of the idle time is due to the fact that the batches of
work being put in this machine are very small, so that almost as much time is spent in
resetting is to do new operations as is spent in actual production. The chain of reactions
resulting from this discovery may be something like this:

o The work study department

Reports that work measurement reveals that the machine is idle for excessively long
periods because of small orders coming from the planning department. This is
substantially increasing the cost of manufacture. It suggests that the planning
department should do some proper planning and either combine several orders for the
same product into one large order or make more for stock.

o The planning department

Complains that it has to work on the instructions of the marketing department, which
never seems to sell enough of any one product to make up a decent sized batch and
cannot give any forecast of future orders so that more can be made for stock.

o The marketing department

Says that it cannot possibly make forecast or provide large orders of any one product
as long as it remains the policy of top management to accept every variation that
customers like to ask for. Already the catalogue is becoming too large: almost every job
is now a special.

o The managing director

Is surprised when the effect of marketing policy (or lack of it) on the production costs is
highlighted and says that the aim was to prevent orders going to competitors by being
as obliging to customers as possible.

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Thus it can be seen that the purposes of work measurement are to reveal the nature
and extent of ineffective time from whatever cause, so that action can be taken to
eliminate it, and then to set standards of performance of such a kind that they will be
attainable only if all avoidable ineffective time is eliminated and the work is performed
by the best available method and by appropriate trained and capable personnel.

9.5.3 The Use of Work Measurement

In the process of setting standards, it may be necessary to use work measurement:

- To compare the efficiency of alternative methods. Other conditions being equal,
the method which takes the least time will be the best method.
- To balance the work of members of teams, in association with multiple activity
charts, so that, as nearly as possible, each member has a task taking an equal
time to perform.
- To determine, in association with worker and machine multiple activity charts,
the number of machines and operative can run.

The time standards, once set, may then be used:

- To provide the basis for production planning and control for the choice of a
better layout and for process planning, and for establishing just-in-time inventory
control systems.
- To provide information that can enable estimates to be made for tenders, selling
prices and delivery dates.
- To set standards of machine utilization and labour performance which can be
used for any of the above purposes and as a basis for incentives schemes.
- To provide information for a labour-cost control and to enable standard costs to
be fixed and maintained.

It is thus clear that work measurement provides the basic information necessary for
all activities of organizing the work of an enterprise in which the time element plays
a part. It uses in connection with these activities will be more clearly seen when we
have shown how the standard time is obtained.

9.5.4 The Basic Procedure

The basic procedure for work measurement are outlined in table 9.2.

Table 9.2: Necessary steps for the systematic carrying out of work measurement
Select The work is to be studied
Record All the relevant data relating the circumstances
in which the work is being done, the methods
and the elements of activity in them.
Examine The recorded data and the detailed breakdown
critically to ensure that the most effective
method and motions are being used and that

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 unproductive and foreign elements and
separated from productive elements.
Measure The quantity of work involved in each
element, in terms of time, using the
appropriate work measurement technique
Compile The standard time of operation, which in the
case of stop-watch time study will include time
allowances to cover relaxation, personal needs,
etc.
Define Precisely the series of activities and method of
operation for which the time has been
compiled and issue the time as standard for
the activities and methods specified.

It will be necessary to take the full range of steps listed above only if a time is to be
published as a standard. When work measurement is being used only as a tool of,
investigation of ineffective time before or during a method study, or to compare the
effectiveness of alternative methods, only the first four steps are likely to be needed.

The techniques of work measurement

The following are the principal techniques by which work measurement is carried out

- Work sampling
- Structured estimating
- Time study
- Predetermines Time Standards (PTS)
- Standard data

We listed the main techniques of work measurement, we shall now examine one of the
most important of these techniques, namely Time Study.
Time study is a work measurement for recording a certain specific job or elements
carried out under specified conditions, and for analysing the date so as to obtain the
time necessary for an operator to carry it out at a defined rate of performance

Time study equipment

If time studies are to be made, certain items of equipment are essential. Basic time study
equipment consists of;

 A stop watch
 A study board
 Time study forms.

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The study will need to be carrying the timing and recording devices whenever a time
study is made. In addition, in the study office, there must be facilities for assisting with
the analysis of the time study. These may vary from a small calculator to personal
computer.

Other measuring instruments will be required from time to obtain data on the work
being measured-most work study offices will have (access to) such devices as tape
measures, steel rules, micrometres, spring balances, and so on.

In addition, the office should have a clear, reliable clock with a second hand for
recording study start and finish times.

Whatever type of watch is used, it should always be remembered that it is a delicate

instrument which must be treated with care. Watches should be wound fully before
each study, and should be allowed to run down overnight. At regular intervals, they
should be sent to a watchmaker for cleaning and routine overhaul.

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