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Lubrication of gears. III

Article  in  Lubrication Engineering · March 1990

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Robert Enichello
GEARTECH
Albany, California
Introduction
This is a four-part article explaining the principles
of gear lubrication. It reviews current knowledge in the
field of gear tribology and is intended for both gear
designers and gear operators.
Part 1 classifies gear tooth failures into five modes
and explains the factors that a gear designer and gear
operator must consider to avoid gear failures. It defines
the nomenclature and gives a list of references for those
interested in further research.
Pan 2 contains an in-depth discussion of the gear
tooth failure modes that are influenced by lubrication.
It also gives methods for preventing gear tooth failures.
Part 3 gives an equation for calculating the lubricant
film thickness which determines whether the gears
operate in the boundary, elastohydrodynamic or full-
film lubrication regime. Also given is an equation for
Blok's flash temperature which is used for predicting
the risk of scuffing.
Part 4 gives recommendations for selecting lubricant
type, viscosity and application method. Finally, a case
history is given which demonstrates many of the
principles of gear lubrication.
Gear Tribology
Because gears are such common machine
components, they may be taken for granted. Not
generally appreciated is that they are complex systems
requiring knowledge from all the engineering
eat treatment manufacturing methods and lubrication
meet the requirements of a given
PART 1
method is as important as the choice of steel alloy and
heat treatment. The interrelationship of the following
factors must be considered:
1. Gear tooth geometry.
2. Gear tooth motion (kinematics).
3. Gear tooth forces (static and dynamic).
4. Gear tooth material and surface characteristics
(physical and chemical).
5. Lubricant characteristics (physical and chemical).
6. Environment characteristics (physical and chemical).
Gear Tooth Failure Modes
To obtain optimum, minimum-weight gearsets the
gear designer must be aware of the intricate details of
many competing modes of failure. The American Gear
Manufacturers Association (AGMA) has classified 20
modes of gear failure in their nomenclature publication
(I),under the broad categories of wear, surface fatigue,
plastic flow, breakage and so-called associated gear
failures. See also references (2) through (6) for gear
failure modes. For our purposes, the best choice for
the basic categories is as follows:
1. Overload.
2. Bending Fatigue.
3. Hertzian Fatigue.
4. Wear.
5. Scuffing.
The following lists subdivide the five basic failure
modes. Many gear failures are known by several names
and/or qualifying terms such as: initial, moderate,
destructive, etc. These names and terms are included
in the lists in parentheses. The term "scoring" has been
used in the past in the U.S.A., while the term
"scuffing" is used in Europe to describe the severe form
of adhesive wear which involves welding and tearing
of the surfaces of gear teeth. To agree with current
usage, the term scuffing will be used in this article when
referring to this failure mode. The term scoring implies
scratching and it will be used to describe abrasive wear
rather than scuffing.
1 - Overload
Brittle fracture.
Ductile fracture.
Plastic deformation.
cold flow
hot flow
(continued on next page)
 indentation (rolling, bruising, peening, brinelling)
rippling (fish scaling)
ridging
bending, yielding
tip-to-root interference
-
2 Bending Fatigue
Low-cycle fatigue ( G 1000 cycles to failure).
High-cycle fatigue (> 1000 cycles to failure).
-
3 Hertzian Fatigue
Pitting (initial, superficial, destructive, spalling).
Micropitting (frosting, grey staining, peeling).
Sub-case fatigue (case crushing).
4 - Wear
Adhesion (normal, running-in, mild, moderate, severe,
excessive).
Abrasion (scoring, scratching, plowing, cutting,
gouging).
Corrosion.
Fretting-corrosion.
Cavitation.
Electrical discharge damage.
Polishing (burnishing).
-
5 Scuffing
Scuffing (scoring, galling, seizing, welding, smearing,
initial, moderate, destructive).
Tb, test bulk temperature of test gears OF
Symbols and Units Tc contact temperature OF
Tf flash temperature OF
Symbol Description Units Tf, test maximum flash temperature of test
gears OF
BM thermal contact coefficient lbf/[in so,' OF] Ts scuffing temperature OF
bH semi-width of Hertzian contact Ve entraining velocity in/s
band in Vr,, Vr2 rolling velocity (pinion, gear) in/s
c constant h~/g~m V operating pitch line velocity ftlmin
CM specific heat per unit mass lbf in/@bOF] WN~ normal operating load Ibf
d operating pitch diameter of pinion in W N ~ normal unit load lbflin
El,& modulus of elasticity (pinion, XW welding factor
gear) Ibf/in2 x, load sharing factor
Er reduced modulus of elasticity Ibf/in2 u pressure-viscosity coefficient in2/lb
hi, minimum film thickness in A specific film thickness
minimum contact length in AM heat conductivity lbf/[s OF]
v" Pm mean coefficient of friction
transmitted power hp pa absolute viscosity Reyns (Ib s/in2)
oil flow rate gPm "I ,"2 Poisson's ratio (pinion, gear)
average surface roughness, rms pin "40 kinematic viscosity at 40 OC cSt
bulk temperature OF P I ,P2 transverse radius of curvature
(pinion, gear) in
P~ density Iblin3
pn normal relative radius of cunature in
u composite surface roughness, rms pin
QI,~, surface roughness, rms (pinion,
gear) pin
Wb base helix angle deg
o,,w2 angular velocity (pinion, gear) rad/s

References
1 ) "Nomenclature of Gear Tooth Failure Modes",
ANSIlAGMA 110.04, (1980).
2) Shipley, E. E., "Gear Failures," Machine Design,
pp 152-162, Dec. 7, (1967).
3) Dudley, D. W., "Gear Wear," Wear Control Hand-
book, ASME.
4) Ku, P. M., "Gear Failure Modes - Importance of
Lubrication and Mechanics," STLE Trans., 19,
No.3, pp 239-249 (1975).
5) Wulpi, D. J., "How Components Fail."
6) "Failure Analysis and Prevention," (Failures of
Gears), Metah Handbook, 10,8th ed., pp 507-524.
7) God:frey, D., "Recognition and Solution of Some
Con~monWear Problems Related to Lubrication
and :Hydraulic Fluids," Lubrication Engineering,
pp 111-114, Feb. (1987).
8) Littman, W. E., "The Mechanism of Contact
Fatigue," Interdisciplinary Approach to the
Lubrication of Concentrated Contacts, NASA
SP-237, pp 309-377 (1970).
9) Ueno, T., et. al., "Surface Durability of Case-
Carburized Gears - On a Phenomenon of "Grey
- ctsining of Tooth Surface," ASME Pap. NO.
:2/DET-27, pp 1-8 (1980).
ter, H. and Weiss, T., "Some Factors
~encingthe Pitting, Micropitting (Frosted
AreeIS)and Slow Speed Wear of Surface Hardened
Gerurs," ASME pap. No. 80-C2/DET-89, pp 1-7
(i98r4.
11) Shipley, E. E., "Failure Analysis of Coarse-Pitch,
Hardened and Ground Gears," AGMA Pap. No.
P229.26, pp 1-24 (1982).
12) Tanaka, S., et. al., "Appreciable Increases in
Surface Durability of Gear Pairs with Mirror-Like
Finish," ASME Pap. No. 84-DET-223, pp 1-8
(1984).
13) Adams, J. H. and Godfrey, D., "Borate Gear
Lubricants-EP Film Analysis and Performance,"
Lubrication Engineering, Vol. 37, No. 1, pp 16-21,
Jan. (1981).
14) Blok, H., "Les Temperatures de Surface dans Les
Conditions de Graissage Sons Pression Extreme,"
Second World Petroleum Congress, Paris, June
(1937).
15) Blok, H., "The Postulate About the Constancy of
Scoring Temperature," Interdisciplinary Approach
to the Lubrication of Concentmted Contacts,NASA
SP-237, pp 153-248 (1970).
16) Dowson, D., "Elastohydrodynamics," Paper No.
10, Proc. Inst. Mech. Engrs., Vol. 182, FT 3A, pp
151-167 (1967).
17) "Fundamental Rating Factors and Calculation
Methods for Involute Spur and Helical Gear
Teeth," AGMA 20014388, (1988).
18) Akazawa, M., Tejima, T. and Narita, T., "Full
Scale Test of High Speed, High Powered Gear Unit
- Helical Gears of 25,000 PS at 200 mls PLV,"
ASME Pap. No. 80-C2/DET4 (1980).
19) Drago, R. J., "Comparative Load Capacity
Evaluation of CBN-Finished Gears," AGMA Pap.
No. 88 FTM 8, Oct. (1988).
20) "AGMA Standard Specification - Lubrication of
Industrial Enclosed Gear Drives," AGMA 250.04,
Sept. (1981).
21) "Practice for High Speed Helical and Herringbone
Gear Units," AGMA 421.06, Jan. (1969).
22) WeIlauer, E. J., and Holloway, G. A., "Application
of EHD Oil Film Theory to Industrial Gear
Drives," T m . ASME, J. Eng. I d , Vol. 98, series
B., No. 2, pp 626-634, May (1976).
23) Drago, R. J., "Fundamentals of Gear Design,"
Butterworth, (1988).
TMX-77572,Oct. (1974).
25) SCORING +, Computer Program, GEARTE
Software, Inc., Copyright 1985-1989.

BY
Robert Errichello
GEARTECH
Albany, California
.%tor's Nore: n e ~ l l o w m gI S h n 2 of a 4-pan amcle. h n I appeared rn the January
1990 rssue of f.E h n s 3 and 4 wtll be publrshed m rhe March and Apnl Issues
respecfrvely.
Introduction
This is a four-part article explaining the principles of gear
lubrication. It reviews current knowledge of the field of gear
tribology and is intended for both gear designers and gear
operators.
Part 1 classifies gear tooth failures into five modes and
explains the factors that a gear designer and gear operator
must consider to avoid gear failures. It defines the
nomenclature and gives a list of references for those interested
in further research.
Part 2 contains an in-depth discussion of the gear tooth
failure modes that are influenced by lubrication. It also gives
methods for preventing gear tooth failures.
Part 3 gives an equation for calculating the lubricant film
thickness which determines whether the gears operate in the
boundary, elastohydrodynamic or full-film lubrication regime.
Also given is an equation for Blok's flash temperature which
is used for predicting the risk of scuffing.
Part 4 gives recommendations for selecting lubricant type,
viscosity and application method. Finally, a case history is
given which demonstrates many of the principles of gear
lubrication.
-
Lubrication Related Failure Modes
These articles are concerned with gear tooth failures that
are influenced by lubrication. Pitting or scuffing may cause
the gear teeth to deteriorate and generate dynamic forces
which in turn cause the gear teeth to fail by bending fatigue.
In these cases the bending failure is secondary, and not
directly related to lubrication, while pitting or scuffing are
PART 2
the primary failure modes and both are definitely influenced
by lubrication. The failure analyst must discern the difference
between primary and secondary failure modes because the
wrong corrective action is likely to be recommended if a
secondary failure mode is mistaken for the primary failure
mode. For example, increasing the size of the gear teeth to
prevent reoccurrence of the above mentioned bending failure
would only make the situation worse by lowering the pitting
and scuffing resistance. Godfrey (7) gives a good description
of lubrication-related failure modes.
With the above considerations, overload and bending fatigue
are judged to be unrelated to lubrication and are eliminated
from further discussion together with sub-case, Hertzian
fatigue. Although corrosion, frettingcorrosion, cavitation and
electrical discharge damage are influenced by lubrication,
they are not discussed because these failure modes occur
relatively rarely in gear teeth. Hence, the following failure
modes are included in the scope of this article:
Hertzian fatigue
pitting
micropitting
Wear
adhesion
abrasion
polishing
Scuffing
Hertzian Fatigue -
Pitting is a common failure mode for gear teeth because
they are subjected to high Hertzian contact stresses and many
stress cycles. For example, through-hardened gears are
typically designed to withstand contact stresses of
approximately 100,000 psi while the contact stresses on
carburized gears may reach 300,000 psi. In addition, a given
 tooth on a pinion that is
revolving at 3600 rpm
accumulates over 5
million stress cycles
every 24 hours.
Pitting is a fatigue
phenomenon (8) which
occurs when a fatigue
crack initiates either at
the surface of the gear
tooth or at a small depth
below the surface. The crack usually
propagates for a short distance in a direction
roughly parallel to the tooth surface before
turning or branching to the surface. When the
crac:ks have grown to the extent that they separate a piece of
the !surface material, a pit is formed. If several pits grow
togelther to form a larger pit it is often referred to as a "spall."
Ther-e is no endurance limit for Hertzian fatigue, and pitting
OCCUIrs even a1t low stresses if the gears are operated long
enou~gh.BecauIse there is no endurance limit, gear teeth must
.
be designed fc)r a suitable, finite lifetime.
- ..
l o extena tne pitting life of a gearset, the designer must
keep the contact stress low, material strength high and the
lubricant specific film thickness high. There are several
geometric variables such as diameter, face width, number of
teeth, pressure angle, etc., that may be optimized to lower
the contact stress. Material alloys and heat treatment are
selected to obtain hard tooth surfaces with high strength.
Maximum pitting resistance is obtained with carburized gear
teeth because they have hard surfaces, and carburizing induces
beneficial compressive residual stresses which effectively
lower the load stresses. The drawback is that they are
relatively expensive to produce because they must be finished
by grinding. The details for obtaining high lubricant specific
film thickness will be explained later when
elastohvdrodvnamic (EHD) lubrication is discussed, but
general recommendations are to use an adequate supply of
cool,, clean anc1 dry lubricant that has adequate viscosity and
a hit;h pressure-viscosity coefficient.
..:-- !
Pilung 111ayinitiate at the surface or at a subsurface defect
such as a nonmetallic inclusion. With gear teeth, pits are most
often of the surface-initiated type because the lubricant film
thickness is usually low, resulting in relatively high metal-
to-mletal contact. The inte:raction between asperities or contact
at defects, suck1 as nicks or furrows, creates surface-initiated
I
craclcs rather
. . tllan subsurface-initiated cracks. For high-speed
gears wit11 smootn surhce finishes, the film thickness is
greater and sub-surface initiated pitting may predominate
rather than surface-initiated. In these cases, pitting usually
starts at a subsurface inclusion which acts as a point of stress
concentration. Cleaner steels, such as those produced by
vacuurn melting, prolong the pitting life by reducing the
numlber of inclusions.
Ccbntamination from water in the lubricant is believed to
promote pitting through hydrogen embrittlement of the metal,
and abrasive particles in the lubricant cause pitting by
indenting the tooth surfaces causing stress concentrations
---'IT disruding the lubricant film. At present, the influence
bricant' ac~ditivesorI pitting is unresolved.
Metlhods For Preventin~gPitting
1. Reduce contact stresses by reducing loads or optimizing
gear geometry.
2. Use clean steel, properly heat treated to high hardness,
:eferably by carburizing.
3. Use smooth tooth surfaces produced by careful grinding
or honing.
4. Use an adequate amount of cool, clean and dry lubricant
of adequate viscosity.
Hertzian Fatigue - Micropitting
On relatively soft gear tooth surfaces, such as those of
through-hardened gears, Hertzian fatigue forms large pits with
dimensions on the order of millimeters. With surface
hardened gears such as carburized, nitrided, induction-
hardened and flame hardened, pitting may occur on a much
smaller scale, typically only 10 r m deep. To the naked eye,
the areas where micropitting has occurred appear frosted,
and "frosting" is a popular term for micropitting. Japanese
researchers (9) have referred to the failure mode a s "grey
staining" because the light-scattering properties of
micropitting gives the gear teeth a grey appearance. Under
the scanning electron microscope (SEM) immediately evident
is that micropitting proceeds by the same fatigue process as
classical pitting, except the pits are extremely small. Many
times micropitting is not destructive to the gear tooth surface.
It sometimes occurs only in patches, and may arrest after the
tribological conditions have improved by running-in. The
micropits may actually be removed by light polishing wear
during running-in, in which case the micropitting is said to
"heal." However, there have been examples (9), (10)and (11)
where rnicropitting has escalated into full scale pitting, leading
to the destruction of the gear teeth.
The specific film thickness is the most important parameter
that influences micropitting. Damage seems to occur most
readily on gear teeth with rough surfaces especially when
they are lubricated with low viscosity lubricants. Gears
finished with special grinding wheels to a mirror-like finish
(12) have effectively eliminated micropitting. Slow-speed gears
are prone to micropitting because their film thickness is low.
To prevent micropitting, the specific film thickness should
be maximized by using smooth gear tooth surfaces, high
viscosity lubricants and high speeds. Experiments (10)have
shown that flame-hardened and induction-hardened gears have
less resistance to micropitting than carburized gears of the
same hardness. This is probably due to the lower carbon
content of the surface lavers of the flame-hardened and
induction-hardened gears.
Methods For Preventing Micropitting
1. Use smooth tooth surfaces produced by careful grinding
or honing.
2. Use an adequate amount of cool, clean and dry lubricant
of the highest viscosity permissible.
3. Use high speeds if possible.
4 . Use carburized steel with proper carbon content in the
surface layers.
-
Wear Adhesion
Adhesive wear is classified as "mild" if it is confine"a 10 A -
the oxide layers of the gear tooth surfaces. If, however, the
oxide layers are disrupted and bare metal is exposed, the
transition to severe adhesive wear usually occurs. Seivere
adhesive wear is termed scuffing and will be discussed liiter.
For the present, we assume that scuffing has been avoi;ded
through proper design of the gears, selection of the lubric:ant
and control of the running-in process.
When new gear units are first operated the contact betu
the gear teeth is not optimum because of unavoid;_._
manufacturing inaccuracies. If the tribological conditions are
favorable, mild adhesive wear occurs during running-in and
l ENGINEERING
 r subsides with time, resulting in a satisfactory lifetime
for the gears. The wear that occurs during running-in is
beneficial if it smoothes the tooth surfaces, increasing the
specific film thickness, and increases the area of contact by
removing minor imperfections through local wear. To ensure
that the wear rate remains under control, run-in new gearsets
by operating for at least the first 10 hours at one-half load.
The amount of wear considered tolerable depends on the
expected lifetime for the gears and requirements for control
of noise and vibration. Wear is considered excessive when
the tooth profiles wear to the extent that high dynamic loads
.\rellr or the tooth thickness is reduced to the extent that
A.."""
bending fatigue becomes possible.
Man.y gears,
- because of practical limits on lubricant
viscosity, speed and temperature, must operate under
boundary-lubricated conditions where some wear is
inevitable. Highly-loaded, slow speed ( < 100 fpm),
boundary-lubricated gears are especially prone to excessive
wear. Tests with slow-speed gears (10) have shown that
nitrided gears have good wear resistance while carburized
and through-hardened gears have similar but lower wear
resistance.-Reference (10) concluded that lubricant viscosity
has the greatest influence on slow-speed, adhesive wear and
that high viscosity lubricants reduce the wear rate
significantly. Also found was that sulphur-phosphorous
additives can be detrimental with slow-speed ( 10 fpm) <
gears, giving very high wear rates.
A few gear units operate under ideal conditions with smooth
tooth surfaces, high pitch line speed and high lubricant film
th;J--sss. For example, turbine gears that operated almost
U1IbN.L
continr~ouslyat 30,000 fpm pitch line speed still had the
origina1machining marks on their teeth even after operating
for 20 years. Most gears however, operate between the
bound:3ry and full-film lubrication regimes, under
elastohydrodynamic (EHD) conditions. In the EHD regime,
with thle proper type and viscosity of lubricant, the wear rate
usuallv reduces during running-in and adhesive wear virtually
ceases once running-in is completed. If the lubricant is
proper1y maintained (cool, clean and dry) the gearset should
not suf 'fer an adhesive wear failure.
Methotds For PI.eventing Adhesive Wear
1. Use smooth
.. . t~00th surfaces.
2. If possible, run-in new gearsets by operating the first 10
hou~ rs at one-half load.
3. Use high speeds if possible. Otherwise, recognize that
highdy-loaded slow-speed gears are boundary lubricated
and are especially prone to excessive wear. For these
con(litions, specify nitrided gears and the highest
pennissible lubricant viscosity.
<
4. For very slow-speed gears, ( 10 fprn), avoid using
lubricants with sulphur-phosphorous additives.
5 Use an adequate amount of cool, clean and dry lubricant
of tlle highest viscosity permissible.
-
Wear . Abrasion
Abra sive wear on gear teeth is usually caused by
contamination of the lubricant by hard, sharp-edged particles.
Contanlination enters gearboxes by being built-in, internally-
genera'ted, ingested through breathers and seals or
inadve~ -tently added during maintenance.
n#-...
l v l a l ?y gear manufacturers do not fully appreciate the
significance of clean assembly; not uncommon is to find sand,
machindng chips, grinding dust, weld splatter or other debris
in new gearboxes. To remove built-in contamination, drain
and flush the gearbox lubricant before start-up and again after
Journal of the Sock aglsts and Lubrlcatlon Engineers
the first 50 hours of operation, refill with the recommended
lubricant, and install a new oil filter.
Internally-generated particles are usually wear debris from
gears or bearings due to Hertzian fatigue pitting or adhesive
and abrasive wear. The wear particles are especially abrasive
because they become work hardened when they are trapped
between the gear teeth. Internally-generated wear debris can
be minimized by using accurate, surface-hardened gear teeth
(with high pitting resistance), smooth tooth surfaces and high
viscosity lubricants.
Breather vents are used on gearboxes to vent internal
pressure which may occur when air enters through seals or
when air within the gearbox expands (or contracts) during
the normal heating and cooling of the gear unit. The breather
vent should be located in a clean, non-pressurized area and
should have a filter to prevent ingress of air-borne
contaminants. In especially harsh environments, the gearbox
can be completely sealed, and the pressure variation can be
accommodated by an expansion chamber with a flexible
diaphragm.
All maintenance procedures which involve opening any part
of the gearbox or lubrication system must be carefully
performed to prevent contamination of the gearbox system.
Abrasive wear due to foreign contaminants such as sand
or internally-generated wear debris, called three body
abrasion, is a common occurrence. Two body abrasion,
occurs when hard particles or asperities on one gear tooth
abrade the opposing tooth surface. Unless the tooth surfaces
of a surface-hardened gear are smoothly finished, they will
act like files if the mating gear is appreciably softer. This
is the reason that a worm pinion is polished after grinding
before it is run with a bronze worm wheel. Manufacturers
of computer disk drives have found that stainless steel pinions
mated with anodized aluminum racks have excessively high
wear rates. The anodized layer of the aluminum rack is
extremely thin and brittle, and it breaks up and impregnates
the relatively soft stainless steel pinion. The aluminum oxide
particles then act like emery paper and wear the teeth of the
rack very quickly.
The lubrication system should be carefully maintained and
monitored to ensure that the gears receive an adequate amount
of cool, clean and dry lubricant. For circulating-oil systems,
fine filtration removes contamination. Filters as fine as 3 rm
have significantly increased gear life. For oil-bath gearboxes,
the lubricant should be changed frequently to remove
contamination. Under normal operating conditions the
lubricant should be changed at least every 2500 operating
hours or six months, whichever occurs first. For critical
gearboxes a regular program of lubricant monitoring can help
prevent gear failures by showing when maintenance is
required. The lubricant monitoring should include
spectrographic and ferrographic analysis of
contamination along with analysis of acid
number, viscosity, and water content.
Methods For Preventing Abrasive Wear
1. Remove built-in con-
tamination from new
gearboxes by drain-
ing and flushing the
lubricant before start-
up and again after
the first 50 hours of
operation. Refill with
the recommended
lubricant and install a
new filter.
2. Minimize internally-generated wear debris by using
surface-hardened gear teeth, smooth tooth surfaces and
high viscosity lubricants.
3. Minimize ingested contamination by maintaining oil-tight
seals and using filtered breather vents located in clean,
non-pressurized areas.
4. Minimize contamination that is added during maintenance
by using good housekeeping procedures.
5. For circulating-oil systems, use fine filtration.
6. For oil-bath systems, change the lubricant at least every
2500 hours or every six months.
7. Monitor the lubricant with spectrographic and ferrographic
analysis together with analysis of acid number, viscosity
and water content.
Polishing Wear
If the anti-scuff (EP) additives in the lubricant are too
chemically reactive, they may cause polishing of the gear
tooth surfaces until they attain a bright, mirror finish.
Although the polished gear teeth may look good, polishing
wear is undesirable because it generally reduces gear accuracy
by wearing the tooth profiles away from their ideal form. EP
additives such as sulfur and phosphorous, used in lubricants
to prevent scuffing, will be covered when scuffing is
discussed. They function by forming iron sulfide and iron
phosphate films on areas of the gear teeth where highest
temperatures occur. Ideally, the additives should react only
at tenlperatures where there is a danger of welding. If the
rate of 'reaction is too high, and there is a continuous removal
aullabb ,ilms
of the "..-Cone F; by wear caused by very fine abrasives
in the lubricant, the polishing wear may become excessive.
Polishing wear can be prevented by using less chemically
active additives. As an alternative to sulfur-phosphorous
additives, anti-scuff lubricants are available with dispersions
of potassium borate (13) which deposit EP films without
chemically reacting with the metal. Removing the abrasives
in the lubricant by using fine filtration or frequent oil changes
is hell?fill.
MethcMIS For P'reventing Polishing Wear
1. Use less che ctive anti-scuff additives such as
borate.
2. Remove abrar;ives from the lubricant by using fine filtration
.:1 ,
.LA.."-
or freauent 611 ulal~geS.
Scum
Scuffing is defined as localized damage caused by solid-
phase welding between sliding surfaces. It is accompanied
by transfer of metal from one surface to another due to
welding and tearing. It may occur in any sliding and rolling
contact where the oil film is not thick enough to separate the
surfaces. The symptoms a re a micrc~scopicallyrough, matte,
tom surface. Su~rfaceanalysis that shows transfer of metal
from one surfac:e to the (~ t h e ris PIroof of scuffing.
Scuffing can occur in gear teeth when they operate in the
boundary lubrication regime. If the lubricant film is
insufficient to prevent significant metal-to-metal contact, the
oxide layers that normally protect the gear tooth surfaces may
be brc)ken through, and the bare metal surfaces may weld
togethler. The sliding that occurs between gear teeth results
in tea ring of the welded junctions, metal transfer and
catastr.ophic damage.
In ccontrast to pitting and bending fatigue which only occur
after a period of running time, scuffing may occur
immeciiately upon start-up. In fact, gears are most vulnerable
Ffing whkr1 they are new and 1 their toottI surfaces have
not yet been smoothed by running in. For this reason, it is
wise to run-in a new gearbox under one-half load for iit least
10 hours to reduce the surface roughness of the teeth before
applying full load. The gear teeth can be coated wilth iron
manganese phosphate or plated with copper or sil T m r
..U1
tn
I"
protect them from scuffing during the critical runrling-in
period.
The basic mechanism of scuffing is not understood c
But, by general agreement, it is believed caused by intense
frictional heating generated by the combination of high sliding
velocity and intense surface pressure. Blok's 04) critical
temperature theory is believed to be the best criteria for
predicting scuffing. It states that scuffing will occur in gear
teeth that are sliding under boundary-lubricated conditions,
when the maximum contact temperature of the gear teeth
reaches a critical magnitude. For mineral oils without anti-
scuff1EP additives, each combination of oil and rubbing
materials has a critical scuff~ngtemperature which is constant
regardless of the operating conditions (15). The critical
scuffing temperature is believed not constant for synthetic
lubricants and lubricants with anti-scuff additives; it must
be determined from tests which closely simulate the operating
conditions of the gears.
Today, most anti-scuff additives are sulfur-phosphorus
compounds which form boundary lubricating films by
chemically reacting with the metal surfaces of the gear teeth
at local points of high temperature. Anti-scuff films help
prevent scuffing by forming solid films on the gear tooth
surfaces and inhibiting true metal-to-metal contact. Tht:films
of iron sulfide and iron phosphate have high melting I----.-,
mints.
allowing them to remain as solids on the gear tooth surfaces
even at high contact temperatures. The rate of reaction of the
anti-scuff additives is greatest where the gear tooth contact
temperatures are highest. Because of the rubbing action of
the gear teeth, the surface films are repeatedly scrapped off
and reformed. In effect, scuffing is prevented by substituting
mild corrossion in its place. Occasionally, anti-scuff additives
such as sulfur are too chemically active, causing polishing
wear and necessitating a change to less aggressive add itives.
Lubricants with anti-scuff additives of potassium borate-.. do
not cause polishing wear because they deposit glass-like
boundary films without reacting with the metal.
For mineral oils without anti-scuff additives, the critical
scuffing temperature increases with increasing viscosity, and
ranges from 150°C to 300°C. The increased scuffing
resistance of higher viscosity lubricants is believed to be due
to differences in chemical composition rather than increases
in viscosity. However, a viscosity increase also helps to reduce
the risk of scuffing by increasing the lubricant film thickness
and reducing the contact temperature generated by metal-to-
metal contact.
Scuffing is controlled by the total contact temperature Tc,
which consists of the sum of the gear bulk temperature Tb,
and the flash temperature Tf, i.e.,
Tc = Tb + Tf
The bulk temperature is the equilibrium temperature of the
surface of the gear teeth before they enter the meshing zone.
The flash temperature is the local and instantaneous
temperature rise that occurs on the gear teeth due to the
frictional heating as they pass through the meshing zone.
Anything that reduces either the bulk temperature or the
flash temperature will reduce the total contact temperature
and lessen the risk of scuffing. Higher viscosity lubricants
or smoother tooth surfaces help by increasing the specific
film thickness, which in turn reduces the frictional heat and,
bre, the flash temperature. Also, the lubricant performs
February, 1990 LUBRICATION ENGINEERING
 the important function of removing heat from the gear teeth.
It must be supplied to the gear teeth such that it removes heat
rapidly and keeps a low bulk temperature. A heat exchanger
can be used with a circulating oil system to cool the lubricant
before it is sprayed at the gears. The gear designer can
maximize scuffing resistance by optimizing the gear geometry
such that the gear teeth are as small as possible, consistent
with bending strength requirements, to reduce the temperature
rise caused by sliding. Figure 1 shows that the rolling
velocities, Vr, and Vr,, linearly increase from zero at the
interference points to a maximum at each end of the path of
contact. The sliding velocity is represented by the distance
between the Vr, and Vr, lines. The amount of sliding is
proportional to the distance from the pitch point, P, and is
zero when the gear teeth contact at the pitch point, and largest
at the ends of the path. Addendum modification can be used
to balance and minimize the temperature rise that occurs in
the addendum and dedendum of the gear teeth. The
temperature rise may also be reduced by modifying the tooth
profiles with slight tip and/or root relief to ease the load at
the start and end of the engagement path where the sliding
velocities are the greatest. Also, the gear teeth must be
accurate and held rigidly in good alignment to minimize tooth
loading and therefore the temperature rise.
Gear materials should be chosen with their scuffing
resistance in mind. Nitrided steels such as Nitralloy 135M
are generally found to have the highest resistance to scuffing,
while stainless steels are liable to scuff even under near-zero
loads. The thin oxide layer on stainless steel is hard and brittle
and it breaks up easily under sliding loads, exposing the bare
metal, thus promoting scuffing. Anodized aluminum has a
low scuffing resistance similar to stainless steel. Hardness
does not seem to be a reliable indication of scuffing resistance.
Methods For Preventing Scuffing
1. Use smooth tooth surfaces produced by careful grinding
or honing.
2. Protect the gear teeth during the the critical running-in
period by coating them with iron manganese phosphate
or plating them with copper or silver. Run in new gearsets
by operating the first 10 hours at one-half load.
3. Use high viscosity lubricants with anti-scuff additives such
as sulfur, phosphorous or borate.
4. Cool the gear teeth by supplying an adequate amount of
cool lubricant. For circulating-oil systems, use a heat
exchanger to cool the lubricant.
5. optimize the gear tooth geometry by using small teeth,
addendum modification and profile modification.
6. Use accurate gear teeth, rigid gear mountings and good
helix alignment.
7. Use nitrided steels for maximum scuffing resistance. Do
not use stainless steel or aluminum for gears.
References
1) "Nomenclature of Gear Twth Failure Modes:' ANSIIAGMA 110.04.
(1980).
2) Shipley, E.E., "Gear Failures:' Machine Design, pp 152-162, Dec. 7,
(1967).
3) Dudley, D.W.. "Gear Wear:' Wear Controlled Handbook, ASME.
4) Ku, P.M., "Gear Failures Modes-Importance of Lubrication and
Mechanics:' S7ZE Tmns., 19, No. 3, pp 239-249, (1975).
5) Wulpi, D.J., "How Components Fail."
6) "Failure Analysis and Prevention," (Failures of Gears). Metals Hand-
book, 10, 8th ed., pp 507-524.
7) Godfrey, D., "Recognition and Solution of Some Common Wear Pro-
blems Related to Lubrication and Hydraulic Fluids," Lubrication
Engineering, pp 111-114, Feb. (1987).
Journal of the Soclety of Trlbologlsts and Lubrication Engineers
PITCH
POINT \ 8c55
op=*
ppP" LINE OF
ACTION
START OF - *'I
ACTIVE SLIDING
PROFILE C VELOCITY
FIG. 1 - Graphical representation of rolling
and sliding velocities.
Limnan, W.E., "The Mechanism of Contact Fatigue," Interdisciplinary
Approach to the Lubrication of Concentmted Contacts, NASA SP-237
pp 309-377, (1973).
Ueno, T., et. al., "Surface Durability of Case-Carburized Gears -On
a Phenomenon of "Grey Staining of Tooth Surface," ASME Pap. No.
80-C2/DET27; pp 1-8, (1980).
Winter, H. and Weiss, T., "Some Factors Influencing the Pitting,
Micropitting (FrostedAreas) and Slow Speed Wear of Surface Hardened
Gears," ASME Pap. No. 80-C2/DET-89, pp 1-7, (1980).
Shipley, E.E.. "Failure Analysis of Coarse-Pitch, Hardened and Ground
Gears," AGMA Pap. No. P229.26, pp 1-24, (1982).
Tanaka, S., et. al., "Appreciable Increases in Surface Durability of
Gear Pairs with Mirror-Like Finish." ASME Pap. No. 84-DET-223,
pp 1-8, (1984).
Adams, J.H. and Godfrey, D., "Borate Gear Lubricant-EP Film
Analysis and Performance," Lubrication Engineering, 37, No. 1, pp
16-21, Jan. (1981).
Blok, H., "Les Temperatures de Surface dans Les Conditions de
Graissage Sons Pression Extreme," Second Ubrld Petroleum Congress,
Paris, June (1937).
Blok, H., "The Postulate About the Constancy of Scoring
Temperature:' Interdiscip~inaryApproach to the Lubrication of Con-
centrated Contacts, NASA SP-232 pp 153-2.48, (1970).
Dowson, D.. "Elastohydrodynamics~'Paper No. 10, Pmc. Inrt. Mech.
Engrs., 182, PT 3A, pp 151-167, (1967).
"Fundamental Rating Factors and Calculation Methods for Involute
Spur and Helical Gear Teeth," AGMA 2001-888. (1988).
Akazawa, M., Tejima, T. and Narita, T., "Full Scale Test of High
Speed, High Powered Gear Unit - Helical Gears of 25,000 PS at 200
m/s PLV," ASME Pap. No. 80-CZ/DET-4, (1980).
Drago, R.J., "Comparative Load Capacity Evaluation of CBN-Fished
Gears,'' AGMA Pap. No. 88 F7'M 8, Oct. (1988).
"AGMA Standard Specification - Lubrication of Industrial Enclosed
Gear Drives," AGMA 250.04, Sept. (1981).
"Practice for High Speed Helical and Herringbone Gear Units:' AGMA
421.06, Jan. (1969).
Wellauer, E.J., and Holloway, G.A., "Application of EHD Oil Film
Theory to Industrial Gear Drives:' Trans. ASME, J. Eng. Ind., 98,
series B., No. 2, pp 626-634, May (1976).
Drago, R.J., "Fundamentals of Gear Design," Butterworth, (1988).
Akin, L. and Townsend, D., "Study of Lubricant Jet Flow Phenomena
in Spur Gears," NASA TMX-il5i2, Oct. (1974).
SCORING +, Computer Program, GEAIYTECH Software, Inc.,
Copyright 1985-1990.
Pan 3 of "L.ubrication of Gears" will appear in the March, 1990 issue of LE
 PART 3

BY
Robert Em'chello
GEARTECH
Albany, California

Editor's Note: nte filloning is Pan 3 of a 4-pan anicle. Par( 2 appeared in the February Elastohydrodynamic Lubrication
1990 issue of LE. Pan 4 will be published fin rhe April issue respecrively.
Gear teeth are subjected to enormous contact pressures on
Introduction the order of the ultimate tensile strength of haidened steel,
yet they are quite succesfully lubricated with oil films that
his is a four-part article explaining the principles of gear are less then one micrometer thick. This is possible because
lubrication. It reviews current knowledge of the field of gear a very fortuitous of lubricants causes their viscosity
tribology and is intended for both gear designers and gear to increase dramatically with increased pressure. Figure 2
operators. depicts the region of contact between mating gear teeth. It
Part 1 classifies gear tooth failures into five modes and shows the shape of the elastically deformed teeth and the
explains the factors that a gear designer and gear operator
must consider to avoid gear failures. It defines the
nomenclature and gives a list of references for those interested
in further research.
Part 2 contains an in-depth discussion of the gear tooth
failure modes that are influenced by lubrication. It also gives
methods for preventing gear tooth failures.
Part 3 gives an equation for calculating the lubricant film
thickness which determines whether the gears operate in the
boundary, elastohydrodynamic or full-film lubrication regime.
Also given is an equation for Blok's flash temperature which
is used for predicting the risk of scuffing.

FIG.2 - Characterrst~csof elastohydrodynamic contact.

prtJJuLcUIJLLIUULLUIIu l a L 1 ~U C V G L U ~W I U U ~the contact zone. where
The molecular adsorption of the lubricant onto the gear tooth
surfaces causes it to be dragged into the inlet region of the Vrl, Vr2 = rolling velocities given by:
contact, where its pressure is increased due to the convergence
of the tooth siurfaces. 'I'he viscosity increase of the lubricant Vr1 = O, PI.
caused by the: increasinlg pressure helps to entrain the lubricant
into the con1act zone. Once it is within the high pressure, vr2 =
. ,...
Hertzian reglon or tne contact, the lubricant cannot escape
O 2 p2
.-------
be4:ause its \riscosity has increased to the extent where the OI, O 2 = angular velocities (pinion, gear).
lul:bricant is virtually a rigid solid.
The follow,ingequation due to Dowson and Higginson (16) =
W N ~ normal unit load given by:
gives the minimum film thickness that occurs near the exit WNr
W N ~= -
of the contac Lmin
c.1
where
W N ~= normal operating load.
nin =-
Lmin = minimum contact length.

ThcB specific film thiclmess is given by:

30 40 50 80 TEMERATu%s
(OCd0 ,1 ,I0 I20
200
hmin loo Q8Z0
600
80
A=, 60 400
40
1-m
-; 30
20
200

e! I00
a = rnmnoslre surrace rougnness.
gI
80
10
-sz 8
50

40
t
m

irrace rougnness, rms (pinion, gear). k E

>

PO = abs~olutevisc yns (lb slec/in2)

U
'"
> 20 5
Fig. 3 gives average. v. viscosity versus
.. e 2 Fi
temperature for typlcal nunem gear lubricants
wit1i a viscosity index
42 10
8
9
1 .o
- pres:sure-viscosity coefiScient, (in2/lb). 8
a
. . "- .
The pressure-viscosity coerrlclent fanges from a
0.8

0.8 4
= 0.5x10-4to a = Zx104 in2/lb for typical gear 80 100 120 140 160 180 200 220
lubricants. Data for pressure-viscosity coefficients BULK TEMPERATURE. (OF)

versus temmrature for typical gear lubricants are FIG. 3 - Absolute viscosity versus temperature for mineral gear lub~
givc:n in Fig. 4. with a viscosity index of 95 (17).

BULK TEMPERATURE. (OC)

= reduced modulu!3 of elasticity given by:

where

isson's ratio (pinion, gear).

odulus of elasticity (pinion, gear).

Pn = norm~ a lrelativc:radius of curvature.

pinion, ge,ar).

= base
. .. le.
"'50 50 1!OO 250 300
ULK TEMPER.ATURE, (OF)
Ve = entraining velacity givenI by:
FIG.4 . ~scositycoef ficient versu:s temperatulx. for minerad gear
V* = Vrl + Vr, (17).
 Xp UNMODIFIED TOOTH PROFILES

E
0
1 -
2
,-
Load ollal lllB Factor, Xr
The load sharing factor accounts for load sharing between
succeeding pairs of teeth as influenced by profile modification 4
(tip andlor root relief) and whether the pinion or gear is the 9
driver. Figure 5 gives plots of the load sharing factors for 0,
I

unmodified and modified tooth profiles. €1 €2 €4 €5

As shown by the exponents in the Dowson and Higginson PINION ROLL ANGLE
equation, the film thickness is essentially determined by the
entraining velocity, lubricant viscosity and pressure-viscosity
coefficient, while the elastic properties of the gear teeth and
the load have relatively small influences. In effect, the
relatively high stiffness of the oil film makes it insensitive D TOOTH PROFILES
to load, and an increase in load simply increases the elastic
deformation of the tooth surfaces and widens the contact area, PINION DRIVING
rather than decreasing the film thickness.
GEAR DRIVING
Blok's Contact Temperature
Blok's (14) contact temperature theory states that scuffing
will occur in gear teeth that are sliding under boundary-
lubricated conditions, when the maximum contact
temperature of the gear teeth reaches a critical magnitude.
The contact temperature is the sum of two components, the
€2 €4 €5
bulk temperature and the flash temperature, i.e.,
PlNlON ROLL ANGLE

FIG. 5 - Load sharing factor versus pinion roll angle (17).

Blok's flash temperature equation as formulated in AGMA

2001-B88, Appendix A (17) for spur and helical gears is: where

( 5o ) 3.0
50 - S

where S = average surface roughness, rms.

pm = mean coefficient of friction.

X, = load sharing factor.

Thermal Contact Coefficient, BM
W N ~= normal unit load. The thermal contact coefficient is given by:

Vrl = rolling velocity of the pinion.

BM = ( AM PM CM)"~
Va = rolling velocity of the gear. where

BM= thermal contact coefficient.

AM = heat conductivity.
bH = semi-width of Hertzian contact band. PM = density.
Mean Coefficient of Friction, pm CM = specific heat per unit mass.
The following equation gives a typical value of 0.06 <vm
(0.18 for the mean coefficient of friction for gears operating For typical gear steels, BM 43 Lbf/[in so.' OF].
in the partial EHD regime (A <I). It may give values too
low for boundary-lubricated gears where pm may be greater Semi-width of Hertzian Contact Band, b~
than 0.2, or too high for gears in the full-film regime (A)
2) where pm may be less than 0.01.

red on N e n Poge)

I of the Soci loglsts and Lubrlcatlon Engineers

Bulk 'I'emperature, Tb
The gear bulk temperature is the equilibrium bulk
temperature of the gear teeth before they enter the meshing
zon~e. In some cases, the bulk temperature may be
significantly higher than the temperature of the oil supplied
to the gear mesh. In a test with ultra-speed gears (I8), the
pinion bulk temperature was Z75OF (171°F hotter than the oil
inlet temperature.) For turbine gears at lower speeds, the bulk
perature rise of the gear teeth over the inlet oil temperature
range from 200F at 12,000 fpm pitch line velocity to 40°F
5,000 fpm. At similar speeds, the bulk temperature rise
ircraft
.. gears with less oil flow may range from 40°F to

Scuffing Temperature, 1S
-,
I he scuffing temperature is the contact temperature at
which scuffing is likely to occur with the chosen combination
of lubricant and gear materials,
For mineral oils without anti-scuff additives, or for mineral
oils with low concentrations of anti-scuff additives, the
scuffing temperature is independent of the operating
conditions for a fairly wide range of operating conditions.
For these oils, the scuffing temperature may be correlated
withI the com:position a~fthe oil. The viscosity grade is a
con1lenient indlex of the (:omposition, and thus of the scuffing
tern1Jerature.
Fc)r non antl-scurr mineral oils, the mean scuffing
50 percen t chance of scuffing) is given by: 'Pable 1
Welding Factor, XW (17)
Ts = lr
Material Xw
Fc)r minera:I oils with low concentrations of anti-scuff
additives, the mean scuffing temperature is given by: Through hardened steel 1.00
Phosphated steel 1.25
Copper-plated steel 1.50
Nitrided steel 1.50
whei c Carburized steel
content of austenite less than average 1.15
Urn tic viscosity at 40°C, cSt content of austenite average 1.00
content of austenite more than average 0.85
TIle scuffing;temperature determined from FZG test gears Stainless steel 0.45
for 1mineral oils withot
.. lt anti-scuff additives or with low
-.,... . .. or,.anti-scuff
rnncentrations additives may be extended to For synthetic lubricants and carburized gears typical of the
diffe:rent gear steels, heat treatments or surface treatments aerospace industry, the scuffing temperatures are:
by i~ntroducing; an empirical welding factor:
IC = Tb, est + XW Tr. test 'Pable 2
Synthetic Lubricant Mean Scuffing Temperature, Ts (19)

Lubricant Mean Scuffing Temp

Aw - wblull.5 ~dctor(see table 1). Ts (OF)
Tb, test = bulk temperature of test gears. MIL-L-6081 (grade 1005) 264
MIL-L-7808 400
'P~ - maximum flash temperature of test MIL-L-23699 425
gears. DERD2487 440
DERD2497 465
DOD-L-85734 500
P
MOBIL SHC624 540
DEXRON I1 550

References
1) "Nomenclature of Gear Tooth Failure Modes",
ANSIIAGMA 110.04, (1980).
2) Shipley, E. E., "Gear Failures," Machine Design,
pp 152-162, Dec. 7, (1967).
3) Dudley, D. W,, "Gear Wear," Wear Control Hand-
book, ASME.
4) Ku, P. M., "Gear Failure Modes - Importance of
Lubrication and Mechanics," SlZE Trans., 19,
No.3, pp 239-249 (1975).
5) Wulpi, D. J., "How Components Fail."
6) "Failure Analysis and Prevention," (Failures of
Gears), Metals Handbook, 10,8th ed., pp 507-524.
7) Godfrey, D., "Recognition and Solution oFSome
Common Wear Problems Related to Lubrication
and Hydraulic Fluids," Lubrication Engineering,
pp 111-114, Feb. (1981).
8) Littman, W. E., "The Mechanism of Contact
Fatigue," Interdisciplinary Approach to the
Lubrication of Concentrated Contacts, NASA
SP-237, pp 309-377 (1970).
9) Ueno, T., et. al., "Surface Durability of Case-
Carburized Gears - On a Phenomenon of "Grey
- Staining of Tooth Surface," ASME Pap. No.
80-C2/DET-27, pp 1-8 (1980).
10) Winter, H. and Weiss, T., "Some Factors
Influencing the Pitting, Micropitting (Frosted
Areas) and Slow Speed Wear of Surface Hardened
Gears," ASME pap. No. 80-C2/DET-89, pp 1-7
(1980).
-
. Fr.
11) Shipley, E. E., "Failure Analysis of Coarse-Pitch,
Hardened and Ground Gears," AGMA Pap. No.
P229.26, pp 1-24 (1982).
12) Tanaka, S., et. al., "Appreciable Increases in
Surface Durability of Gear Pairs with Mirror-Like
Finish," ASME Pap. No. 84-DET-223, pp 1-8
(1984).
13) Adams, J. H. and Godfrey, D., "Borate Gear
Lubricants-EP Film Analysis and Performance,"
Lubrication Engineering, Vol. 37, No. 1, pp 16-21,
Jan. (1981).
14) Blok, H., "Les Temperatures de Surface dans Les
Conditions de Graissage Sons Pression Extreme,"
Second World Petroleum Congress, Paris, June
(1937).
15) Blok, H., "The Postulate About the Constancy of
Scoring Temperature," Interdisciplinary Approach
to the Lubrication of Concentmted Contacts, NASA
SP-237, pp 153-248 (1970).
16) Dowson, D., "Elastohydrodynamics," Paper No.
10, Proc. Inst. Mech. Engrs., Vol. 182, I
T 3A, pp
151-167 (1967).
17) "Fundamental Rating Factors and Calculation
Methods for Involute Spur and Helical Gear
Teeth,'' AGMA 2001-B88, (1988).
18) Akazawa, M., Tejima, T. and Narita, T., "Full
Scale Test of High Speed, High Powered Gear Unit
- Helical Gears of 25,000 PS at 200 m/s PLV,"
ASME Pap. No. 80-C2/DET-4 (1980).
19) Drago, R. J., "Comparative Load Capacity
Evaluation of CBN-Finished Gears," AGMA Pap.
No. 88 FTM 8, Oct. (1988).
20) "AGMA Standard Specification - Lubrication of
Industrial Enclosed Gear Drives," AGMA 250.04,
Sept. (1981).
21) "Practice for High Speed Helical and Herringbone
Gear Units," AGMA 421.06, Jan. (1969).
22) Wellauer, E. J., and Holloway, G. A., "Application
of EHD Oil Film Theory to Industrial Gear
Drives," T m . ASME, J. Eng. Ind., Vol. 98, series
B., No. 2, pp 626-634, May (1976).
23) Drago, R. J., '‘Fundamentals of Gear Design,"
Butterworth, (1988).
24) Akin, L. and Townsend, D., "Study of Lubricant
Jet Flow Phenomena in Spur Gears," NASA
TMX-Z.572, Oct. (1974).
25) SCORING +, Computer Program, GEARTECH
Software, Inc., Copyright 1985-1990. W
I

BY
Robert Errichello (Member, STLE)
GEARTECH
Albany, California
Editor's Note: The following is the conclusion of this 4-pan anicle
duction
s is a four-part article explaining the principles of gear
1111,
lubrication. It reviews current knowledge of the field of gear
tribolcg y and is intended for both gear designers and gear
tors.
Part 1 classifies gear tooth failures into five modes and
explains the factors that a gear designer and gear operator
must consider to avoid gear failures. It defines the
nomenclature and gives a list of references for those interested
in further research.
Part 2 contains an in-depth discussion of the gear tooth
failure modes that are influenced by lubrication. It also gives
methods for preventing gear tooth failures.
Part 3 gives an equation for calculating the lubricant film
thickness which determines whether the gears operate in the
boundary, elastohydrodynamic or full-film lubrication regime.
Also given is an equation for Blok's flash temperature which
is used for predicting the risk of scuffing.
Part 4 gives recommendations for selecting lubricant type,
viscosity and application method. Finally, a case history is
given which demonstrates many of the principles of gear
ting Lubricant v p e
of the following lubricant types.
PART 4
The optimum lubricant for any application is the least
expensive, considering both initial cost and maintenance
costs, that meets the requirements.
Oil is the most widely used lubricant because it is readily
distributed to gears and bearings, and has both good
lubricating and cooling properties. Also, contamination may
be readily removed by filtering, or draining and replacing
the oil. However, it requires an oil-tight enclosure provided
with adequate shaft seals.
Grease is suitable only for low-speed, low-load applications
because it does not circulate well and is a relatively poor
coolant. Grease lubricated gears are generally boundary
lubricated because the grease is either pushed aside or thrown
from the gear teeth. Contamination from wear particles or
other debris is usually trapped in the grease and requires
costly maintenance to eliminate. The usual reason for using
grease is to avoid leakage from enclosures that are not oil-
tight. However, if all the factors are considered, it is usually
found that an oil lubricant is more economical and reliable
than a grease for gear lubricaticfn.
Open-gear lubricants are viscous, adhesive semi-fluids used
on large, low-speed, open gears such as those used in iron
ore or cement mills, antenna drives, bridge drives, cranes,
etc. Gears in these applications run slowly and they are
therefore boundary lubricated. The lubricant must bond
strongly to resist being thrown off the gear teeth. However,
the squeezing and sliding action of gear teeth tends to push
are applied by hand
atic systems which deliver an
intermittent spray. Some open gear lubricants are thinned with
a quick-evaporating solvent/diluent to make them easier to
apply. Open gear lubricants share the disadvantages of grease
lubrication and they are especially costly (and messy) to
maintain. For these reasons the trend is away from open gears
osed, oil-lubricated gearboxes whenever possible.
ricants, usually in the form of bonded, dry films,
here the temperature is too high or too low for
not be tolerated, or
m. These lubricants
 are usually molybdenum disulfide (MoS2)or graphite in an
orgianic binder which is applied to the gear teeth and cured
to fiorm a dry film coating. Polytetyafluoroethylene (PTFE)
and
- .
tungsten disulfide (WS,) coatings are also used. Solid
lubricants are expensive to apply and have limited wear lives.
However, in many applications such as spacecraft, they are
the only alternative and can provide excellent service.
?nly oil lubricants will be discussed in greater detail. Oil
uld be used as the lubricant unless the operating conditions
:lude its use. Generally, the simplest and least expensive
-icationsystem for gears is a totally-enclosed, oil-bath of
minera1 oil.
The lubrication requirements of spur, helical, straight-bevel
and spiral-bevel gears are essentially the same. For this class
nf "ears, the magnitudes of the loads and sliding speeds are
",'5
sim:ilar, and requirements for viscosity and anti-scuff
xrties are virtually identical. Many industrial spur and
cal gear units are lubricated with rust and oxidation-
inhibited (R & 0 ) mineral oils. The low viscosity R & 0
oils., commonly called turbine oils, are used in many high-
S Fd gear units where the gear tooth loads are relatively low.
Min~eraloils without anti-scuff additives are suitable for high-
S Fd,lightly-loaded gears where the high entraining velocity
of tile gear teeth develops thick EHD oil films. In these cases
the Imost important property of the lubricant is viscosity. Anti-
SCUIYEP additives are unnecessary because the gear teeth are
sepa~rated,eliminating metal-to-metal contact and the scuffing
mocle of failure. Slower-speed gears tend to be more heavily-
loadled, especially carburized gears. These gears generally
require higher viscosity lubricants with anti-scuff additives.
Hypoid gears, such as those used for automotive axles, are
especially prone to scuffing because they are heavily loaded
l l U they have high sliding velocities. For these reasons,
---'
Q higher operating temperature and a higher oxidation rate
~ Y P)idC gear oils have the highest concentrations of anti-scuff
addi~tives.
Fclr critical applications, the contact temperature should
be c:alculated with Blok's equation and compared to the
scuf'fing temperature of the lubricant. This is a quantitative
met!hod for selecting a lubricant with adequate scuffing
resi!stance.
Worm gears have high sliding velocity which generates
significant frictional losses. Fortunately, their tooth loads are
relatively light, and they are successfully lubricated with
min,era1 oils that are compounded with lubricity additives.
These oils contain 3 percent to 10 percent fatty oil or low
acid tallow, The polar molecules of the additive form surface
, films by physical adsorption or by reaction with the surface
le to form a metallic soap which acts as a low shear
ngth fdm, improving the "lubricity" or friction-reducing
I
Synthetic lubricants are used for applications such as
aircraft gas turbines where the oil must operate over a wide
temperature range and have good oxidation stability at high
temperature. Ester and hydrocarbon synthetic lubricants have
high viscosity indices, giving them good fluidity or low
viscosities at very low temperatures and acceptable viscosities
. at high temperatures. The volatility of esters is lower than
that of mineral oils of the same viscosity, thus reducing oil
loss at high temperature. Despite their long service life, the
extra cost of synthetic lubricants generally cannot be justified
for oil-bath systems unless there are extremes in temperature,
because the oil must be changed frequently to remove
contamination.
Selecting Gear Lubricant Viscosity
The recommendations of AGMA 250.04 (20) should be
followed when selecting lubricants for enclosed gear drives
that operate at pitch line velocities up to 5000 fpm. For high-
speed drives ( ) 5000 fpm), AGMA 421.06 (21) should be
consulted.
In our discussion of gear failure modes, we found that
viscosity is one of the most important lubricant properties,
and the higher the viscosity the greater is the protection
against the various gear tooth failures. However, the viscosity
must be limited to avoid excessive heat generation and power
loss from churning and shearing of the lubricant by high-speed
g- or bearings. The operating temperature of the gear drive
determines the operating viscosity of the lubricant. If the
lubricant is too viscous, excessive heat is generated. The heat
raises the lubricant temperature and reduces its viscosity.
Hence, a point of diminishing returns is reached where
increasing the starting viscosity of the lubricant leads to a
without a significant gain in the operating viscosity.
Gear drives operating in cold climates must have a lubricant
that circulates freely and does not cause high starting torques.
A candidate gear lubricant should have a pour point at least
50C (9OF) lower than the expected minimum ambient start-
up temperature. Typical pour points for mineral gear oils are
' 2 0 0 ~while synthetic gear lubricants have significantly lower
pour points of about -40°F. Pour point depressants are used
to tailor pour points of mineral lubricants for automotive
hypoid gears to be as low as -40 OF.
The pitch line speed of the gears is a good index of, the U
."
required viscosity. An empirical equation for determining
required viscosity is:
"40 = 7000
where
(war
"40 = lubricant kinematic viscosity at 40°C, cSt.
V = operating pitch line velocity, fttmin.
V = 0.262 d n.
d = operating pitch diameter of pinion, in.
n = pinion speed, rpm.
 gtion must be used when using AGMA
unendations for viscosity. The author knows of an
lation where two gear drives were considered to be high
. The pinion speed was 3625 rpm, qualifying the gear
units ;as high-speed gear drives per AGMA 421.06. The gear
drivesi were supplied with oil having the recommended
viscoa;ity per AGMA 421.06 of IS0 68. However, because the
..
plnlon was relatively small, its pitch line velocity was only
3000 fpm. This qualifies the gear drives as slow-speed per
AGMA 250.04 which recommends a viscosity of IS0 150.
Both gear drives failed within weeks of start-up by pitting
fatigue. The empirical equation for this application gives:
,
5:
I I '

!22
. . I

SC5
, ,

!CC2
, .

SOCC
, , I /

10003
' ' I ,

50C30
P:TCH LIV! Y C L 3 C ' - V . CPM

(30~)0s Fig. 6 - Probability of wear distress, percent (17).

This indicates that the viscosity per AGMA 421.06 (68 cSt)
is much too low, and the viscosity per AGMA 250.04 (150
cSt) is appropriate. Hence, definitions of high-speed versus
slow-speed must be carefully considered and pitch line
velocity is generally a better index than shaft speed. The gear
drives were rebuilt with new gearsets and the IS0 VG 68 oil
was replaced with IS0 VG 150. The gear drives now operate
without overheating and the pitting has been eliminated.
For critical applications, the specific film thickness should
be calculated with Dowson and Higginson's equation. The
specific film thickness is a useful measure of the lubrication
regime. It can be used with Fig. 6 as an approximate guide
to the probability of wear-related surface distress. Figure 6
is based on the data of Wellauer and Holloway (22) which
were obtained from several hundred laboratory tests and field
applications of gear drives.
Applying Gear Lubricants
The method of applying the lubricant to the gear teeth
depends primarily on the pitch line velocity.
Splash lubrication systems are the simplest, but they are
limited to a pitch line velocity of about 3000 fpm. The gears
should dip into the oil bath for about twice the tooth depth,
to provide adequate splash for pinions and bearings, and to
reduce losses due to churning. The gear housing should have
troughs to capture the oil that flows down the housing walls
and channel it to the bearings.
The range of splash lubrication can be extended to about
5000 fpm by using baffles and oil pans to reduce churning.
However. above 3000 fpm, providing auxiliary cooling with
fans and improving heat transfer by adding fins to the housing
is usually necessary.
Above 5000 fpm, most gears are lubricated by a pressure-
fed system. For gearboxes with antifriction bearings, spraying
the oil at the gear mesh only and relying on splash to lubricate
the bearings is permissible, up to a pitch line velocity of 7000
fprn maximum. Above this speed, and for gear drives with
journal bearings, both the gears and bearings should be
pressure-fed.
The oil jets should be placed on the incoming side of the
gear mesh for pitch line velocities up to 8000 fpm. Above
8000 fpm, more oil is needed for cooling than for lubricating,
and the oil flow removes heat best by being directed at the
outgoing side of the gear mesh where the oil jets can strike
the hot, drive-side of the gear teeth.
For very high-speed gears (18) (above 16,000 fpm), there
is a danger that the amount of oil carried to the incoming
side of the gear mesh may be inadequate, and it is prudent
to add a supplementary flow at the incoming side of the gear
mesh. Generally, about 213 of the oil flow should be supplied
to the outgoing side of the mesh for cooling, and 113 of the
flow directed at the incoming side for lubrication. The
placement of the oil jets is a crucial factor when pitch line
velocities exceed 20,000 fpm. At speeds this high, experiments
are required to find the optimum number and location for
the oil jets.
In pressure-fed systems the following parameters must be
considered to ensure adequate lubrication and cooling of the
gear mesh:
Quantity of flow
Jet size
Feed pressure
Number of jets
There are general guide lines, based on experience and
experimentation, for specifying these parameters, but each
application must be evaluated independently based on its
particular operating conditions and requirements.
An empirical equation used to calculate the quantity of oil
flow in gallons per minute is:
q = PIC
where c is taken from Table 3 ( s h 0"~ nev page)
P = transmitted power, hp.
q = oil flow rate, gpm.
h I=
ii;

F
-

33
 Table 3
Typical Oil Flows Per Gear Mesh
c Flow Comments
(h~/g~m) Conditions
200 Copius General industrial
400 Adequate Typical aviation
800 Lean Lightweight, high-efficiency aviation
lo00 Starved Only for unusual conditions
Ror a typica1 industrial application transmitting 200 hp,
whe:re weight is not critical, the designer might choose the
con:stant c = - 200 hplgpm resulting in a copious flow of 1
gpm. On Ule other hand, for a high efficiency aviation
application transmitting 200 hp, where weight is critical, c
= 800 might be chosen resulting in a lean flow of 0.25 gpm.
Some applications may require different flow rates than those
given by Table 3. For instance, wide-face, high-speed gearing
may require a higher flow rate to ensure uniform cooling and
full-face coverage.
The proper jet size, feed pressure and number of jets must
be determined to maintain the proper flow rate, jet velocity
and full-face coverage. The diameter of a jet can be calculated
for a given flow rate and pressure based on the viscosity of
the oil at the operating temperature (23).There are practical
limitations on jet size and the minimum recommended size
is 0.03 inches. If a jet smaller than this is used, contaminants
in the oil may clog it. Qpical jet diameters range from
0.03-0.12 inches.
The feed pressure determines the jet velocity which in turn
determines the amount of oil that penetrates the gear mesh.
Typical feed pressures range from 20-100 psig. Industrial
application feed pressures are typically 30 psig and high-speed
aerospace applications are typically 100 psig. In general, the
higher the pressure the greater the cooling (24), but the higher
the l>ressure,tlhe smaller the jet diimeter. Therefore, pressure
~ by ttie minimum recornnnended jet diameter of 0.03
is l inited
inchles.
-..
G -L-- UI JGW ~ I I U U I UUC; aufficient to provide complete
T I~.?.IIIUIIIKL
lubrication coverage of the face width. More than one jet for
each gear mesh is advisable because of the possibility of
clogging. The upper limit on the number of jets is determined
by the flow rate and jet diameter; too many jets for a given
flow rate will result in a jet diameter less than the minimum
recommended.
Caste History
In: an industrial application, 24 speed increaser gearboxes
wert:used to transmit 346 horsepower and increase speed
- -
from 55 rpm to 375 rpm. The gears were parallel-shaft, single
helical, carbdzed and ground. The splash lubrication system
used a mineral oil without anti-scuff additives with I S 0 100
viscosity. After about 250 hours of operation, two gearboxes
failed by bending fatigue. The gear tooth profiles were so
badly worn determining the primary failure mode was
impossible. Three other gearboxes with less service were
selected for inspection. One had logged 15 hours, while the
other two had operated for 65 hours each. Upon disassembly,
no broken teeth were found, but all three gearboxes had
scuffed gear teeth. The primary failure mode was scuffing,
and the earlic g fatigue failures were cau
dynamic loads generated by the worn gear teeth. Subsequent
inspection of the remaining gearboxes revealed that all had
scuffing damage which probably had occurred immediately
upon start-up because the loads were not reduced during
run-in.
Fortunately, a prototype gearbox had been run at 112 load
for about 50 hours. When these gears were inspected, no signs
of distress were seen on any of the gear teeth. The tooth
profiles were smooth, with surface roughness estimated to
be 20 pin rms, and the contact pattern indicated 100 percent
face contact. This gearbox was reassembled and run under
112 load until its oil sump temperature reached equilibrium
at 200OF. For this application, the ambient temperature was
in the range of 50°F to l25OF. The center distance of the gears
was 16 inches and the pitch line velocity was 400 fpm.
Referring to AGMA 250.04 (20),the recommended viscosity
for these conditions is I S 0 150 or I S 0 220.
Using the empirical equation we get:
Hence, the empirical equation recommends a viscosity
close to I S 0 320. It is apparent that the viscosity that was
originally supplied (IS0 VG 100) was too low.
The EHD film thickness was calculated with a special
computer program (25). The gear bulk temperature was
assumed to be 230°F (30 degrees hotter than the measured
oil sump temperature). The following data for the IS0 VG
100 lubricant was obtained from Figs. 3 and 4:
PO= 6.6 cP (0.96 x 106 Reyns)
Figure 7 shows a plot of the film thickness versus position
on the pinion tooth. The minimum film thickness occurs low
on the pinion tooth near the lowest point of single tooth contact
(LPSTC) where h," = 2.1 micro inches. The specific film
thickness, based on 20 pin rms surface roughness for both
profiles, is A = 0.073. Figure 6 shows that the gears operate
in the boundary lubrication regime. The program predicts
that the probability of wear is greater than 95 percent.
The contact temperature was also calculated with the
program. The scuffing temperature for the I S 0 VG 100
lubricant was calculated with the equation for non anti-scuff
mineral oils:
)N ENGINEERING
 -- ---
F 450 ..- ---..,
---- '.
I, -- ----- ----
. ,

II -..
S -a-- s.,

H 350 - _--------
/--
'-,,

T - -.*
----
2-
'..,

---*.--
/
E 250 \
M ----\-*
P - 1,PSTC IIPSTC
d
e
150 -
Max Flash T e ~ pz 439
II -
scoring Prohahi l i ty 63%
F 50 -
----
, 25: 35
-1 ~ ~ 3 _ . _ . 1
Pinion roll angle in degrees
Fig. 8 - Flash temperature versus pinion roll angle for gear tooth geometry of scuffed gearset.

Figure 8 shows a plot of the contact temperature versus
position on the pinion tooth. The maximum contact
temperature occurs high on the pinion tooth near the highest
point of single tooth contact (HPSTC) where Tc = 439 OF,
The program predicts that the probability of scuffing is 63
percent. This is considered to be a high risk of scuffing. The
relatively high temperature peak near the tip of of the pinion
tooth was caused by the geometry of the gears. The designer
selected a long addendum tooth for the pinion. Long
addendum pinions perform well in speed reducers where they
increase the amount of recess action and decrease the amount
of approach action of the gear mesh. Since recess action is
much smoother than approach action, long addendum pinions
give speed reducers smooth meshing characteristics. When
operated as a speed increaser however, the approach and
recess portions of the gear mesh reverse, making a long
addendum pinion rough running and vulnerable to scuffing.
To explore the possibilities for reducing the scuffing risk,
new gear tooth geometry was proposed with the pinion and
gear addenda designed to minimize the flash temperature rise.
The new gearset, analyzed with the program, assumed the
lubricant was a mineral oil with anti-scuff additives, with a
viscosity of IS0 220, and with the following properties:
PO= 10 cP (1.45 x 10d Reyns)
Ts = 245 + 591n (220) = 563 OF
(Continued on nexi page)

-
r-- Min lanh?a .= ,073
Prohahi l I t y of wear :) 95X
11

I-.-I- 25 : , 35
Pinion roll angle in degrees
-

Fig. 7 - Film thickness versus pinion roll angle for gear tooth geometry of scuffed gearset.

Journal of the Soclety of Trlbologlsts and Lubrlcatlon Engineers 235

 ,275 Hin lanhda : ,097
L o h a h i l i A of w a r = 9&

Pinion roll a n d ? in desre~s

Fig. 9 - Film thiickness verslus pinion roll angle for gear tooth geometry optimized for
maximum scuffing Iresistance.

Figure 9 shows tllat the film thickness geo1metry red1lceu tne m ontact
increases; to hm, = 2.7 pin and th,e tem:perature to Tc = The
----:c-
spw111c: film thickmess to A = 0.0911. conlbinationI of red ~ntact
Figure 6 shows that the gears stilI1 tern]perature, and the increased scuffing
operate in the boundary lubricatioin resi:stance provided by the higher
regime. However, the probability ad viscosity mineral oil with anti-scuff
wear is reduced to 94 percent. Figurle add itives, reduces the scuffing
10 shows that the optimized gear probability to 5 percent.
Typical of many gelar failures;, this
~.
case history shows that: several Eactors
contributed to the failul~s.
,-em.

350 - T h e lubricant viscosity was too1 low.

*No anti-scuff additives were used.

*A gearbox designed as a speed reducer

was used as a speed increaser.

1 .- T h e gear teeth were not provided with

IP 150 - LFSTC IIRTC

a coating or plating to ease running-in.

m e gears were not run-in under

reduced loads.

II Gear failures, as exemplified by the

Scoring Prohahil i ty :: ( 52 case history, can be avoided if designers
r and operators recognize that the
I 20
------ I _ - -
30
-,-- 1
Pinion roll angle in ~ P ~ P P P S
40
1-- lubricant is an important component
a gearbox, and appreciate tha.t the
ClllL u
nf
1

tribology of gearing require51 the

-
Fig. 10 Flash temperature versus pinion roll angle for gear tooth geometry optimized for consideration and control of many
maximum scuffing Iresistance.

ON ENGINE

References
1) "Nomenclature of Gear Tooth Failure Modes",
ANSIIAGMA 110.04, (1980).
2) Shipley, E. E., "Gear Failures," Machine Design,
pp 152-162, Dec. 7, (1967).
3) Dudley, D. W., "Gear Wear," Wear Control Hand-
book, ASME.
4) Ku, P. M., "Gear Failure Modes - Importance of
Lubrication and Mechanics," S m E Trans., 19,
No.3, pp 239-249 (1975).
5) Wulpi, D. J., "How Components Fail."
6) "Failure Analysis and Prevention," (Failures of
Gears), Metals Handbook, 10,8th ed., pp 507-524.
7) Godfrey, D., "Recognition and Solution of Some
Common Wear Problems Related to Lubrication
and Hydraulic Fluids," Lubrication Engineering,
pp 111-114, Feb. (1987).
8) Littman, W. E., "The Mechanism of Contact
Fatigue," Interdisciplinary Approach to the
Lubrication of Concentrated Contacts, NASA
SP-237, pp 309-377 (1970).
9) Ueno, T., et. al., "Surface Durability of Case-
Carburized Gears - On a Phenomenon of "Grey
- Staining of Tooth Surface," ASME Pap. No.
80-C2/DET-27, pp 1-8 (1980).
10) Winter, H. and Weiss, T., "Some Factors
Influencing the Pitting, Micropitting (Frosted
Areas) and Slow Speed Wear of Surface Hardened
Gears," ASME pap. No. 80-CZ/DET-89, pp 1-7
(1980).
View publication stats
11) Shipley, E. E., "Failure Analysis of Coarse-Pitch,
Hardened and Ground Gears," AGMA Pap. No.
P229.26, pp 1-24 (1982).
12) Tanaka, S., et. al., "Appreciable Increases in
Surface Durability of Gear Pairs with Mirror-Like
Finish," ASME Pap. No. 84-DET-223, pp 1-8
(1984).
13) Adams, J. H. and Godfrey, D., "Borate Gear
Lubricants-EP Film Analysis and Performance,"
Lubrication Engineering, Vol. 37, No. 1, pp 16-21,
Jan. (1981).
14) Blok, H., "Les Temperatures de Surface dans Les
Conditions de Graissage Sons Pression Extreme,"
Second World Petroleum Congress, Paris, June
(1937).
15) Blok, H., "The Postulate About the Constancy of
Scoring Temperature," Interdisciplinary Approach
to the Lubrication of Concenmted Contacts, NASA
SP-237 pp l53-248 (1970).
16) Dowson, D., "Elastohydrodynamics," Paper No.
10, Proc. Inst. Mech. Engrs., Vol. 182, PT 3A, pp
151-167 (1967).
17) "Fundamental Rating Factors and Calculation
Methods for Involute Spur and Helical Gear
Teeth," AGMA 2001-B88, (1988).
18) Akazawa, M., Tejima, T. and Narita, T., "Full
Scale Test of High Speed, High Powered Gear Unit
- Helical Gears of 25,000 PS at 200 m/s PLV,"
ASME Pap. No. 80-C2/DET-4 (1980).
19) Drago, R. J., "Comparative Load Capacity
Evaluation of CBN-Finished Gears," AGMA Pap.
No. 88 FTM 8, Oct. (1988).
20) "AGMA Standard Specification - Lubrication of
Industrial Enclosed Gear Drives," AGMA 250.04,
Sept. (1981).
21) "Practice for High Speed Helical and Herringbone
Gear Units," AGMA 421.06, Jan. (1969).
22) Wellauer, E. J., and Holloway, G. A,, "Application
of EHD Oil Film Theory to Industrial Gear
Drives," T m . ASME, J. Eng. Ind., Vol. 98, series
B., No. 2, pp 626-634, May (1976).
23) Drago, R. J., "Fundamentals of Gear Design,"
Butterworth, (1988).
24) Akin, L. and Townsend, D., "Study of Lubricant
Jet Flow Phenomena in Spur Gears," NASA
IUX-Z572, Oct. (1974).
25) SCORING +, Computer Program, GEARTECH
Software, Inc., Copyright 1985-1990. W
IS V.I the conc/u.sron of thu 4-port article.