Performance Characteristics of Fixed
Preload Large Bore Angular Contact
Ball Bearings for Machine Tools
Steve J. Lacey, Andy Kemble and Noriyuki Itoh
NSK-RHP European Technology Certre
SUMMARY
The performance limitations of preloaded back-to-back angular contact bearings are considered and a method for
estimating bearing speed factors is derived. Also the limiting speed of 200 mm bore angular contact bearings is
investigated in relation to the lubrication conditions.
1. Introduction
Angular contact bearings are used widely to support
machine tool spindles, placing high demands on the
bearing performance in terms of speed, stiffness, life and
reliability. In order to give the required performance,
angular contact bearings have to be preloaded and this can
be achieved in one of two ways. Firstly by using springs to
give the desired preload or secondly by preloading the
bearings directly against each other, known as fixed or
position preload. Fixed preload arrangements are
commonly used where the cutting envelope is wide, e.g.,
machining centres or turning machines, whereas spring
preloaded arrangements are generally used where the
cutting envelope of the machine is narrow and the main
requirement is to achieve high speeds, e.g., grinding
spindles.
The European Technology Centre (ETC) has a wide
range of test rigs for investigating both bearing and
spindle performance. In this article the speed limitations
of fixed preload bearing arrangements are considered and
investigated in relation to the lubrication conditions of 200
mm bore angular contact bearings.
2. Limiting Speed of Fixed Preload
Bearing Arrangements
Fixed preload angular contact ball bearings are
commonly used on machine tool spindles and are used in a
number of different arrangements depending on the
required cutting envelope of the spindle. Although such
arrangements give good stiffness1) and can be subjected to
bi-directional axial loads, they are very sensitive to
frictional heating. Hence the primary factor limiting the
speed of this arrangement is differential thermal
expansions which occur in the spindle bearing assembly2, 3).
In a majority of applications, because the housing has a
larger area than the shaft, heat generated by the bearings
is conducted more efficiently through the outer ring and
housing than through the inner ring and shaft. Also, at
high speeds more heat is generated at the inner than at
the outer ring so inner ring temperatures are usually
higher than the outer ring temperature. As a result, the
radial expansion of the inner ring is normally greater than
the outer ring, which has the effect of increasing ball
loads, hence bearing preload. This phenomenon is termed
‘thermal preload’.
Thermal preload further increases bearing friction and
heat generation, and a limiting speed is reached beyond
which this feedback loop leads to thermal instability
whereby preload and bearing heat generation increase
rapidly until seizure results. The limiting speed of such an
arrangement is determined by initial preload, lubrication
and design of the spindle assembly.
Radial expansion of the shaft and housing are also
accompanied by axial thermal expansion and it is common
practice to space back-to-back bearings so that under
steady-state conditions, axial expansion of the shaft
relative to the housing tends to offset radial expansions.
However, due to the difference in thermal inertia between
bearing rings, housings and shafts, radial expansion of the
inner ring in particular is faster than that of the housing
or shaft.
Consequently, although spacing back-to-back bearings
significantly increases spindle speed, thermal instability
can still result.
Most bearing manufactures’ catalogues give limiting
speed factors for closely spaced bearings which vary
depending on the number of bearings and preload (Table
1).
Table 1 RHP catalogue speed factors for closely spaced bearings
in a back-to-back configuration
Number. of bearings
2 3 4
Light 0.8 0.6 0.45
Preload
Medium 0.6 0.4 0.3
Heavy 0.4 0.32 0.25
The appendix shows how by making some simple
assumptions a better approximation can be obtained of
bearing speed factors to take into account bearing spacing.
Motion & Control No.2— 1997 36
Table 2 Bearing limiting speed factors for various bearing arrangements with oil/air lubrication
Catalogue Estimated Estimated Actual
Contact
Bearing speed speed limiting limiting
Bearing arrangement angle Preload
designation factor factor speed speed
(degrees) (Fcat) (Fsf) (rpm) (rpm)

7020 240 15 Medium 0.3 0.582 6980 7000

7020 196 15 Medium 0.6 0.706 8470 9500

7040 15 Light 0.6 0.676 4200 4000

204

Table 2 shows the predicted limiting speed compared to
the actual speeds achieved on test rigs at the ETC for a
number of different bearing arrangements. Here, the
limiting speed is defined as the maximum speed at which
the outer ring temperature remains stable but does not
exceed 70°C.
Although a number of simple assumptions have been
made, from Table 2 it can be seen that the predicted
speeds agree closely with the actual speeds achieved. For
instance, for the type 7020 bearings in a two and four
bearing configuration we can see that the estimated
limiting speeds are 6980 and 8470 rpm respectively
compared with actual limiting speeds of 7000 and 9500
rpm. For the type 7040 bearings the estimated limiting
speed of 4200 rpm compared to an actual of 4000 rpm.
In the following sections the performance of fixed
preload 200 mm bore angular contact bearings are
considered in some detail.
3. Performance of 200 mm Bore
Angular Contact Bearings
Very little data is available on the performance of large
bore angular contact bearings. The main purpose of the
work presented here is to verify catalogue limiting speeds
and obtain a much fuller understanding of how the
lubrication conditions affect bearing performance.
The test spindle shown in Fig. 1 had three RHP type
7040 bearings with a 15 degree contact angle and light
preload, mounted at the front. Two bearings were mounted
in tandem opposed by a single spaced bearing. A back-to-
back pair of RHP type 7936 bearings, 15 degree contact
angle and light preload, were used at the rear of the

7040CT3ULP4 Bearings
Oil/Air Nozzles 7936CTDULP4 Bearings

Bearing 1 Bearing 2 Bearing 3 Bearing 4 Bearing 5

Fig. 1 Cross section of test head assembly

37 Motion & Control No.2—1997

spindle. This is a typical arrangement for medium speed
machine tool spindles.
The bearings could be lubricated by either grease or
oil/air and in the case of the latter there was the facility to
utilize one, two or three lubricating nozzles per bearing.
Spindle rotation was provided by a 30 kW variable speed
motor via a flat belt and pulley arrangement.
The main purpose of the work reported here was to
determine the limiting speed of the 7040 bearings using
20˚
both oil/air and grease lubrication.

3.1 Oil/air lubrication

In the case of oil/air lubrication, the effect of the nozzle
design, the number of nozzles and the oil flow rate were
investigated in order to establish the optimum lubrication
conditions for maximum speed capability. The oil used was
Fig. 3 Angled nozzle design
ISO viscosity grade 10 Mobil Velocite No.6 filtered to 10
µm nominal.

40
3.1.1 Nozzle design
Two common nozzle designs were considered. The first 35 Bearings: 7040CT2TBLP4
Lubrication: Oil/air
design had the outlet jet parallel to the spindle axis
Temperature rise, ˚C

(horizontal) and the second 20° to the spindle axis
(angled). The horizontal nozzle design delivered the oil/air
mixture centrally between the outside diameter of the
bearing inner ring and the cage bore, Fig. 2, and the
angled nozzle directed the oil/air mixture at the
intersection of the inner ring outside diameter and the
raceway, Fig. 3. The length to outer-diameter ratio of the
outlet jet was 2.75 and 3.25 for the horizontal and angled
designs respectively, with a common outlet jet diameter of
1 mm. These ratios were considered to be sufficiently
similar for the purposes of the tests and were both close to
the general NSK guideline ratio of 3 to 5. All other aspects
of the nozzles’ internal and external designs were
identical.
Of the three front bearings, bearing 2 (Fig. 1) was
generally found to run at the highest temperature and Fig.
4 shows the variation in bearing 2 outer ring temperature
with speed for the two nozzle designs. In each case, three
oil/air nozzles were used per bearing giving an oil flow rate
of 500 mm3/h/brg. The most significant difference between
Fig. 2 Horizontal nozzle design
30
Nozzle outlet orientation for constant
25 oil flow rate of 500 mm3/hr/brg
20 (constant J=3)
15
20˚ Angled
10
Horizontal
5
0
1000 1500 2000 2500 3000
Spindle speed, rpm
Fig. 4 Variation in bearing 2 outer ring temperature rise for both
horizontal and angled nozzles
the two designs was found to be at higher speeds where
lower bearing temperature rises were experienced with
the angled nozzle.
A similar trend was that obtained with other oil
quantities, although it was noted that reducing the flow
rate increased the sensitivity of the bearings’ performance
to the nozzle design. Fig. 5 illustrates the difference in
temperature rise between the two nozzle designs for three
oil flow rates. Positive temperature differences represent
conditions where the horizontal design provided lower
bearing operating temperatures, whereas negative
temperature differences represent conditions where the
angled design provided lower bearing temperatures. Thus
it can be seen that bearings operating at low to medium
speeds with large quantities of oil are better suited to the
horizontal nozzle design, but as the speed increases and
the oil flow rate reduces then it becomes advantageous to
use the angled nozzle design.
A possible explanation as to why the angled nozzle
performs better at higher speeds may be due to the fact
that at high speeds more oil is entering the bearing
compared to the horizontal nozzle, where insufficient oil is

Motion & Control No.2— 1997 38

 8

6
Bearings cooler with
4 horizontal nozzle
2

0 Bearings: 7040CT2TBLP4
Temperature rise difference

Lubrication: Oil/air
(angled - horizontal), ˚C

-2
Total volume of oil per
-4 bearing (mm3/hr.)
supplied by J nozzles
-6
Bearings cooler with
-8
angled nozzle
666, J=3
-10
500, J=3
-12
296, J=2
-14

-16

-18

-20
1000 1500 2000 2500 3000
Spindle speed, rpm

Fig. 5 Comparison of horizontal and angled nozzle designs for various oil flow rates

present to adequately lubricate the rolling surfaces. At low Positioning was 180° and 90° apart for the two and three
speeds with the angled nozzle, due to lower air turbulence nozzle arrangements respectively. An air pressure of
and reduced effects of centrifugal force, too much oil enters approximately 2.7 bar was maintained at each nozzle
the bearing and churning occurs locally within the inlet. Using three compared with two nozzles had a
contacts, thereby raising bearing temperatures compared minimal effect on outer ring temperature, reducing it by
to the horizontal nozzle. only approximately 2°C. This reduction in temperature is
As the emphasis of this work was on high speed probably due to the improved cooling effect of the air.
applications, all subsequent tests documented in this
article were conducted with angled nozzles. 3.1.3 Oil flow rate
Investigations were carried out into the effect of oil flow
3.1.2 Number of nozzles rate on test bearing temperature rise. Fig. 7 shows the
By maintaining the same total oil flow rate per bearing effect of oil flow rate on bearing temperature rise for a
but varying the number of nozzles, it was possible to range of speeds. It can be seen that reducing the oil flow
determine the effect of the number of nozzles on bearing rate below a critical level results in higher bearing
outer ring temperature. Fig. 6 illustrates the differences in operating temperatures. This can be seen more clearly in
temperature rise for bearing 2, for an oil flow rate of 666 Fig. 8, where for a rotational speed of 3000 rpm, reducing
mm3/h/brg with two and three nozzle combinations. the oil flow rate below 296 mm3/h/brg resulted in a
significant increase in bearing temperature. There
35
Bearings: 7040CT2TBLP4 appears to be an optimum flow rate between 296 and 571
Lubrication: Oil/air mm3/h/brg where bearing temperatures are at their lowest.
30 Above this range bearing temperatures increase.
J angled nozzles
Temperature rise, ˚C

supplying a constant Fig. 9 shows the variation in bearing outer ring

total oil flow rate of temperature with speed for various oil flow rates. Once
25
666 mm3/h/brg
again it can clearly be seen that at higher speeds, bearing
temperature increases below a flow rate of 296 mm3/h/brg.
20

3.1.4 Limiting speed capability

15
J=3 With the angled nozzle and oil flow rates between 296
J=2 and 571 mm3/h/brg, a limiting speed of 4000 rpm was
10 established for the bearing set. Fig. 10 illustrates bearing
1000 1500 2000 2500 3000
Spindle speed, (rpm) 2 outer ring temperature rise with speed.
The catalogue-rated speed for a single oil/air lubricated
Fig. 6 Effect of number of nozzles on bearing 2 outer ring
7040CT bearing is 6300 rpm, but applying the appropriate
temperature

39 Motion & Control No.2—1997

 LP4
CT2TB 45
45 s: 7040
Bearing n: Oil/air 40
tio
40 Lubrica zzles, J=2 or3
n g le d no 35
35 A
30
30
25
Temperature rise, ˚C 25 Temperature rise, ˚C
20
20
15
15
10
10
5
5
0
0
1800 2500
1600
1400
1200 2000 pm
d,r
1000
Oi ee
l fl
ow 800 sp
1500 e
rat ndl
e,
mm
600
Spi
3
/h 400
200 1000

Fig. 7 Effect of oil flow rate on bearing 2 outer ring temperature

The catalogue-rated speed for a single grease-lubricated

42 7040 angular contact bearing is 3486 rpm (4200 × 0.83),
Bearings: 7040CT2BLP4
40 Lubrication: Oil/air but applying the appropriate speed factor as before (Table
Angled nozzles, J=2 or 3 2) reduces the expected speed to 2356 rpm (3486 × 0.676).
Speed: 3000 rpm
38 Hence, it can be seen that the actual limiting speed
Temperature rise, ˚C

attained was 36% higher than the predicted value for the
36
bearing set. This does suggest that the limiting speed of
34 the grease given by the grease manufacturer (1 × 106 DmN)
was conservative, or that the behavior of the grease varies
32 according to bearing size.
For any given speed, it can be seen from Fig. 10 that the
30
grease-lubricated bearings generally ran slightly cooler
28 than the oil/air lubricated bearings, up to the limiting
200 400 600 800 1000 1200 1400 1600 1800 2000 speed of the grease. However, due to constant lubricant
Oil flow rate, mm3/h/brg
replenishment and the linear characteristic of the oil/air-
lubricated bearing temperature profile, a higher maximum
Fig. 8 Effect of oil flow rate on bearing 2 outer ring temperature
speed was achieved with oil/air lubrication.

speed factor (Appendix 1) for the bearing arrangement 3.3 Conclusions

reduces the expected limiting speed to 4200 rpm. Hence, it For fixed preloaded back-to-back bearing arrangements
can be seen that the actual limiting speed attained was a simple method for calculating the limiting speed
within 5% of the predicted value for the bearing set. depending on the number of bearings, preload, contact
angle and bearing spacing has been demonstrated and has
3.2 Grease lubrication shown good correlation with actual test results.
The bearings were grease lubricated with Klüber Isoflex Also, the work presented here has shown how bearing
NCA15 which is a good quality synthetic base oil grease operating temperature is affected by the lubrication
with a speed rating of 1 × 106 DmN. The type 7040 conditions. For the same oil flow rate, increasing the
bearings were filled to 30% of their free volume according number of nozzles had only a small effect on bearing
to common practice. operating temperature.
The speed was increased in small increments and Oil flow rate had a major effect on bearing operating
allowed to stabilize, at which time the bearing outer ring temperature. Just as too little oil results in inadequate
temperature was recorded. Above 3000 rpm temperatures bearing lubrication, hence higher operating temperatures,
took longer to stabilize, consequently tests were too much oil results in churning locally within the rolling
terminated at a speed of 3200 rpm. Fig. 10 illustrates contacts, hence higher bearing temperatures.
bearing 2 outer ring temperature with speed. For the RHP type 7040 angular contact bearing

Motion & Control No.2— 1997 40

 55

50

45

Bearings: 7040CT2TBLP4
40 Lubrication: Oil/air

35 Total volume of oil per

Temperature rise, ˚C

bearing (mm3/h)
supplied by J angled nozzles
30

25

1996, J=3
20
799, J=3
15 296, J=2
247, J=3
10

0
1000 1500 2000 2500 3000 3500 4000
Spindle speed, rpm

Fig. 9 Effect of oil flow rate on bearing 2 outer ring temperature

considered here the optimum oil flow rate was found to be

55 between 296 and 571 mm3/h/brg.
Grease: klüber isoflex NCA15
50 Oil: Mobil Velocite No.6 Design of the oil/air nozzle had an appreciable effect on
45 Angled nozzles bearing operating temperature. At higher speeds, the
J=296mm3/h/brg
angled nozzle design resulted in lower bearing operating
Temperature rise, ˚C

40 Bearings: 7040CT2TBLP4
Lubrication method
35 temperatures although, at lower speeds, temperatures
Grease
30 Oil/Air
were slightly higher in the angled nozzle than in the
25 horizontal nozzle.
20
15
References:
10
1) Wardle F.P., Lacey S.J. & Poon S.Y., Dynamic and Static
5
1000 1500 2000 2500 3000 3500 4000 Characteristics of a Wide Speed Range Machine Tool Spindle,”
Spindle speed, rpm Precision Engineering., Butterworth & Co., (1983) 175-183.
2) Lacey S.J. and Synnott A.T., “Performance Characteristics of
Fig. 10 Comparison of grease and oil /air lubrication on bearing 2
Angular Contact Bearings for Machine Tool Spindles,” NSK-
outer ring temperature
RHP publication C905S (1994).
3) Sakurai M. and Tago S., “Preload Characteristics of Angular
1 Contact Ball Bearings for High Speed Machine Tool Spindles,”
Fmax NSK Technical Journal No.656 (1993).
0.9 Fsf L: light preload
M: medium preload
0.8 Fcat H: heavy preload Appendix:
Speed Factor

Calculation of an approximate bearing speed factor

0.7
Calculations of bearing speed factors are not straight
0.6
forward and advice should generally be sought from the
Bearing spacing
bearing manufacturer.
0.5 However, NSK-RHP will show that by making some
simple assumptions on bearing temperature gradients and
0.4 assuming a linear relationship between both the bearing
0 z zo
Bearing spacing/Bearing bore speed factor and spacing an approximate bearing limiting
speed can be determined which in practice has been shown
Fig. 11 Speed factor characteristics for a two-bearing arrangement

41 Motion & Control No.2—1997

to agree quite closely with actual speeds attained. Nomenclature
From simple bearing geometry, the reduction in axial C ro + ri - d
clearance, x, from a reduction in Radial Internal Clearance Dw Ball diameter
(RIC), y, is given by d Inner ring bore
De Outer ring raceway diameter
x = 2 (C sinα – C2 – (C cosα + y/2)2 ) Di Inner ring raceway diameter
Dm Bearing PCD
If we define f as x/y, then, over a range of bearing sizes it f x/y
can be shown that for a 1mm reduction in RIC, the fn Speed factor
reduction in axial clearance is approximately 4, 3 and 2.3 Fcat Catalogue speed factor
µm for a 15, 20, and 25 degree contact angle respectively. Fmax Maximum speed factor
If we now consider two bearings spaced at distance L J Number of nozzles
apart on a shaft, the axial thermal growth of inner rings L Bearing spacing
relative to the outer rings is given by N Rotational speed
r Raceway radius
∆L = (βs∆Ts – βh∆Th) (zd) ∆T Temperature rise
x Change in axial clearance
and the change in RIC is given by y Change in RIC
z L / bearing bore
∆ RIC = y = (Di∆Ti – De∆Te) βm zo Minimum bearing spacing for maximum speed
factor
Therefore, in order for preload not to increase α Bearing contact angle
β Coefficient of linear expansion
(Di ∆Ti – De∆Te)
Zo = fβm
(βs∆Ts – βh∆Th) d Subscripts
h Housing
where f is a factor depending on contact angle and Zo is i Inner ring
the required spacing, in terms of the bearing bore, to e Outer ring
compensate for a reduction in RIC. In order to calculate Zo, s Shaft
the following assumptions have been made regarding m Bearing ring material
temperature rises for the bearing assembly:

∆Ts = 30°C, ∆Ti = 40°C, ∆Te = 30°C, ∆Th = 15°C

Steve Andy
Both ∆Ts and ∆Th will vary along the shaft and across Lacy Kemble
the housing respectively, so the above are assumed
average values only.
For a light preload two-bearing arrangement, assuming
the speed factor characteristic as shown in Fig. 11, for any
bearing spacing z, we can estimate the speed factor as
follows:

fn = Fcat + {(Fmax – Fcat) / (zo – 0.2)} (z – 0.2) Noriyuki

Itoh
where if fn > Fmax then fn = Fmax

The 0.2 factor represents the distance, in terms of the

bearing bore, between the ball rows for two bearings
abutted, and represents an average value derived over a
range of bearing sizes.
It has been assumed here that the speed factor varies
from Fcat (catalogue speed factor for two bearings) to Fmax,
which in order to take account of transients, is assumed to
be 90% of the catalogue limiting speed for a single bearing.
Similar curves would have to be assumed for different
preload levels and numbers of bearings.

Motion & Control No.2— 1997 42