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In this appendix, details are given of the mechanisms leading to various types of failures in gears, bearings and shafts. The term failure, although readily understood, cannot be strictly defined for components in a mechanical system without reference to the context in which the component is operating. A failed or faulty component is one which causes interruption or degradation of service [28]. It is quite possible that a condition which constitutes a failure in one instance, such as moderate tooth wear on a gear in a precision instrument, may not constitute a failure in another instance, such as a gear in a large mill drive where moderate wear is quite acceptable. The following sections detail the mechanisms involved in the development of various conditions which may constitute faults in a geared transmission system.
A.1.1 Wear
The basic mechanism causing wear is insufficient lubricant film thickness allowing surface-to-surface contact between the mating surfaces of the teeth. Other factors may cause or aggravate wear, such as abrasive particles in the lubricant, corrosion of the tooth surfaces, or tooth surface irregularities which penetrate the lubricant film.
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using filters where possible and changing the lubricant frequently. The abrasive particles may be the result of another failure (such as a bearing failure).
combination of load, sliding velocity and oil temperature reaches a critical value causing a break down of the oil film separating the tooth surfaces. This allows metal-to-metal contact and, if the surface pressure and sliding velocity are high enough, welding will occur. The difference between frosting and scoring is the extent of the welding and the effect of breaking the welds. Scoring is generally observed only on high-speed, highload gears operating with low-viscosity synthetic lubricants. The terms frosting, scoring and scuffing are frequently used interchangeably, with no universal agreement on when each term should apply. Drago [28] uses only the terms frosting and scoring, providing arbitrary delineation on the degree of scoring.
A.1.2.1 Frosting
Frosting occurs when the extent of welding is such that only the extreme tips of the surface asperities are welded and subsequently broken off with little or no further damage. This gives the tooth surface the appearance of a frosted crystal which is caused by micropitting of the surface with no tear marks in the direction of sliding. The initial frosting (removal of the extreme tips of the surface asperities) can increase the contact 268
surface area, lowering the surface pressure, and the gears can often run for long periods of time with no further damage. If necessary, the frosting may be removed by polishing the affected area with a very fine grit paper and the gears returned to service without a recurrence of the problem.
profile) and the remaining contact surface is capable of supporting the full load. In some circumstances, initial localised scoring can be indicative of underlying problems, such as misalignment, which could lead to failures of a more catastrophic nature if left uncorrected; in this case, localised scoring can be of diagnostic benefit.
A.1.3 Interference
Physical interference of one tooth with another generally causes progressive damage; in some circumstances the damage progression may cease after the interference is alleviated. Interference can be caused by a number of conditions, such as operating on tight centres, insufficient involute, thermal expansion, misalignment, insufficient or incorrect profile modification, etc. Tip and root interference is particularly detrimental as it can cause stress concentration near the tooth fillet which can lead to tooth fracture. Interference is normally indicative of poor design, manufacture and/or assembly.
pitting will often only progress until the localised overload condition is relieved, at which time the edges of the pit deform plastically and appear to smooth out; a phenomenon referred to as healing over or corrective pitting. Initial pitting in itself is not normally viewed as a failure, however if it does not cease it will progress to destructive pitting. Unfortunately, there is no sure way of determining if initial pitting will cease or progress.
A.1.4.3 Spalling
Destructive pitting is often called spalling and vice versa, due to similar appearances in later stages of damage, however they are caused by different failure mechanisms. Spalling is produced by a combination of high surface stresses and relatively high sliding velocities which causes a change in the origin of the surface fatigue failure. In the initial stages of spalling, cracks appear in the tooth surface and spread from the failure origin in a fan like manner in the direction of the sliding. Eventually a piece of the material is removed from the surface, giving the appearance of a great deal of destructive pitting in which the pits have run together forming a spalled area. 271
Spalling usually occurs only on case-hardened gears and because it is related both to the surface stress and sliding, it may be possible to prevent its occurrence by reducing the amount of sliding or the coefficient of friction by shifting the tooth profile, improving the surface finish or changing the oil type.
load and sliding cause ripples to form perpendicular to the direction of sliding.
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ridging, the plastic flow has a pattern of peaks and valleys forming ridges which run parallel to the general direction of sliding. Ridging is most often found on low-speed worm and hypoid gears which have a combination of low entraining and high sliding velocities.
A.1.6 Fracture
Fracture is probably the most serious failure mode associated with gears. Unlike the failure modes discussed above, which are usually progressive with a long time between initiation and catastrophic failure, fracture can cause almost immediate loss of serviceability or greatly reduced power transmission capability. This can have
catastrophic consequences, including human injury or loss of life, in equipment such as helicopters, elevators, cranes, winches, etc., in which the ability to transmit or restrain rotation is critical. Fracture may occur in a number of ways from a variety of causes.
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A.1.6.2 Overload
An overload failure occurs when the applied load causes stress in excess of the ultimate strength of the material. Unlike bending fatigue failure where there is some crack
progression, the overload failure results in sudden fracture and loss of the tooth. Generally, several adjacent teeth will experience overload failure almost simultaneously resulting in an immediate loss of power transmission. Overload failures are usually caused by sudden, unexpected load application such as mechanical jamming or locking of rotating components.
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speed, such as gears in helicopter transmissions, gas-turbines drives, and turboprops. Once resonance has been identified as the causal factor, prevention of this type of failure requires a redesign of the gear so that its natural frequencies do not coincide with any operational excitation condition, or the gear can be damped so that, even if a natural frequency is excited, the response of the gear is small enough not to cause failure.
A.2.1 Wear
Unlike gears, there is little or no repetitive sliding action between the mating surfaces in rolling element bearings, and the main causes of systematic wear is not surface-to-surface contact but abrasive and/or corrosive wear which occur in similar fashion to those described in Sections 1.1.1.4 and 1.1.1.5 respectively.
A.2.2 Scoring
Conditions similar to those causing scoring in gears can arise in bearings under conditions of inadequate lubrication. Insufficient film thickness can result in metal-tometal contact between the rolling elements and the raceways which, in combination with intermittent sliding of the rolling elements, generates heat through increased friction. The combination of sliding, load and heat can lead to the welding and tearing apart of the contact surfaces, resulting in scoring of the contact surface which will cause noisy operation and reduce the life of the bearing.
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A.2.4 Brinelling
Brinelling is a phenomenon which can occur on bearings, but not on gears, and appears as one or more sets of regularly spaced indentations (with spacing equal to the spacing of the rolling elements) round the circumference of a race. It can be the result of: a) static overloading causing plastic deformation of the race at the race/element contacts, b) vibration or shock loading of a stationary bearing, or c) electric arcing between the rolling elements and race of a stationary bearing. More than one set of indentations can result when a process causing brinelling is repeated with the bearing in a slightly different position. Brinelling results in noisy operation as the indentations cause impacts as each of the rolling elements pass over them. In itself, brinelling is not necessarily seen as a failure however, because of the increased dynamic loads caused when the rolling elements strike the indentations, it often leads to a reduction in fatigue life of the bearing.
location of the crack and the direction of crack growth depends on the stress distribution within the shaft which is governed by the geometry of the shaft, its attached bearings and gears and the static and dynamic loads. Like bending fatigue cracks in gear teeth, shaft cracks would normally be expected to grow in an exponential fashion as the increasing crack results in increased flexibility. However, this may not always be the case as the stress distribution may change during the progression of the crack, causing a change in crack growth direction.
A.3.2 Overload
Sudden, unexpected application of loads in excess of the ultimate strength of the material can cause rupture of a shaft and catastrophic failure in a similar fashion to overload fracture of gear teeth.
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