ENS Gearbox Recommendation

Recommendation to Comply with the Technical Criteria of the Danish Wind Turbine Certification Scheme
Gearboxes
August 2005
Energistyrelsen The Danish Energy Authority
Table of contents:
Introduction ......................................................................................................................................... 6 1. Objective................................................................................................................................... 7 1.1 Terms and Definitions........................................................................................................... 7 1.1.1 Shaft designations.......................................................................................................... 7 1.1.2 Gear designations........................................................................................................... 8 1.1.3 Bearing designations...................................................................................................... 9 2. Climate, operational conditions and loads.............................................................................. 10 2.1 Environmental conditions climate ...................................................................................... 10 2.2 Operational conditions ........................................................................................................ 10 2.3 Wind turbine configurations ............................................................................................... 10 2.4 Loads................................................................................................................................... 11 2.4.1 General......................................................................................................................... 11 2.4.2 Normal operating loads................................................................................................ 11 2.4.3 Transient loads............................................................................................................. 11 2.4.4 Extreme loads .............................................................................................................. 12 2.4.5 Periodic loads............................................................................................................... 12 2.4.6 Other loads................................................................................................................... 13 2.4.7 Static loads................................................................................................................... 13 2.5 Load cases.......................................................................................................................... 13 2.5.1 Normal load cases........................................................................................................ 14 2.5.2 Extraordinary load cases.............................................................................................. 14 2.6 Symbols for section 2, incl. annex A. ................................................................................. 14 2.7 References for section 2, incl. annex A. ............................................................................. 14 3. Gearbox housing and bearings ............................................................................................... 15 3.1 Gearbox housing ................................................................................................................. 15 3.1.1 Housing material.......................................................................................................... 15 3.1.2 Housing distortion ....................................................................................................... 15 3.1.3 Inspection covers ......................................................................................................... 15 3.1.4 Housing joints and seals .............................................................................................. 15 3.1.5 Housing accuracy......................................................................................................... 15 3.1.6 Cleaning of the housing before assembly .................................................................... 16 3.1.7 Surface coating ............................................................................................................ 16 3.1.8 Lubricating equipment................................................................................................. 16 3.2 Bearings .............................................................................................................................. 16 3.2.1 Types of bearings......................................................................................................... 16 3.2.2 Cages ........................................................................................................................... 17 3.2.3 Internal clearance......................................................................................................... 17 3.2.4 Mounting and installation ............................................................................................ 18 3.2.5 Bearing fit and surface properties................................................................................ 18 3.2.6 External and internal loads .......................................................................................... 19 3.2.7 Calculation of rating life.............................................................................................. 19 3.3 Symbols for section 3. incl. Annex B ................................................................................... 24 3.4 References for section 3. incl. Annex B ............................................................................... 25 4. Gear sets and shafts ................................................................................................................ 26 4.1 Calculation of surface durability (pitting)........................................................................... 26 4.1.1 Size Factor ZX .............................................................................................................. 26 4.1.2 Life Factor ZNT............................................................................................................. 27 4.1.3 Face load distribution factor KH ................................................................................. 27 4.1.4 Load Distribution Factors KH and KH in combination.............................................. 28 4.1.5 Load Sharing Factor K................................................................................................ 28 4.2 Calculation of tooth bending strength................................................................................. 29 4.2.1 Life Factor YNT ............................................................................................................ 29 4.2.2 Load Distribution Factors KF and KF ........................................................................ 29 August 2005 page 2 of 96
4.2.3 Load Sharing Factor K................................................................................................ 29 4.2.4 Design Factor YD for Reverse Bending ....................................................................... 29 4.3 Calculation of scuffing load capacity.................................................................................. 29 4.4 Micro pitting ....................................................................................................................... 29 4.5 Strength and quality for gears ............................................................................................. 30 4.6 Calculation of shafts ........................................................................................................... 30 4.6.1 Splines and tooth couplings ......................................................................................... 30 4.6.2 Shaft-Hub-Connections ............................................................................................... 30 4.6.3 Keys and keyways ....................................................................................................... 30 4.6.4 Interference fit ............................................................................................................. 30 4.6.5 Reverse loading ........................................................................................................... 30 4.7 Reference to section 4, including annexes F, H, I, J and K ................................................ 30 5. Lubrication ............................................................................................................................. 32 5.1 Lubrication regimes................................................................................................................ 32 5.1.1 Full hydrodynamic conditions......................................................................................... 32 5.1.2 Mixed film conditions ..................................................................................................... 32 5.1.3 Boundary film conditions................................................................................................ 32 5.2 Lubricating systems general ................................................................................................... 32 5.2.1 Splash lubrication ............................................................................................................ 33 5.2.2 Forced lubrication systems.............................................................................................. 34 5.2.3 Combined lubrication systems ........................................................................................ 34 5.3 Cleanliness.............................................................................................................................. 34 5.3.1 Rinsing of lubrication system.......................................................................................... 34 5.3.2 Recommended cleanliness of lubricant ........................................................................... 35 5.4 Components ............................................................................................................................ 35 5.4.1 Pumps .............................................................................................................................. 35 5.4.2 Filters............................................................................................................................... 35 5.4.3 Cooler systems ................................................................................................................ 36 5.4.4 Oil heaters ....................................................................................................................... 36 5.4.5 Tubes, hoses and fittings ................................................................................................. 36 5.4.6 Lubricant reservoir .......................................................................................................... 36 5.5 Additive systems..................................................................................................................... 37 5.6 Lubrication analyses general .................................................................................................. 37 5.6.1 Sampling techniques........................................................................................................ 37 5.6.2 Sampling from the gearbox ............................................................................................. 37 5.6.3 Sampling from oil drums................................................................................................. 38 5.6.4 On site testing.................................................................................................................. 38 5.6.5 Appearance test ............................................................................................................... 38 5.6.6 Odour test ........................................................................................................................ 38 5.6.7 Laboratory analysis ......................................................................................................... 38 5.6.8 Recommended analysis limits ......................................................................................... 38 5.6.9 Recommended properties of new oil............................................................................... 38 5.6.10 Recommended analysis limits during operation.............................................................. 39 5.7 Symbols for section 5. incl. annex C ...................................................................................... 40 5.8 References for section 5, including annex C .......................................................................... 40 6. Operation, monitoring and maintenance................................................................................. 42 6.1 Start-up procedure............................................................................................................... 42 6.1.1 Run in procedure.......................................................................................................... 42 6.2 Monitoring .......................................................................................................................... 42 6.3 Maintenance procedures ..................................................................................................... 42 6.3.1 Manuals ....................................................................................................................... 43 6.3.2 Lubrication................................................................................................................... 43 6.3.3 Inspection..................................................................................................................... 43 6.3.4 Documentation............................................................................................................. 43 6.4 Reference to section 6, including annex L .......................................................................... 43
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7.
Test and commissioning ......................................................................................................... 44 7.1 Testing of prototype............................................................................................................ 44 7.1.1 Specification of prototype tests.................................................................................... 44 7.1.2 Rinsing......................................................................................................................... 44 7.1.3 Additional surface conditioning................................................................................... 45 7.1.4 Functional tests in the factory...................................................................................... 45 7.1.5 Dismantling and examination of gear unit................................................................... 46 7.1.6 Functional tests after installation ................................................................................. 46 7.2 Acceptance tests of the mass-produced units...................................................................... 47 7.3 Documentation of tests ....................................................................................................... 47 7.4 Symbols for section 7 including annex D. .......................................................................... 47 7.5 References to section 7, including annex D............................................................................. 48 Annex A to Section 2 of "Gearboxes" Determination of gear loads (informative) ........................... 49 A 1.Wind regimes .......................................................................................................................... 49 A 2.Fatigue load sources................................................................................................................ 49 A 2.1 Fatigue load generated by rotation and torque ................................................................. 50 A 2.2 Fatigue load generated by torque variations..................................................................... 50 A 2.3 Fatigue load generated by bending moment and rotation................................................. 51 A 2.4 Fatigue load generated by bending moment variations ............................................... 51 A 2.5 Combined fatigue load ..................................................................................................... 51 A 2.6 Load spectra arrangements ............................................................................................... 51 A 3. Load cases.............................................................................................................................. 52 Annex B to Section 3 of "Gearboxes" Calculation of rolling bearings (informative) ....................... 61 B 1. Selection of contamination factor eC. ..................................................................................... 61 B 2. Determination of life factor aDIN ............................................................................................ 64 B2.1 Life factor for radial roller bearings: ................................................................................. 65 B2.2 Life factor for radial ball bearings:.................................................................................... 65 B2.3 Life factor for axial roller bearings:................................................................................... 65 B2.4 Life factor for axial ball bearings: ..................................................................................... 65 Annex C to Section 4 of "Gearboxes" Lubrication (informative) ..................................................... 66 C 1. Laboratory analysis ......................................................................................................... 66 C 1.1 Viscosity ........................................................................................................................... 66 C 1.2 Total acid number........................................................................................................... 66 C 1.3 Water content............................................................................................................... 66 C 1.4 Spectrochemical analysis............................................................................................. 67 C 1.5 Automatic particle counting ........................................................................................ 69 C 1.6 ISO solid contamination code...................................................................................... 69 C 1.7 Ferro graphic analysis.................................................................................................. 70 C 1.8 Characteristics of particles........................................................................................... 71 C 1.9 Wear particle analyser ................................................................................................. 72 Annex D. to Section 7 of "Gearboxes" Run-in methodology (informative) ..................................... 73 D 1. Run-in methodology .............................................................................................................. 73 D 2. Run-in conditions ............................................................................................................ 75 D 3. Calculation of min. oil film thickness.................................................................................... 76 D 4. Calculation of max. contact pressure and deformation (simplified solution) ........................ 78 Elliptical contacts: ...................................................................................................................... 78 Annex F. to Section 4 of "Gearboxes" Gear calculation methodology (informative) ....................... 79 F 1. Stress-cycle spectra................................................................................................................. 79 F 2. Fatigue curves......................................................................................................................... 80 Fatigue curve in general ............................................................................................................. 80 Fatigue curve of flank ................................................................................................................ 81 Fatigue curve of tooth root ......................................................................................................... 81 F 3. Safety S calculated by using Miner's rule directly................................................................. 82 F 4. Safety S calculated by using the KA factor ............................................................................. 83 Equivalent stress......................................................................................................................... 83
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Annex H to Section 4 of "Gearboxes" Assessment of risk of micropitting (informative) ................ 88 H 1. Considerations among micropitting ....................................................................................... 88 H 2. Appearance ............................................................................................................................ 88 H 3. Incubation, Initiation life........................................................................................................ 88 H 4. Significance............................................................................................................................ 89 H 5. Assessment of influence factors............................................................................................. 89 H 5.1 Surface topography........................................................................................................... 89 H 5.2 Initial roughness ............................................................................................................... 89 H 5.3 Persistent roughness ......................................................................................................... 90 H 5.4 Measurement of surface topography ................................................................................ 90 H 5.5 Gear tooth finishing.......................................................................................................... 90 H 5.6 Gear tooth geometry......................................................................................................... 90 H 5.7 Speed, sliding ................................................................................................................... 91 H 5.8 Load.................................................................................................................................. 91 H 5.9 Run-in............................................................................................................................... 91 Annex L to Section 6 of "Gearboxes" Inspection of gearbox (informative) ..................................... 92 L 1. Identification .......................................................................................................................... 92 L 2. Gear meshes ........................................................................................................................... 92 L 3. Bearings, lubricant and overall impression ............................................................................ 92 L 4. Additional initiatives .............................................................................................................. 92 Annex I. Annex J. Annex K. Standard deviation for end gap calculation Face load distribution of shaft supported gears Face load distribution of spherical supported planet gears
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Introduction
This recommendation forms the technical criteria of the Danish Wind Turbine Certification Scheme and in terms of gearboxes and is to be used for evaluation purposes in that context only. The recommendation has been prepared in the period from May 2000 to December 2004 by a technical committee, set up by the Advisory Board for the Danish Wind Turbine Certification Scheme under the auspices of the Danish Energy Authority. The recommendation is based on existing codes and standards for gearboxes supplemented by best engineering practice and state of the art knowledge from experts who have been consulted in the process. It should be kept in mind that the rules and recommendations reflect present knowledge and as such cannot cover all conceivable configurations of gearboxes to wind turbines. Compliance with this recommendation does not exempt the manufacturer from product liability. The Danish Energy Authority (DEA) and the authors of the recommendation cannot in any way be held responsible for possible gearbox failures that might be connected with the content or the application of the present document. Members of the Committee: Christer Eriksson Knud Erik Petersen Klaus rsted Petersen Martin W. Jensen Jens Demtrder Strange Skriver Flemming Vagn Jensen Klaus Udesen Nils E. Werner Jens E. Fisker Egon T. D. Bjerregaard Jesper H. Schaarup Poul Hjholdt Det Norske Veritas, Danmark A/S Vestas Wind Systems A/S Siemens Wind Energy A/S (formerly Bonus) -doVestas Wind Systems A/S (formerly NEG Micon) Danish Wind Turbine Owners Association Energi E2 (formerly SEAS) Elsam A/S (formerly Tech-wise) Codan JFM Consult Ris, DEA Secretariat -doRis (Editor)
Preliminary drafts of the recommendation have been submitted for review by an international hearing panel. From January 2005 the Danish Standard Association Committee S588-A04 is responsible for update and maintenance of the recommendation, until it can be withdrawn and replaced by the new standard IEC 61400-4 prepared by an international IEC-ISO joint working group. Acknowledgement The members of the Committee are acknowledged for the big effort they have put into the creation of the recommendation during laborious meetings, and the individuals in the hearing panel who have reviewed the draft versions are acknowledged for their written comments. Special thanks to Jens E. Fisker, who is the author of Annex F, I, J and K to section 4. The AGMA Wind Turbine Committee has kindly permitted that extracts from its draft material be used in the recommendation.
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1.
Objective
The objective of this recommendation is to provide data and information that can be used in connection with the approval of gearboxes for wind turbines under the Danish Certification Scheme. The recommendation covers design loads, construction and manufacturing of housing, bearings and gear wheels, lubrication, maintenance and monitoring, testing and commissioning in order to form the technical criteria of gearboxes for the Danish Certification Scheme for Wind Turbines. Operation, service and maintenance of the gearbox are dealt with to the extent that such recommendations are important for the lifetime and safety of the wind turbine. The present section 1 is an introduction to the recommendation as a whole, and contains an overview of definitions and terms used throughout the recommendation. 1.1 Terms and Definitions 1.1.1 Shaft designations The sketches below show the designation of the shafts in a 3 stage parallel-shaft gearbox and a 3-stage planet/helical gearbox.
High-speed shaft High-speed intermediate shaft Low-speed intermediate shaft
Low-speed shaft
High-speed shaft
Planet shaft
High-speed intermediate shaft
Low-speed shaft
Low-speed intermediate shaft
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1.1.2
Gear designations The sketches below show the designation of the gears in a 3 stage parallel-shaft gearbox and a 3-stage planet/helical gearbox.
High-speed pinion High-speed intermediate wheel High-speed intermediate pinion
Low-speed intermediate pinion Low-speed wheel
Low-speed intermediate wheel
High-speed pinion Ring gear Sun wheel
High-speed intermediate wheel
High-speed intermediate pinion
Planet wheel
Low-speed intermediate wheel
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1.1.3
Bearing designations The sketches below show the designation of the bearings in a 3 stage parallel-shaft gearbox and a 3-stage planet/helical gearbox. Designations R: rotor side, NR: non-rotor side. High speed bearing, NR
High speed bearing, R
High speed intermediate bearing, R
High speed intermediate bearing, NR
Low speed intermediate bearing, R
Low speed intermediate bearing, NR
Low speed bearing, R
Low speed bearing, NR
High speed bearing, R High speed bearing, NR
High speed intermediate bearing, R
High speed intermediate bearing, NR
Low speed intermediate bearing, NR
Low speed intermediate bearing, R
Planet carrier bearing, R Planet bearings
Planet carrier bearing, NR
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2.
Climate, operational conditions and loads
2.1 Environmental conditions climate The expected operating environmental conditions shall be specified. As a minimum the gearbox purchaser should define the following items: the normal ambient temperature range the extreme ambient temperatures expected normal and extreme temperature range in the nacelle size and flow rate of cooling air intakes
The gearbox has to be protected against influences from the environment. Such influences could be intrusion of abrasives from the air (like dust and sand) or chemical substances (like saline, pollution etc.) Surface protection, shaft seals and air breathers must be appropriately designed for these circumstances. For off shore applications special considerations are required [2.11]. 2.2 Operational conditions The whole temperature range shall be considered. The electrical power grid conditions such as tolerances on frequency and voltage, voltage asymmetries and grid outages and the number of occurrences may have a significant influence on the gearbox loads. For remote areas with weak electrical grids and unstable supply, the turbine may experience the shut down and cut in sequence several times a day. These conditions have to be carefully investigated. 2.3 Wind turbine configurations The dynamic loads are greatly influenced by the wind turbine configuration, and the control strategy. It is the responsibility of the gearbox purchaser to consider each specific control and safety function and possible operational states. Some of the configuration features that influence the loads may be: number of blades rigid or flexible hub upwind or down wind rotor method of power regulation configuration of drive-train, including moment of inertia in drive-train components method of yaw control configuration and operation of aerodynamic and/or mechanical brake gravity loads of rotating and stationary components controller response when the turbine exceeds the operational limits e.g. choosing stand still or idle safety system response to fault conditions configuration of the gearbox supporting gearbox inclination generator slip/variable speed coupling properties overload devices e.g. safety friction clutch configuration of components integrated in the gearbox e.g. generator, main bearings, yaw bearings, pitch control mechanisms etc.
Section 2, October 2002
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2.4 Loads 2.4.1 General The description is based on the traditional wind turbine concept and in case of different wind turbine nacelle and drive-train designs, more detailed methods could be necessary. The wind turbine manufacturer shall supply the gear supplier with sufficient and intelligible information about loads and operational conditions that the gearbox will be exposed to. It is the wind turbine designer's responsibility to consider the influence on gearbox load of all operational and environmental conditions, bearing in mind that the circumstances are unique for each wind turbine configuration. As gearbox loads varies with time, the load histories shall be presented in terms of either load duration distribution (LDD) spectres or as load cycle (RFC) spectres depending on type of loads and type of component investigated. The spectres can be supplemented by time series. The LDD-spectre shows load levels and the corresponding duration of each load level. The duration may be applied in terms of hours or in number of revolutions. For variable speed configurations the rotational speed at each load level shall be evaluated with respect to its importance for the actual calculation. The RFC-spectre is determined by the rain flow counting method, which supplies a number of load ranges with the corresponding number of occurrences (cycles). More detailed principles of establishing gearbox design loads are provided in annex A.
2.4.2
Normal operating loads Normal operational loads are defined as the loads, which occur in normal operation at wind speeds between Vcut in and Vshut down including normal yaw error. At the same time normal climate and normal operational condition such as cut-in, generator change over, shut down etc. are considered. Errors are not considered as a normal operational condition. (Fig. A 5) The normal operating loads shall be evaluated for the entire design life for a specified climatic regime. Experimental measurements may be used or scaled under certain conditions, e.g. from a turbine of similar configuration, operational conditions and size. Extreme caution should be taken during such a process. See also section 2.6. When the load spectrum is established for the normal operating conditions, the loads experienced during all other conditions must be added.
2.4.3
Transient loads Transient loads are defined as short but high load events such as cut in, change-over between small and large generator, braking, grid fall out etc. (fig. A 6) Although they comprise only a small fraction of the operating time they can significantly affect the lifetime of the gearbox. A failure mode like scuffing or micro-pitting are most sensible to such short but high loads. Caution should be taken in using data from other wind turbines to represent transient events because small changes in the wind turbine configuration, components or control strategy can cause significant differences in dynamic response of the drive train.
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A dynamic simulation model of the drive train, which accounts for the rotating inertia and material stiffness of each component may be a rather overwhelming task with a possibly questionable result, which under all circumstances has to be verified through measurements. For that reason experiences from similar wind turbines combined with measurements are often the most practicable approach. In gearboxes with mechanical brakes on the high speed shaft, the gear components may be subjected to very high transient loads during the brake sequence that significantly exceed the normal design operational loads. It should be born in mind that the magnitude of these transient brake loads are significantly affected by the adjustment and the maintenance of the braking system. For each single transient event type, the wind turbine designer should estimate a number of probable occurrences over the design life of the wind turbine. The transient loads shall be evaluated with respect to ultimate load criterias but will also contribute to the fatigue load spectrum. The wind turbine manufacturer should provide time histories for each type of transient load events to the gearbox manufacturer. 2.4.4 Extreme loads Extreme loads are defined as very seldom occurring loads, which is hard to investigate both experimental and analytic due to their infrequency. Such loads can occur e.g. at normal external condition combined with a fault, or normal operating conditions combined with extreme external conditions. Thus, all possible combinations must be considered and for the extreme load analysis, the statistical aspects should be taken into account. Extreme loads should be given in terms of a number of matrices (one for each load component e.g. Mx, My, Fx, Fy etc.) showing e.g. the 5 highest load values in rank. For each of these ranked load values the corresponding values of the other load components are given. On basis of these matrices the governing design combinations should be evaluated. The wind turbine is designed to withstand a single extreme wind speed load event using the ultimate strength criteria, and is based on the maximum wind speed occurrence. The max. wind speed with 50 years reoccurrence is normally used. The maximum one-time load event for a gearbox is more likely to be the consequence of rare events during operation, utility grid failure or brake failure. The wind turbine designer shall assess the magnitude and probability of these maximum load events and specify them to the gearbox manufacturer. 2.4.5 Periodic loads Periodic loads are defined as deterministic loads, which are correlated to rotor azimuth position i.e. the peak load of each rotational cycle of the rotor shaft occurs at near same angular position, (fig. A 7). The analyses described above assume that each tooth of a gear experiences the same load history. This is however not the case for the low speed gear stage, where the gear and the rotor position do not change over time. The teeth numbers should preferable be selected so the same pinion and gear teeth are not always engaged at the maximum load, i.e. the largest common denominator for the teeth numbers must be one (hunting tooth combination). However this target may be subordinated other criteria (e.g. gear ratio).
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Sources for periodical loads may be aerodynamic or mass unbalance of the rotor system, mass unbalance in high-speed coupling, run out or geometrical imperfection of rotational components in the gearbox components. Periodic loads shall be included in all load cases, where the wind turbine is in operation. 2.4.6 Other loads For integrated gearbox systems it is necessary to specify the load spectrum at all the critical housing interfaces. An integrated gearbox housing supports the rotor bearings, and it commonly contains interfaces for the generator, pitch mechanism and yaw system. All these subsystems transmit loads through the housing. Hence a more thorough analysis is required. In large scale wind turbine design the internal components in the gearbox have a considerable weight and it should be considered if accelerations during operation may cause internal inertia loads of any significance on the components. In the same context the consequences of internal deformations and tolerances in the gearbox components shall be considered. Especially the consequences of the relative large clearance in the largest bearings shall be evaluated. Loads during transportation and erection as well as loads during tests and maintenance shall be considered. 2.4.7 Static loads Static loads are defined as loads occurring at stand-still or idling with very low rotational speed. Typical loads, which should be evaluated as static loads: - All transient loads occurring during operation but near zero rotational speed - Transient loads occurring at wind speeds higher than Vshut down especially extreme wind speed (50 years recurrence) Static loads also occurs e.g. during transportation, erection, and storage.
Special attention should be paid to phenomena such as fretting corrosion and plastic deformation in bearing raceways. Static loads should be evaluated with respect to the ultimate limit states as well as harmful plastic deformation causing reduced service life. 2.5 Load cases In practice it is not possible to calculate the load response of the construction over the entire design life, time step by time step. Consequently one needs to choose a number of load cases, which are assumed to result in the same safety as the actual load history. Load cases may be categorised according to DS 472 into two namely: Normal load cases Extraordinary load cases
The extent of load cases shall always reflect the actual design and the actual environmental conditions and operational conditions. Typical load cases are shown in annex A, table A 1 A2.
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2.5.1
Normal load cases Normal load cases are defined as loads occurring at normal environmental conditions and normal operational conditions. Extraordinary load cases Extraordinary load cases defined as loads occurring at normal environmental conditions and extraordinary operational conditions or at extraordinary environmental conditions and normal operational conditions. Further more should extraordinary operational conditions be combined with extraordinary environmental conditions if the extraordinary operational condition is a consequence of the extraordinary environmental condition.
2.5.2
2.6 Symbols for section 2, incl. annex A. MRx, i My MRz, i FRx, i FRy, i FRz, i SF SH Vcut in Vext Vhub Vshut down Resulting moment in x-direction at gearbox interface i. Driving torque at low speed shaft Resulting moment in y-direction at gearbox interface i. Resulting force in x-direction at gearbox interface i. Resulting force in y-direction at gearbox interface i. Resulting force in z-direction at gearbox interface i. Safety against tooth rupture Safety against pitting Wind speed at which the turbine starts to produce power Extreme wind speed in hub height with a recurrence interval of 50 years Wind speed in hub height Wind speed at which the turbine stops to produce power [kNm] [kNm] [kNm] [kN] [kN] [kN] [-] [-] [m/sec.] [m/sec.] [m/sec.] [m/sec.]
2.7 References for section 2, incl. annex A. N.G. Mortensen, Lars Landberg, Ib Troen and Erik Lundtang Petersen: Wind Atlas Analysis and Application Program (WASP) [2.2] Ib Troen and Erik Lundtang Petersen: European Wind Atlas [2.3] Jrgen Thirstrup Petersen: Kinematically Non-linear Finite Element Model of a Horizontal Axis Wind Turbine part 1. and 2. (HAWC) [2.4] S. ye: FLEX 4- Simulation of wind Turbine Dynamics. In proc. of the 28th IEA Expert Meeting State of the art of aeroelastic codes [2.5] IEC 61400-1, Wind turbine generator systems - part 1: Safety requirements [2.6] Jens Fisker: Gearkasser i vindturbiner, rapport EEV 94-01 [2.7] G. Niemann, H. Winter: Machinenelemente Band II. [2.8] DS 472 Last og sikkerhed for vindmllekonstruktioner, inkl. tillg af 14.09.01. [2.9] DS 410 Norm for last p konstruktioner 4.udg. 1999. [2.10] Kenneth Thomsen: The statistical variation of wind Turbine Fatigue loads. Ris-R-1063 (eng). [2.11] Energistyrelsen: Rekommandation for Teknisk Godkendelse af vindmller p havet dec. 2001. [2.12] Wind Turbine Generator Systems Part 1: Safety requirements [2.1]
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3.
Gearbox housing and bearings
3.1 Gearbox housing All gearbox housings for wind turbine applications are subjected to high loads, especially gearboxes for wind turbines with an integrated drive train system where the gearbox housing provides one or more bearing supports for the rotor. The housing should be carefully designed so that the load path transfers the rotor loads to the tower without causing high stresses or excessive deflections in the housing. The complex shape of the housing usually requires finite element calculation (FEM). The calculation should be done by experienced analysts, and should be conducted and verified according to ref. [3.14]. Gearboxes are prone to be climbed over, stepped on and used as working surface. Therefore auxiliary components should be placed or shielded so no damages occur during maintenance activities. The interior design should prevent pockets where oil is not drained away and contamination can build up. Preferably it should be possible to replace the bearings on HSS and IMS shafts with the gearbox mounted in the nacelle. Replacement methodology has to be specified. 3.1.1 Housing material Materials for gear housing are mostly cast iron or welded steel plate. For highly loaded parts such as integrated gear systems cast ductile iron is often in use. Housing distortion The housing should be designed and constructed to prevent harmful distortions caused by thermal and/or mechanical deformation. Inspection covers The housing has to be supplied with covers, which enable inspection of the full width of all parallel shaft gear meshes (for a planetary gear stage a bore scope may be needed) and allow for visual examination of the oil. The design should take following conditions into account: Preferably no large top covers, although providing excellent access to the interior, they may be difficult to handle and constitute a large risk of contamination and possibility of technicians inadvertently dropping tools etc. into the gearbox. It should be easy to clean the cover and surroundings before its removal. Tapped holes in the housing should be blind.
3.1.2
3.1.3
3.1.4
Housing joints and seals Only O-rings or a suitable sealing compound should be considered. Flat reusable gaskets should only be used for inspection covers. All rotating seals should be equipped with an additional outside V-ring to exclude contamination and moisture. The design has to take into account the risk of a pumping effect for high-speed shafts. The resistance of sealing material against the actual lubricant should be documented. Housing accuracy The housing bores should be machined to an accuracy which ensure that detrimental effects will not occur on the gear meshes and in bearing operation. The machining accuracy of the housing has always to be considered in co-operation with the bearing manufacturer. The housing stiffness must be high enough to maintain the accuracy of the bearing positions also under max. load.
3.1.5
Section 3, November 2004
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3.1.6
Cleaning of the housing before assembly The following conditions also apply to the interior of the lubrication system. The objective of cleaning and surface coating the gear housing is to prevent initial damage from impurities on the internal components especially the bearings. The final cleaning of the housing should be performed just before assembling the gearbox. Depending on the housing material and the manufacturing processes the remains may be rust, welding splatter, mill scales, casting sand, grinding particles etc. The gearbox manufacturer should demonstrate a consistent procedure for cleaning and preparing the interior of the gear housing. The procedure shall include at least the following subjects: Preparing the surface for coating e.g. dusting and degreasing. Cleaning the surfaces after manufacturing of housing e.g. for weld scales, burrs, weld spatter, casting fins etc. Cleaning the surface after machining e.g. for cutting liquids and chips. If required, special instructions should be given for areas difficult to access, such as oil channels, holes and pockets.
3.1.7
Surface coating The long-term resistance of the inside painting against the actual lubricant should be verified. Painting film thickness and painting surface should be suitable for the purpose. For better orientation when inspecting, the inside colour should preferable be held in a light nuance. Painting system for outside painting has to be specified. Lubricating equipment The housing shall be equipped with an air breather with filter of similar fineness as the system filter. The filter shall have sufficient capacity to prevent vacuum or pressure build up during heating and cooling and must be protected against oil splashes. The housing should be equipped with a magnetic dip stick in the oil system. The design shall enable removing the magnet without oil waste. Drain- and fill valves have to be adequately covered to prevent contamination. The oil reservoir should be equipped with an oil level indicator enabling to visual check. The indicator should be of a hermetically closed type.
3.1.8
3.2 Bearings 3.2.1 Types of bearings Selection of the bearing type shall reflect all the actual operating conditions i.e. loads in radial and axial direction, speed, deformations in housing and shafts as well as lubrication conditions. To establish a better overview of the recent experience of bearing arrangements in wind turbine gearboxes the selection matrices in annex B may apply. 3.2.1.1 Ball bearings Because of their lower load carrying capacity deep groove ball bearings are seldom used in wind turbine gearboxes except for planet carriers and as axial thrust bearing on the highspeed shaft. 3.2.1.2 Cylindrical roller bearings Cylindrical roller bearings are very often used because of their high radial load capacity. The ability to accommodate angular misalignment is limited and has to be considered according to the manufacturers guidelines. The ability to accommodate axial load is moderate and mainly governed by the lubrication and heat dissipation from the bearing, and
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has to be carefully evaluated. Appropriate condition for axial loading is achieved when the axial to radial load ratio Fa/Fr is less than 0.4 and viscosity ratio is higher than 2. If CRB are chosen for axial loading at worse conditions, the strength of the lip in the bearing rings must be carefully evaluated in respect to fatigue bending and shock loads as well as heat dissipation. Proper support of the lip by a well-designed abutment is mandatory under any condition. Full complement roller bearings (fc CRB) should not be used except for low speeds with optimal lubrication conditions can be secured. Low radial loads should be carefully considered, because a high rate of sliding may cause smearing and will cause early bearing failure. 3.2.1.3 Spherical roller bearings Spherical roller bearings have a high radial loading capacity and can accommodate a higher degree of misalignment. The experiences in wind turbine gearboxes are at the time not unambiguous. Consequently the operating conditions such as the ratio Fa/Fr, and the ratio between roller diameter and roller length, low radial loads as well as the risk of a considerable amount of skidding has to be carefully evaluated. 3.2.1.4 Taper roller bearings Taper roller bearings have a high radial and axial load rating, but are sensitive to misalignment and maintaining the axial clearance during all operating conditions. For bearing arrangements subjected to high temperature gradients particular care has to be taken during mounting and maintenance. Because of the raceway inclination, an axial force is created internally in the bearing, which carries radial load. This force acts on the housing. In larger units the housing may not be sufficiently stiff, and therefore the use of 2 paired single row taper roller bearings is recommended, as the axial forces here counteract each other, thus preventing the housing walls from being deformed. In this case a non-locating bearing at the other end supports the shaft. The paired locating bearings are normally arranged in X- formation and the adjustment of the internal clearance should be chosen with proper considerations of the thermal conditions. It should be born in mind that a temperature difference between inner and outer ring will affect the internal clearance in different ways for X-arrangements and Oarrangements. X-arrangements and O-arrangements are also referred to as face-to-face and back to back respectively. 3.2.1.5 Integrated bearings Integrated bearing means a bearing where the outer and/or inner raceways are made directly in the housing or on the shaft. One of the benefits of this solution is a more compact construction, which is widely used in many applications. 3.2.1.6 Axial bearings The axial loads are often adapted in the radial bearing. For high speeds and heavy axial loads it is recommended to separate the radial and axial loads on two separate bearings. 3.2.2 Cages Cages made from polymers such as PA 66 are not recommended because of low strength and low long-term resistance against oil additives especially at high temperatures. The design of cages has a considerable influence on the lubrication conditions in the bearing and has to be carefully considered. Internal clearance Internal clearance greater than standard must be considered in case of heavy interference fit or high expected temperature difference between inner ring and outer ring.
3.2.3
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3.2.4
Mounting and installation At least the following aspects has to be carefully considered and to be an integrated part of the manufacturing procedures: The assembly has to take place in clean surroundings, with clean tools and performed by skilled personal. Other activities, e.g. machining, grinding and welding, are definitely not allowed in the same room. Precautions have to be taken to prevent dust drifting from the outside through windows, gates and ventilation systems. Bearings have to be stored in clean and dry surroundings. Bearings should not be left unprotected on workbenches and not fully assembled gear units have to be carefully protected. An instruction for the mounting procedures and description of the necessary tools shall be present. The instruction shall be the joint responsibility of the gearbox manufacturer and the bearing manufacturer. Internal radial and axial clearances shall conform to the requirements and assumptions made in design calculations. When the clearance of a bearing arrangement is adjusted during assembly of the gear (e.g. cross locating CRB NJ, cross locating TRB or paired TRB), the achieved value shall be measured and documented.
3.2.5
Bearing fit and surface properties Bearings in wind turbine gearboxes require heavy duty fitting practices and have to be rigidly supported at the whole circumference to permit full load bearing capacity. The influence of interference fit and temperature difference from inner ring to outer ring on internal clearance shall be evaluated. The influence of the interference fit and temperature gradient from inner ring to outer ring on operating clearance shall be evaluated, and internal clearance shall be designed to accommodate these conditions. Radial clearance of the bearing shall be controlled to limit misalignment of the gear meshes. This is especially important for the input shaft bearings. The inner ring fit on the shaft shall be evaluated not to induce too high hoop-stresses at running conditions. The hoop stress should not exceed 150 MPa to avoid reduced bearing service life. Bearing fits, geometrical tolerances, and surface roughness has to comply with the bearing manufacturers recommendations. Creeping bearing rings shall be carefully considered to avoid damage to shafts or housing. In this context the worst case of tolerances shall be considered, e.g. largest bore to smallest bearing outer ring and worst temperature difference between bearing and housing. Spinning bearing rings shall definitely be avoided. Shaft bearing outer rings can e.g. be axially clamped (or glued) to avoid rotation. It should however be considered that creeping may be inevitable on the planet bearing outer ring, but it shall be limited such no spinning and no wear occurs. Special attention should be given to surface properties and accuracy of the planet wheel bore. For planet bearings following general guidelines may apply: Planet bearing outer ring shall be fitted to planet bores with a reasonable tight fit to reduce creep. In this connection it should be noted that rim thickness strongly influences the creep of the planet bearing outer ring. The bore should be case hardened and ground. The hardness should be as close to the bearing ring hardness as possible. page 18 of 96
The surface roughness of the bore should be maximum Ra= 0.8. The cylindricity error should not exceed IT 4/2 according to DS/ISO 1101. Inner rings of planet bearings shall be fixed to avoid rotation, except where two axially internally fixed bearings e.g. SRB are used.
Different surface coatings and surface treatments are reported to have a beneficial effect on fretting and wear on shafts and housings. 3.2.6 External and internal loads See section 2. Calculation of rating life The service life is the life actually achieved by a rolling bearing. This can deviate substantially from the calculated rating life; due to the variety of applications and operational conditions i.e. the service life cannot be precisely calculated in advance. Consequently the rating life is understood as a safety index rather than an amount of operating hours. This fact is reflected in the different required rating lives for different methods and different applications. The bearings shall comply with the requirements in sections 3.2.7.1, 3.2.7.3 and 3.2.7.4. It is always recommended to make comparisons with similar applications, which have operated successfully for an appropriate amount of time. 3.2.7.1 Static loads The static load safety fS of all bearings shall always at least be 2 for ball bearings and 3 for roller bearings. P0r is calculated for the highest load to which the gearbox is ever exposed to, without partial load factors. fS = C0r/P0r where P0r is the static equivalent bearing load calculated as: P0r = X0 F0r + Y0 F0a where F0r is the static radial load and F0a the static axial load component respectively. Xo and Y0 are load factors depending on type and size of the bearings, as well as the load ratio Fa/Fr. Xo and Y0 and can be taken from relevant catalogues.
3.2.7
3.2.7.2 Minimum operational bearing load The bearing manufacturers always prescribe a minimum operational load, depending on the bearing type, however in a wind turbine gearbox the loads varies from almost zero load to max. load. Consequently this issue has to be carefully evaluated in corporation between the manufactures of the wind turbine, the gearbox and the bearings. The evaluation shall also consider the significant acceleration and decelerations typical for wind turbine operation. 3.2.7.3 Basic rating life L10h , according to ISO 281 The basic rating life calculation method only accounts for the dynamic load rating of the bearing, the equivalent bearing load and the rotational speed:
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L10 = (Cr/Pr) p
[106 revolutions]
L10h = L10106 / (60nr) [h] The exponent p equals 3 for ball bearings and 10/3 for roller bearings. L10 denotes a 10 % failure probability life. The ratio Cr/Pr shall always be higher than 2.5 for extreme characteristic operational load without partial load factors, with operational loads as defined in section 2. The equivalent dynamic bearing load P is calculated as: Pr = V X Fr + Y Fa where Fr is the dynamic radial load and Fa is the dynamic axial load component respectively. X and Y are load factors, which depend on type and size of the bearings, as well as the load ratio Fa/Fr. X and Y and can be taken from relevant catalogues. The rotational factor V (>1) is a factor to consider in case of stationary inner ring. V = 1.05 applies for bearings where inner ring is stationary relative to load, such as planet bearings. For rotating inner rings V = 1.0. The basic rating life method has proved its universal applicability in a broad range of applications for decades, but it is also stated that this calculation underestimates the attainable service life considerably in most cases. The value of this method is mainly for comparison of an actual bearing application to others, which have operated successfully for a long time. If the comparison shall be meaningful it is essential that the operating conditions are comparable e.g. one cannot compare the L10h lifetime ratings for a slow speed planet bearing and a high-speed output shaft bearing. To ensure a basic sound design based on successful experience in the past the basic rating life, L10,h shall be calculated and compared to the corresponding L10,h for similar designs, which has proven its applicability over long time The following basic rating life calculated with equivalent load and for 20 years shall apply:
Bearing position High speed shaft High speed intermediate shaft Low speed intermediate shaft High speed planet Low speed planet Low speed shaft
Rotational speed (rpm) 1,000 300 100 100 < 100 < 100
Required basic rating life, L10,h 30,000 40,000 80,000 80,000 100,000 100,000
Table 3.1 Required basic rating life, L10,h Required basic rating life for shafts in alternative gearbox designs may be extrapolated from table 3.1 using the rotational speed as reference.
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3.2.7.4 Advanced Methods and (Modified) Reference Life Lnmr The method to determine reference life Lnr and modified reference life Lnmr is described in DIN ISO 281 Beiblatt 4, ref. [3.16]. Most bearing manufacturers have developed their proprietary tools (hereinafter called advanced methods) for these calculations. Though not identical, all these methods have in common that they account for a number of interdependent influences, which causes the difference from the basic lifetime rating and the achievable lifetime experienced from bearing tests. The main influences that shall be considered in an advanced life calculation are: Radial, axial, and moment loads Load sharing between rolling elements Load distribution along the roller length considering actual roller and raceway profiles Load distribution on flanges of bearings Elasticity of bearing, shaft and housing Internal design of the bearing, hereunder roller- and raceway profiling Truncation of contact area Operating misalignment between inner and outer rings Operating internal clearance considering initial clearance, shaft and housing fit, and temperature of inner and outer rings Operating lubricant viscosity and required lubricant viscosity for full hydrodynamic lubrication condition Operating lubricant cleanliness Performance of additive package Temperature transients during start-up
Such advanced methods shall be used in the design phase of a wind turbine gearbox. The advanced rating life shall be greater than the specified design life of the wind turbine. Calculations shall be performed bin-by-bin using the specified load spectrum, deriving a combined lifetime using the formula: Lhnr = ti/(ti/Lhnr, i) The formula is applicable to varying rotational speed also, i.e. provided that the speed is kept constant within the same load class. To find life rating in number of revolutions the above formula applies when Lhnr,i are substituted by Lnr,i and the number of revolutions ui of each class are inserted instead of accumulated time. It may be appropriate to reduce the number of bins in the load spectrum, but not less than 10 bins shall be used. Miners rule shall be used for this reduction, using the same life exponent as used in the advanced life rating calculation. The advanced analysis may be used to study the sensitivity of a bearing arrangement against misalignment, manufacturing variation, or elasticity of mounting, especially in respect to load sharing among rolling elements and load distribution along roller length. Special care shall be taken to avoid stress risers at the roller ends and contact truncations. Advanced methods, as well as reference life calculations according DIN ISO 281 Beiblatt 4 are very sensitive for the validity of the assumptions and assessments made during the computation. It is therefore recommended to put a great deal of effort on the communication between turbine, gear and bearing manufactures concerning this topic. It shall the windturbine manufacturers responsibility to ensure that all relevant information are communicated to the bearing manufacturer. Following guidelines and prerequisites shall be observed when defining the computation inputs:
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The operating temperature in each single bearing has to be verified during test run. In lack of more accurate figures the bearing temperature for preliminary calculations may be estimated from table 3.2. The oil temperature Toil used in table 3.2 is the temperature of the oil supplied to the bearing, which typically will be between the sump temperature (for bearings submerged in the oil bath) and the temperature after the cooler (for forced lubricated bearings). Provision should be taken to avoid hot lubricant from the gear mesh to be injected direct into the bearing. Oil cleanliness in calculations should not be taken better than -/17/14, if bearings are not sealed. However if it can be demonstrated that the cleanliness always is better than -/17/14, a better cleanliness class may be used in the bearing calculations. In this case the cleanliness class chosen for the calculations shall be 1 class poorer than the documented cleanliness class. (See also section 5.3.2 concerning lubrication) It should be demonstrated by test that each bearing is provided with an adequate amount of lubricant. For bearings with > 4, the calculation shall be done with = 4. The method shall not be applied for bearings with < 0,1. The cleanliness factor eC shall be derived from the figures in Annex B fig. B1-B9 which are valid for a lubricant without EP additives. For bearing diameters between two curves linear interpolation may be used. Bearings under boundary lubrication conditions may benefit from EPadditives, provided that the oil is clean and cooled. The calculation may therefore be executed with = 1 if the cleanliness factor eC is larger than 0.2 and oils with proven EP-properties is used. In this case, the life factor axyz shall not exceed 3. Note that, for bulk temperatures above 100C, EP additives might decrease the bearing life ref. [3.9-3.11].
Bearing location High speed shaft Intermediate shaft Low speed shaft Planet wheel Input shaft
Min. difference Tbearing Toil C 20 15 10 5 5
Table 3.2 Minimum temperature differences
Following checks shall be performed for verification of the results achieved by the advanced methods: A calculation of modified reference rating life according DIN ISO 281 Beiblatt 4, though with the actual internal geometry, shall be performed. Discrepancies between the advanced methods and the reference method shall be rationalised between bearing manufacturer, gearbox manufacturer and windturbine manufacturer.
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If the modified reference rating life Lnmr is greater than 10 reference life Lnr, both calculated according DIN ISO 281 Beiblatt 4, then the modified reference life Lnmr shall be set equal to 10Lnr. The maximum contact stress in the bearing at Miners sum dynamic equivalent bearing load shall not exceed the values specified in table 3.3. An approximation for the maximum contact stress is found in ANSI/AGMA/AWEA 6006-A03. Discrepancies between this approximation and the values computed by advanced methods shall be rationalised between bearing manufacturer, gearbox manufacturer and windturbine manufacturer.
Bearing position High speed shaft High speed intermediate shaft Low speed intermediate shaft Planet Low speed shaft
maximum contact stress, pmax 1 300 MPa 1 650 MPa 1 650 MPa 1 450 MPa not applicable as no equivalent load is defined
Table 3.3 Maximum contact stress equivalent load
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3.3
Symbols for section 3. incl. Annex B Cr C0r Fa Fr F0a F0r HV L10 Ln h L10,h L10,mh L10,advanced Pr P0r Cur Pnom Ra T X Y V X0 Y0 a1 aDIN dm fs n nr p ti ui x eC 1 Basic dynamic radial load rating of bearing Basic static radial load rating of bearing Axial load component Radial load component Static axial load component Static radial load component Hardness according to Vickers method Rating life Rating life for n% probability of failure Basic rating life for 10% probability of failure Modified rating life for 10% probability of failure Rating life for advanced calculation methods Dynamic equivalent bearing load Static equivalent bearing load Fatigue load limit for radial load Nominal power defined as max.. on the power curve (10 min. average) Arithmetic mean value of surface roughness Bearing temperature at outer ring Radial dynamic load factor Axial dynamic load factor Factor to consider in case of stationary inner ring Radial static load factor Axial static load factor Adjustment factor for probability of failure 10 % Combined life modifying factor according to ref. [3.19] Mean diameter of bearing (D+d)/2 Static safety factor C0r/P0r Probability of failure Number of revolutions pr. minute Exponent in rating life equation Hours at constant operational conditions Number of revolutions in load bin i Separation ratio for filters at particles size x m Stress factor for contamination Actual viscosity of lubrication in bearing Requisite viscosity of lubrication in bearing Viscosity ratio /1 Specific mass [N] [N] [N] [N] [N] [N] [N/mm2] [106 rev.] [h] [h] [h] [h] [N] [N] [N] [kW] [m] [ C] [-] [-] [-] [-] [-] [-] [-] [mm] [-] [%] [min-1] [-] [h] [-] [-] [-] [mm2/s] [mm2/s] [-] [kg/m3]
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3.4 [3.1] [3.2] [3.3] [3.4] [3.5] [3.6] [3.7] [3.8]
References for section 3. incl. Annex B ISO 76 Rolling bearings Static load ratings. ISO 281Rolling bearings Dynamic load ratings and rating life, including Amendment 1. and 2. ANSI/AGMA/AWEA 6006-A03 - Standard for Design and Specification of Gearboxes for Wind Turbines Transmission Bearings, Fag Publ. No. WL 04 200 ER. Rolling Bearings in Power Transmission Engineering, FAG Publ. No. WL 04 202 EA. Rolling bearings in industrial gearboxes, SKF Publ. 4560 E. Brndlein, Eschmann, Hasbargen, Weigand: Die Wlzlagerpraxis. AGMA Information sheet 921-A97 Recommended practices for design and Specification of gearboxes for wind turbine generator systems. H. P. Nixon: Effects of extreme pressure additives in lubrication on bearing fatigue life. G.T.Y. Wan, E.V. Amerongen and H Lankamp: Effects of extremepressure additives on fatigue life of rolling bearings. Harvey P. Nixon, Harry Zantopulos: Lubricant Additives, Friend or Foe. G. Bergling, Eustathios Ioannides: Hjlpemedel frenklar livslngdsberkning, Kugellagertidningen 243. E. Ionnides, G. Bergling, A. Gabelli: Acta Polytechnica Scandinavica, Mechanical Engineering Series No. 137 An Analytical Fornulation for the life of Rolling Bearings. NAFEMS: Guidelines to Finite Element Practice. T. E. Tallian: Failure Atlas for Hertz Contact Machine Elements. DIN ISO 281 Beiblatt 4 (April 2004)
[3.9] [3.10] [3.11] [3.12] [3.13] [3.14] [3.15] [3.16]
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4.
Gear sets and shafts

Calculation of gears General The failure modes covered by existing standards (e.g. ISO 6336) are only bending rupture and pitting at fatigue load. Thus some typical failure modes experienced in wind turbine gears are not covered: micro-pitting pitting at dedendum/addendum or tooth ends subsurface fatigue wear scuffing
These failure modes may occur in their generic form, but more frequently they will occur in combination. However, this chapter is based on ISO 6336:1996 and ISO/CD 6336-6:2003 where it is possible. Wear in mild form may not be dangerous, but in its most severe form called scuffing it may lead to further damage. For scuffing only an ISO Technical Report type 2 is available [4.6]. For scuffing, fatigue loads has no significance, but even few high transient loads are able to initiate this failure especially with insufficient initial surface finish and at high lubricant temperature. In general the safety is calculated as the ratio between the allowable stress and the calculated stress (as defined in ISO 6336-1: 1996). For variable loads (load spectrum) one can take this into account in two ways either by calculating an equivalent load from the spectrum or one can apply Miners rule. 4.1 Calculation of surface durability (pitting) The safeties SH of two cylindrical gears in mesh shall be calculated according to ISO 63362 method B or A with the exceptions described in sections 4.1.1 through 4.1.5. The direct Miner's rule according ISO/CD 6336-6 shall be used (elaborated in annex F). The safety SH2 shall be at least 1,45 at Miners sum equalling unity. 4.1.1 Size Factor ZX Following equations should apply for determination of the size factor ZX for endurance life (DIN 3990-2:1987 method B): material through hardened steels case carburized and induction hardened steels normal module all mn 10 10 < mn < 30 30 mn mn 7,5 7,5 < mn < 30 30 mn ZX ZX = 1,0 ZX = 1,0 ZX = 1,05 0,005mn ZX = 0,9 ZX = 1,0 ZX = 1,08 0,011mn ZX = 0,75
nitrided steels and nitro-carburized steels
If the gearbox manufacturer can document that the chosen hardening depth is appropriate for all operating conditions, larger values up to Zx=1 may be used.
Section 4, January 2004
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4.1.2
Life Factor ZNT ZNT shall be selected from table 2 in ISO 6336-2, and shall be set to 0.85 at 1010 cycles irrespective of material and conditions. Face load distribution factor KH KH reflects the load distribution across the face width. The distribution is influenced by load level, mesh stiffness, flank line deviations due to difference of bearing clearances and manufacturing tolerances as well as flank line deviations due to deformations and deflections of gears, shafts, bearings and housing. Furthermore, the load distribution is influenced by thermal deformations as described in section 7.1 of ISO 6336-1. Detrimental effects of these deviations shall be compensated by corrective grinding, i.e. flank line corrections of the teeth serving to smooth the load distribution. For planet gear stages (epicyclic gear stages) also the deformation, deflections and manufacturing tolerances of the planet carrier must be considered as well as the manufacturing tolerances of the annulus. Furthermore, the eccentricity between planet carrier and splines/teeth of the coupling of the shaft to which the sun gear torque is transmitted shall be considered. The following contributions of manufacturing parameters to flank line deviations (inclinations) shall at least be addressed: tooth alignment bearing bore alignment internal clearances of bearings in service condition clearances at outer or inner bearing ring in service condition The internal clearance of a bearing in service condition is a result of the free condition clearance, the fit character at inner ring and/or outer ring and the temperature differences between the bearing elements. Each contribution, related to the common face width, is characterised by a mean value and a standard deviation in accordance with the manufacturing tolerances. A mean value may be zero as by gear tooth alignment errors (fH) or different from zero as by an internal bearing clearance or a diameter. The standard deviation of each contribution is set to 1/4 of its tolerance area, i.e. 1/4 of the difference between maximum and minimum value. The uncertainty in assessment of the temperature differences of bearings should be considered in a similar way. From the individual standard deviations a resultant standard deviation related to the common face width is calculated using the square root of the sum of squares as usual for linear expressions. By this, maybe some of the manufacturing parameters shall be regarded as mutually dependent parameters, e.g. by mutual nominal diameters combined with machining in a single process, compare annex I. The mean value contributions and the contributions of the elastic deformations and deflections together describe a mean situation of flank deviations for a given load. Based on this situation flank line corrections shall be properly carried out. The variation of the manufacturing tolerances shall be considered as the corrected mean situation is superimposed a linear flank line inclination of 2 resultant standard deviations (plus and minus situation), which for a given load leads to two different load distributions. To avoid hard end contact by these situations the crowning correction (or similar) applied to counteract hollow flank lines of the pinion due to torsion and bending should be somewhat exaggerated. By determination of the safety SH using Miner's rule directly the load dependence of KH shall be taken into account. For a given macro geometry of a gearset the SH-values of the
4.1.3
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plus and minus situation become equal for a certain amount of linear flank line correction and bigger than the smallest SH-values for other amounts of correction. Thus, the volume of a gear set should be minimised by choosing an appropriate linear correction. There are numerous computer codes available for analysing the load distribution along the face width of parallel shaft gear stages. Most of these codes have only limited relevance for planet gear stages, and where random external loads influence shaft alignment (e.g. input shaft of integrated designs). Detailed methods for determination of required tooth corrections and calculation of the face load distribution factor are given in annexes J and K. The method of determining the face load distribution in annex J does not deal with triangular areas of elevated load at the face ends of helix gear teeth. The elevated load can suitably by calculated by 3-D methods as dealt with in 4.1.4 and should be counteracted by corrective grinding. 4.1.4 Load Distribution Factors KH and KH in combination The design process of a wind turbine gearbox shall employ an advanced code that provides full information of the local loading in the entire contact area by simultaneous analysis of the contact intensity in face and profile directions. The load distribution factor over face width KH will usually have a much larger influence than the load distribution factor over profile length KH. Typically, the two influences KH and KH will be analyzed separately, but 3-D computer codes allow the analysis of a combined factor KH at once. If separate analysis is performed, then KH can be determined from KH = KH KH Beyond the scope referred in ISO 6336-1:1996, such an advanced theoretical analysis of the load distribution shall at least account for the influence of adjacent gear meshes and the influence of local discontinuities in the stiffness at the extremities of the contact area. 4.1.5 Load Sharing Factor K By distributor gear stages the power is transmitted from a single gear to a number of intermediate shafts from which the power further on is transmitted to another single gear. Due to manufacturing and assembling tolerances the distribution of power between the intermediate shafts is not uniform. The load sharing factor K expresses the torque of the most loaded intermediate shaft and its two gears in relation to the torque of a uniform power distribution. The torque deviation from the latter is a result of load, stochastically varying geometrical parameters, temperature differences and elastic properties of teeth, shafts, bearings and housing parts. A resultant standard deviation of the stochastical parameters influencing the torque deviation can be calculated (compare KH). As the stochastical mean value of the torque deviation is zero, 2 resultant standard deviations should be used as torque deviation by determination of K of the gears involved. The factor decreases with increasing load as the manufacturing deviations become smaller in relation to the elastic deformations. By planet gear stages the tooth forces of the planets may be different due to manufacturing tolerances, especially of the planet carrier. Here K expresses the maximum tooth force of the planets in relation to that of a uniform load distribution. In this case, K can hardly be statistically analysed but is typically addressed by the combined dynamic load sharing factor K Kv. For LS planet gear stages with 3 planets and stiff assembly of the branches, the value K Kv = 1.05 is recommended if no further investigations are performed. Higher values may apply with increasing rotational speed.
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For planet stages with more than 3 planets, the dynamic load sharing shall be analysed taking the statistical variations into account. 4.2 Calculation of tooth bending strength The safeties SF of two cylindrical gears in mesh shall be calculated according ISO 6336-3 method B or A with the exceptions described in sections 4.2.1 through 4.2.4 The direct Miner's rule according ISO CD 6336-6 shall be used (elaborated in annex F). The safety SF shall be at least 1,45 at Miners sum equalling unity. 4.2.1 Life Factor YNT YNT shall be selected from Table 1 in ISO 6336-3, and set to 0.85 at 1010 cycles irrespective of material and conditions. Load Distribution Factors KF and KF The load distribution factors KF and KF shall be derived from KH and KH by use of the relevant equations in ISO 6336-1 for the respective load level under consideration of chapter 4.1.3 above. A combined factor KF may be derived from a 3-D analysis. Load Sharing Factor K See 4.1.5. Design Factor YD for Reverse Bending Allowable stress numbers according to ISO 6336-5 are appropriate for repeated, unidirectional tooth loading, and shall be reduced when reversals at full load occur. In the most severe case (e.g. an idler gear or planet where full load reversal occurs each cycle), the value of FE and Flim, shall be reduced by a factor of 0.7.
4.2.2
4.2.3
4.2.4
4.3 Calculation of scuffing load capacity Scuffing resistance shall be calculated according DNV classification note 41.2 [4.12] using the flash temperature criterion. The minimum safety SS shall be 1,3. The load level used in the calculation is the maximum operating load expected within the service life with all corresponding K-factors determined at the respective load level. Abnormal load cases must not be considered in the scuffing calculation (see section 2.3 Loads). It is anticipated that scuffing occurs at incidental peak load that are too short in duration to cause a significant raise in bulk heat of lubricant and gears. The bulk temperature M shall therefore be determined at the max. endurance load that may occur in the given wind turbine design, typically the peak point of the power curve, again with the corresponding K-factors determined at this load. 4.4 Micro pitting Micro pitting is a relevant failure mode in wind turbine gearboxes, but currently no generally accepted calculation procedure exists. The gear supplier shall however document that he has given reasonable attention to the major factors influencing micro pitting, such as initial surface finish (surface roughness) persistent relative surface roughness relative surface hardness sliding speed and slide-roll-ratio contact pressure at the extremities of the contact area, especially in dedendum metallurgy, especially retained austenite
For more details see annex H and D
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4.5 Strength and quality for gears All materials used, the heat treatment procedures applied, and the respective quality measures throughout the entire manufacturing process shall at least comply with MQ-level according ISO 6336-5. 4.6 Calculation of shafts Shaft strength may be documented using e.g. DIN 743 [4.7]. Material properties shall be selected for 50% survival probability with a confidence interval of 95%. The minimum safety shall be in accordance with IEC 61400-1 ed. 3 sec. 6.7.2.2 for yielding and sec. 6.7.3.2 for fatigue Measures shall be taken to include the influences of technological size effect, surface roughness, stress ratio and possible notch factors. [4.26-4.27]. 4.6.1 Splines and tooth couplings Splines shall be made from alloy steel with sufficient hardenability to obtain the strength and fracture toughness meeting the requirements of the application. Splines shall be designed to prevent fretting corrosion e.g. by nitriding of one of the parts. Lubrication shall be adequate to prevent fretting corrosion, meaning that the oil flow through the spline connection is able to remove debris direct back into the sump. Pressure feed lubrication is consequently recommended. The strength may be documented using e.g. DIN 5466 [4.20-4.21]. The minimum safety shall be in accordance with IEC 61400-1 ed. 3 sec. 6.7.2.2 for yielding and sec. 6.7.3.2 for fatigue. Shaft-Hub-Connections Connection between shaft and hub may be designed as either a key connection or a shrink connection or as a combination of both. Shrink connections are preferable. [4.8] If a combination of key connection and shrink connection is used the key connection alone shall be able to transmit the max. torque of the application. 4.6.3 Keys and keyways Keys and keyways may be designed according to e.g. DIN 6892 [4.25]. Keyways should not be extended into bearing journals or sections where stress concentrations are present. Sharp edges shall be deburred or chamfered. Interference fit The interference fit may be documented according to e.g. DIN 7190 [4.8]. The friction connection is to be able to transmit at least 1.5 times the characteristic peak torque without slipping. Reverse loading Adequate measures shall be taken to avoid harmful consequences of reverse load direction, which may occur e.g. during the last phase of the brake sequence or at idling combined with a fault in the yaw system. See also section 2.3.8 Static loads.
4.6.2
4.6.4
4.6.5
4.7 Reference to section 4, including annexes F, H, I, J and K [4.1] [4.2] [4.3] ISO 6336-1:1996 Calculation of load capacity of spur and helical gears: Basic principles, introduction and general influence factors, incl. Cor. 1:1998 and Cor. 2:1999. ISO 6336-2:1996 Calculation of load capacity of spur and helical gears: Calculation of surface durability (pitting), incl. Cor1:1998 and Cor 2:1999. ISO 6336-3:1996 Calculation of load capacity of spur and helical gears: Calculation of tooth bending strength, incl. Cor1:1999.
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[4.4] [4.5]
[4.6] [4.7]
[4.8] [4.9] [4.10] [4.11] [4.12] [4.13] [4.14] [4.15] [4.16] [4.17] [4.18] [4.19] [4.20] [4.21] [4.22] [4.23] [4.24] [4.25] [4.26] [4.27] [4.28] [4.29]
ISO 6336-5:2003 Calculation of load capacity og spur and helical gears: Strength and quality of materials ISO/CD 6336-6:2003 Cylindrical gears Calculation of service life under variable load Conditions for cylindrical gears in accordance with ISO 6336 1997-09-01 ISO/TR 13989-1:2000 Calculation of scuffing load capacity of cylindrical, bevel and hypoid gear-Part 1: Flash temperature method DIN 743:2000 Tragfihigkeitsberechnung von wellen und achsen, teil 1: Einfhrung, Grundlagen, Teil 2: Formzahlen und kerbwirkungszahlen, Teil 3:WerkstofFestigkeitswerte. DIN 7190:2001 Pressverbnd-Berechnungsgrundlagen und Gestaltungsregeln DNV Classification notes No. 41.2: Calculation of Gear Rating for Marine Transmissions:Maj 2003 ISO 14635-1:2000 Gears-FZG test procedures, FZG test method A/8.3/90 for relative scuffing load-carrying capacity of oils DIN 51354-1:1990 Prfung von Schmierstoffen; FZG-Zahnrad-VerspannungsPrfmaschine; Algemeine Arbeitsgrundlagen DIN 51354-2:1990 Prfung von Schmierstoffen; FZG-Zahnrad-VerspannungsPrfmaschine; Prfverfahren A/8,3/90 fr schmierle A. V. Olver Micro-pitting of gear teeth: Design Solutions, Mechanical Engineering 1995 Robert Errichello: Micro pitting of Gear Teeth, A Review of Literature, Description of Morphology and Mechanism, and Recommendation for prevention Klaus Michaelis, Definition, Influence Factors, Rating Methods, Examples Forschungsvereinigung Antriebstechnik E. V. Heft 152 1983 Foschungsvorhaben Nr. 54/II Graufleckigkeit Forschungsvereinigung Antriebstechnik E. V. Heft 106 1981 Foschungsvorhaben Nr. 54/I Einfluss der Schmierstoffe auf die Zahnflankenermdung... Stout et al. The Development of methods for the characterization of roughness in three dimensions, EUR 15178EN rapport of EU Commission Surface Topography Characterisation Part I-III Danish Technological Institute 1998 DIN 5466-1:2000 Tragfhigkeitsberechnung von Zahn. Und Keilwellenverbindungen: Grundlagen DIN 5466-2:2002 Tragfhigkeitsberechnung von Zahn. Und Keilwellenverbindungen: Zahnwellen-Verbindungen nach DIN 5480 P. Dietz, G. Schfer, K Wesolowswski: Zahmwellenverbindungen- Beanspruchungs- und Versvhleissverhalten, Konstruktion 45 (1993) G.Niemann/H.Winter: Maschinenelemente, Band II, Springer-Verlag 1985/1989 DIN 39906:1994 Tragfhigkeitsberechnung von Stirnrdern, Teil 6: Betriebsfestgkeitsrechnung DIN 6892:1998 Mitnehmerverbindungen ohne Anzug- Passfedern-Berechnung und Gestaltung Verein Deutscher Eisenhttenleute, Bericht ABF 11, 1983: Berechnung von Whlerlinien fr Bauteile aus Stahl, Stahlgss und Graugss Synthetishe Whlerlinien- (SWL 83) Studiengesellschaft Stahlanvendung: Forschung fr die Praxis P249, 1999: Synthetische Whlerlinien fr Eisenwerkstoffe. SKF CADalog Plus. SKF Bearing Application Programs, ver. 1.0 Manual 1996 O. R. Lang & W. Steinhilper: Gleitlager, Springer 1978
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5.
Lubrication
Proper selection and condition monitoring of the lubricant is a profound issue to achieve unproblematic operation during the service life of a wind turbine. Of that reason the selection of the lubricant shall be the joint responsibility of the gearbox purchaser, the gearbox manufacturer, and other involved parties such as the lubricant supplier, bearing supplier or filter supplier. The wind turbine gears are characterised of relatively low pitch line velocity and high and alternating loads, which calls for oil with contents of extreme pressure additives (EP additive). As all components in the gearbox and lubrication system are affected by the lubricant, the effect on each component such as paints, seals, pumps, coolers, hoses etc. should be considered carefully. Minimum physical and performance specifications are provided in tables 5.2 and 5.3.
5.1 Lubrication regimes

Development and operational influence of the elastohydrodynamic (EHD) oil film depends on lubricant characteristics, lubricant inlet conditions, load intensity, operating velocity, surface conditions, metallurgy and cleanliness. It is common practice to categorise EHD lubrication into three regimes. 5.1.1 Full hydrodynamic conditions Full hydrodynamic lubrication exists when the lubricant film facilitates complete separation of the metal surfaces. Full EHD film is formed generally under conditions of light loads and moderate velocities or higher load intensities with higher velocities. Full EHD film is formed when the surface roughness asperities do not make contact with the opposite surface through the oil film. For surfaces manufactured on the basis of normal cutting operations like turning or grinding the roughness tops are so sharp that they retain their form until they break through the oil film and touch the opposite surface. The oil film thickness can thus be compared with the composite roughness of the two surfaces to determine the state of lubrication, the -value. For very smooth surfaces, and when surfaces have been run-in, the roughness tops are so smooth and blunt that they can work like small bearings and be elastically smoothened further until the wear stops. If the load or speed then is changed, the running-in starts again. The running-in process thus requires running at different loads and speeds to smoothen the asperity tops across the whole load-carrying surface. The lower film thickness used during the running-in, the smoother the surfaces will be. Mixed film conditions Mixed film lubrication exists where the surfaces operate with partial metal to metal contact. Mixed film lubrication is the most prevalent form and is generally associated with moderate velocities and relatively high load intensities. Boundary film conditions Boundary lubrication exists where the surfaces are wetted with oil but the film thickness developed is small compared to the surface roughness. Generally boundary lubrication is associated with low velocities and/or heavy load intensities.
5.1.2
5.1.3
5.2 Lubricating systems general

The lubricating system has to be considered as an integrated part of the gearbox from the very beginning of the design phase, and kept in eye through the entire development. The system shall always reflect the actual wind turbine concept and operating philosophy.
Section 5, February 2002
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Proper function of the lubricant system shall be demonstrated under all relevant operational conditions. The function of the system may be demonstrated by tests in the workshop and/or by field tests on a prototype wind turbine. See section 7. The gearbox manufacturer and lubricant supplier shall be accurately informed of the operational conditions for the wind turbine. See section 2. The lubricating system shall always be equipped with an adequate filtering system to obtain the assumed cleanliness of the lubricant. At long lasting stand still in braked condition direct metal-to-metal contact will occur and may cause fretting corrosion. Consequently it is preferable to minimise the amount of time where the turbine is parked. Conditions during transportation and storing e.g. vibrations and corrosion have to be considered. For double row bearings the oil should be supplied in the middle of the bearing and drained to both sides. Oil level in the bearings shall not exceed half the diameter of the roller. Hot oil leaving from a gear mesh and ejected directly into the bearing shall be avoided. The actual operation philosophy has to be taken into account especially concerning lack of lubricant caused by variable speed or during idling and parking. In design and fabrication of the lubrication system the following subjects shall be considered: proper supply of lubricant to each single lubricant point. pipes and other components should be designed on the large side to minimise viscosity dependence. proper workmanship has to be ensured. maintain adequate cleanliness during assembling, mounting and maintenance. proper installation of components with respect to vibrations, adequate function and damage during maintenance. it shall be possible to drain the gearbox and the entire lubrication system only leaving a negligible amount of lubricant left in the system. need for bleeding devices shall be considered
5.2.1
Splash lubrication Splash lubrication is a simple and reliable system and has done well in carefully designed and operated wind turbines. Especially for medium loaded helical gearboxes with relatively large oil volume. The low speed gear should dip into the oil bath for at least two times the tooth dept. Precautions has to be taken to capture the oil splash and conduct a proper amount to all bearings and meshes which are not immersed in the oil bath. Plates, scrapers and troughs have to be fastened and secured carefully. Precautions have to be taken to remove contaminates to achieve proper lubricant cleanliness.
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5.2.2
Forced lubrication systems These systems have the advantage to supply every bearing and gear mesh with the proper amount of lubricant at the temperature and cleanliness assumed in the design. It is recommended that all bearings and gear meshes, which are not immersed, are forced lubricated i.e. HSS and IMS bearings and HS gear mesh. The pressure level in the oil distribution system and pressure drop at the orifices shall be selected as low as possible to avoid unnecessary air intrusions. The system may be equipped with a cooler and shall be equipped with an adequate filter. Oil circulation has to be monitored continuously. Oil starvation during start up at cold conditions caused by high viscosity has to be considered. All internal tubes and spray nozzles should be accessible for tightening and control. Combined lubrication systems Combined lubrication systems act like splash lubrication at low oil temperatures and high oil viscosity. When the oil viscosity decreases at higher oil temperatures, a circulation system takes over and distributes the oil directly to gears or bearings. Oil filters and heat exchangers or oil coolers may be integrated in this system. Such systems allow for smaller sizes of pumps and oil lines; since they are not dimensioned for low viscosity and risk of cavitation is lower. The reduced filtration time achieved with such system shall be considered when determining the achievable cleanliness, unless a secondary filtration circuit is installed and permanently active.
5.2.3
5.3 Cleanliness
Proper cleanliness of lubricant is essential for trouble free operation of gears and bearings. This applies for mounting, run in and tests, as well as normal operation. 5.3.1 Rinsing of lubrication system All components in the gearbox including the lubrication system have to be cleaned separately before assembly, se also section 3. The cleanliness of the new lubricant has to be at least -/14/11 after ISO 4406. After pouring new lubricant in the gearbox and before applying loads, the gear has to be rotated at low speed to circulate the lubricant in order to rinse the gearbox and lubrication system. Loads shall not be applied before the cleanliness is at least -/14/11. During run in and tests the cleanliness of the lubricant has to be monitored regularly and kept at a cleanliness of at least -/15/12. The oil sample should be taken through a test nipple before the filter (upstream). After run in and tests the components have to be carefully sealed before dispatch.
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5.3.2
Recommended cleanliness of lubricant Following values (partly DS 2395) for lubricant in sump may apply: Min. cleanliness of new lubricant whenever poured into the gearbox Min. cleanliness before applying load Min. cleanliness during run in and tests (at stabilised conditions) Min. cleanliness at scheduled maintenance but not longer than 3 months for the first sample and the following at fixed intervals typical 6 months Min. cleanliness immediate after commissioning or repair of gearbox/lubrication system Action programme 1. See table 5.3 Action programme 2. See table 5.3
/14/11 /14/11 /15/12
Workshop conditions
/16/13
1) Field conditions
/16/13 /17/14 /18/15
1) Field condition means that an oil sample is taken and subsequent analysed.
Table 5.1 Recommended cleanliness of lubricants In this context the cleanliness used in bearing calculations should not be taken better than /17/14. However if it can be demonstrated that the cleanliness always is better than -/17/14, a better cleanliness class may be used in the bearing calculations. In this case the cleanliness class chosen for the calculations shall be 1 class poorer than the documented cleanliness class. In that context the required cleanliness for all activities in table 5.1 has to be modified correspondingly.
5.4 Components
5.4.1 Pumps The pump may be driven by a gear shaft or an electric motor. The viscosity interval for proper operation of the pump has to be considered. Effects from cavitation and false air intake have to be evaluated. Filters Design of filters has to be considered carefully. At least the following subjects has to be considered: Flow capacity Filter capacity Mesh size and material Filtration rate x [ISO 16889] By pass valve with monitor
5.4.2
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The filter ratio x is defined as the number of particles at a size x m upstream divided with the number of particles down stream. The system design shall ensure that vibration, pressure spikes, bypass operation or other unforeseen events do not release particles already trapped in the filter. The filtration system, monitoring devices and associated service concept shall ensure that no harmful particles are released into the oil distribution system and that the oil in the sump remains on the cleanliness level assumed in the calculations even if the main filter is in bypass mode. 5.4.3 Cooler systems The cooler shall have sufficient capacity to keep the lubricant temperature at or below the design temperature. Oil heaters At low temperatures and high lubricant viscosity it can be necessary to heat the lubricant before start up to avoid oil starvation. The heating element surface temperature has not to exceed a temperature, which can be harmful for the lubricant. Tubes, hoses and fittings The hoses should be carefully chosen with respect to lubricant, pressure, flexibility and sturdiness. For lines subjected to pressure or suction, fittings and ports should have either high quality fittings or o-ring seals. The fittings should not be sensible to vibrations. Tubes and fitting made by copper or brass may cause electrolytic corrosion and should be carefully considered. Lubricant reservoir The lubricant reservoir may be either the gear housing itself or a separate tank. A suitable lubricant capacity may be calculated according to the following equation: Qr = PnomVspec Where Pnom the rated power in kW and Vspec is the specific lubricant volume in litre/kW. A specific lubricant volume not lower than 0.15 l/kW is recommended. For splash lubricated gearboxes without additional cooling a specific lubricant volume not lower than 0.4 l/kW is recommended. This is to ensure sufficient time to achieve proper separating of air bobbles and precipitate particles and water. The inlet- and outlet pipe shall be separated as much as possible e.g. by means of a separating baffle. To increase separating of air an inclined wire-gauze can be situated near the return tube. The meshes should be 25-50 m. The tank has to be equipped with a breathing filter with sufficient capacity to avoid pressure build up and with at least the same fineness as the system filter. The minimum lubricant level should be continuously monitored (e.g. by means of a minimum level switch) to avoid a leak in the lubrication system to cause gear failure.
5.4.4
5.4.5
5.4.6
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5.5 Additive systems

All commercial gear lubricants contain additives that enable them to meet specific performance requirements. Typical additives are: rust inhibitor oxidation inhibitor defoamant additive antiwear additive antiscuffing additive
Mineral and synthetic lubricants that contain special additives to prevent scuffing under boundary lubrication conditions are referred to as extreme pressure (EP) lubricants. Antiscuffing additives contain sulphur, phosphorus or other soluble compounds that form protective films to prevent scuffing. Be aware that a certain additive package is developed with a specific purpose e.g. protecting against scuffing and wear and as such probably only tested with respect to this specific purpose. It is recommended to investigate the properties of the lubricant with respect to all technical details, which are present in a wind turbine gearbox e.g. fatigue life of rolling bearings.
5.6 Lubrication analyses general

Sufficient informations concerning sampling of lubricant and the required analyses has to be stated in the service manual and the owners manual. 5.6.1 Sampling techniques Whenever samples are taken, it is important that the same procedures are followed so that consistent samples are obtained. Once the monitoring program has begun, do not change sampling procedures or sampling points without very strong reasons. Always use clean, plastic or glass sample bottles and keep all sampling equipment absolutely clean. Prior to sampling, fill out the label completely and attach it to the sample bottle. Be sure to record the wind turbine serial no., date and sample point. Oil sampling ports on splash lubricated gearboxes should be situated at a height corresponding to the middle of the operating oil level. If the oil sump is divided, there should be a port in both sections. Forced lubricated gearboxes should be equipped with two ports, one between the pump and the filter and one after the filter. To avoid misleading results causing hasty provisions at least the following subjects have to be considered: Samples have to be taken during operation at normal temperature. The oil sampling methodology, and analysing laboratory should not be changed without heavy reasons. Methodology may be according to ISO 4021. It is important to use absolutely clean fluid sample bottles and not to contaminate the samples during sampling. Cleaning of bottles may be according to ISO 3722. It is recommended to make plots of the result for each turbine to make the tendency in the contamination more clear.
5.6.2
Sampling from the gearbox The surroundings and the sampling port have to be thoroughly cleaned before opening the port. Use a clean plastic hose and discard it after the sampling. page 37 of 96
Discard any oil in the drain valve including 3 times the dead volume in the tube in a separate bottle and obtain the sample to be analysed in a fresh bottle. 5.6.3 Sampling from oil drums In terms of samples from near the top, the middle and near the bottom of the drum, a representative sample should be kept and stratification avoided. The sampling tube has not to touch the bottom and the side of the drum. To ensure this a sampling rod with a sampling tube tied to the three positions would be useful. In each point 1/3 of the sample are taken. On site testing Immediately after the sampling some simple investigations can be carried out: Appearance test Look at the lubricant in a clean narrow glass bottle. Compare the sample with a sample of new, unused lubricant. The oil should look clear and bright. If the sample looks hazy and cloudy, or has a milky appearance, there may be water present. A darkened colour may indicate oxidation or contamination with fine wear particles. Tilt the bottles and observe whether the used oil appears more or less viscous than the new oil. A change in viscosity may indicate oxidation or contamination. Look for sediment in the bottom of the bottle. Odour test Carefully sniff the oil sample, and compare the smell of the used oil sample with the new oil. The used oil should smell the same as new oil, that is should have a bland oily odour. Oils that have oxidised have a burnt odour, or smell acrid, sour or pungent. Laboratory analysis For monitoring the lubricant conditions during operation and for failure analyses a number of laboratory analysis are available. The most common are described in annex C. Also scale numbers for particle counting and characteristics of contamination particles can be found in annex C. Recommended analysis limits Immediately after the first start up, an oil sample should be taken and analysed, to state the point of reference. It should be born in mind that e.g. the tolerance on viscosity is 10% for new oil, and the TAN number varies a great deal from one oil type to another. Recommended properties of new oil The properties of new oil should comply with DIN 51 517 teil 3. and the following additional requirements will apply:
5.6.4
5.6.5
5.6.6
5.6.7
5.6.8
5.6.9
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Parameter Viscosity (mm2/s) Viscosity indices Oxidation stability
Methodology ISO 3104 ISO 2909 ASTM D 2893
Corrosion properties, Iron Corrosion properties, Copper Foaming properties
ISO 7120 (DIN51 355) ISO 2160 (DIN 51759) ASTM 892
Requirement 10% Min. 90 Increase in viscosity of a test sample oxidised at 121 C should not exceed 6% of reference value. No rust after 24 hours with synthetic sea water. #1b strip after 3 hours at 100 C Sequence 1: max. 75/10 10:00 Sequence 2: max. 75/10 10:00 Sequence 3 max. 75/10 10:00 Load stage min. 12 Stage 10 As stated in standard -/14/11
Load carrying property (scuffing) Micropitting resistance test Filterability Cleanliness
ISO 14 635-1 FVA, No 54 ISO/DIS 13 3571,2 ISO 4406
Table 5.2 Recommended additional properties of new lubricants Concerning the properties of the oil as specific lubricant in rolling bearing it has been shown that some additives may have a detrimental effect on the fatigue life of rolling bearings [5.23 5.25]. At present there exists no international or national recognised methodology dealing with lifetime testing of rolling bearings, but only internal praxis at the rolling bearing manufactures. However many bibliographies have been dealing with the subject. From these some information and practical advices may be deduced. A simple qualitative test can be carried out as static accelerated immersion test e.g. where bearing balls or rollers are kept immersed in the lubricant at a elevated temperature (160 C) for a certain time and compared with balls in a reference mineral base lubricant. The balls or rollers may show remarkable differences in colour and surface structure. When analysing the surface in microscope the corrosive effects of the additive film compared to that of mineral oil can be judged. If considerable changes are observed it is recommended to require additional documentation concerning the subject from the lubricant supplier. 5.6.10 Recommended analysis limits during operation To ensure trouble free operation it is essential to focus on at least the following issues: - control of viscosity - control of contents of contamination (water and particles) - control of contents of additives Figures in table 5.3 may apply:
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Analyse parameter
Normal
Changes in viscosity from point of reference Contaminants - Water contents 1) (mg/kg) - Changes in TAN (mgKOH/g) - Cleanliness (ISO 4406) - Wear particles/contaminants - Iron (mg/kg) - Copper (mg/kg) - Silicon 3) (mg/kg) Additives 2) - Contents of EP/AWadditives Oxidation stability 2) - Changes in TAN (mgKOH/g)
Within 10%
Action programme 1. Intensified monitoring. New analyse Interval between 10% and 15%
Action programme 2. Lubricant has to be cleaned or changed Outside 15%
< 200 0,5 -/15/12
< 500 < 1,0 -/17/14
> 500 > 1,0 -/18/15
< 30 < 10 < 10 > 50 %
< 50 < 20 < 20 > 40 %
> 50 > 20 > 20 < 30 %
< 0,5
< 1,0
> 1,0
Table 5.3 Recommended properties of lubricants in operation 1): Borderline only valid for mineral lubricants and synthetic lubricants type PAO. 2): It is recommended to use the IR-spectrum to measure oxidation products in the lubricant and consumption of additives. 3): If Si compounds are used as anti foam additive, the figures may not apply.
5.7 Symbols for section 5. incl. annex C

Pnom Qr Rq Vspec hmin x Nominal power Lubricant reservoir volume Root-mean-square deviation of the surface Specific lubricant volume Minimum oil fil thickness Separation ratio for filters at particles seize x m Specific oil film thickness ratio = hmin /(Rq1+ Rq2)1/2 [kW] [l] [m] [l/kW] [m] [-] [-]
5.8 References for section 5, including annex C

[5.1] [5.2] DIN 4406 Method for coding level of contamination by solid particles DIN 51519 ISO-Viskosittsklassifikation fr flssige Industrie-Schmierstoffe page 40 of 96
[5.3] [5.4] [5.5] [5.6]
[5.7] [5.8] [5.9] [5.10] [5.11] [5.12] [5.13] [5.14] [5.15] [5.16] [5.17] [5.18] [5.19] [5.20] [5.21] [5.22] [5.23] [5.24] [5.25] [5.26] [5.27] [5.28] [5.29] [5.30]
ISO 11171 Hydraulic fluid power Calibration of automatic particle counters for liquids DS 2395 Skibs- og marineteknologi, Smreoliesystemer Vejledende rensningsgrader og flushing. DS 2397, Skibs- og marineteknologi Hydrauliksystemer Vejledende retningslinier for montage og flushing. DS 2398 Skibs- og marineteknologi Prveudtagning fra smreolie- og hydraulik rrsystemer. Vejledende retningslinier for udtagning af reprsentative vskeprver for renhedskontrol og partikkeltlling. DIN 51517-3 Schmierstoffe; Schmierle CLP; Mindestanforderungen. ANSI/AGMA 9005-D94 Industrial Gear Lubrication. ISO 16889 Hydraulic fluid power Filters Multi-pass method for evaluating filtration performance of a filter element. ANSI/AGMA/AWEA 6006-A03 - Standard for Design and Specification of Gearboxes for Wind Turbines ISO 3448 Industrial liquid lubricants ISO viscosity classification ISO 3722 Cleaning of oil sample bottles. ISO 4021 Extraction of fluid samples from lines of an operating system. ISO 7120 Determination of rust-preventing characteristics in presence of water. DS Skibs- og marineteknologi Smreolierrsystemer Vejledende rensningsgrader og flushing. ISO 2160 Petroleum Products Corrosiveness to copper- copper strip test. ISO 2909 Petroleum Products Calculation of viscosity index from kinematic viscosity ISO 3016 Petroleum Products Determination of pour point DS/EN/ISO Olieprodukter Bestemmelse af kinematisk viskositet og beregning af dynamisk viskositet ISO/DIS 13357-1,2 Petroleum Products Determination of the filterability of lubricating oils ASTM D892-98, Standard test method for foaming characteristics of lubrication oils ASTM D 2893-99, Standard test method for oxidation characteristics of extreme pressure lubrication oils. H. P. Nixon: Effects of extreme pressure additives in lubrication on bearing fatigue life. G.T.Y. Wan, E.V. Amerongen and H Lankamp: Effects of extremepressure additives on fatigue life of rolling bearings. Harvey P. Nixon, Harry Zantopulos: Lubricant Additives, Friend or Foe. Klaus Michaelis: Gear Failures Definitions, Influence Factors, Rating Methods, Examples ISO 14635-1 Zhnrder FZG-Testverfahren Teil 1: Testverfahren A/8,3/90 fr relative Fresstragfhigkeit von len. FVA-Informationsblatt Nr. 54/I-IV DIN 51 354 Teil 1. FZG-Zahnrad-Verspannungs-Prfmaschine DIN 51 354 Teil 2. FZG-Zahnrad-Verspannungs-Prfmaschine. Prfverfahren A/3,8/90 fr Schmierle
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6.
Operation, monitoring and maintenance

The operation, monitoring at maintenance procedure should be fully agreed upon between the wind turbine manufacturer and all involved suppliers before the gearbox is placed in service.
6.1 Start-up procedure The start up procedure shall always reflect the actual wind turbine and gearbox design, but shall at least comprise the following subjects: Before initial start-up at least the following check should be made: tighten all gear supports lubrication level and type tighten pipe- and hose connections set points for automatic shut down and alarms proper operation of auxiliary equipment e.g. pumps, coolers, fans, transmitters for temperature, oil level etc. During start up at least the following check shall be made: observe the gearbox for vibrations and temperature check the lubrication system for proper function check the gear box and lubrication system for oil leaks check coupling alignment and run out of any brake disc if rinsing according to section 5.3.1 is not performed in the workshop, check lubricant cleanliness The following procedures are recommended during start up: if possible pre lubricate the gears and bearings before start up if possible start the gearbox with reduced speed and light load 6.1.1 Run in procedure Normally a run-in procedure is not carried out in the field. For further information concerning run-in, see sect. 5. Lubrication incl. Annex C and sect. 7. Tests and commissioning incl. Annex D.
6.2 Monitoring To make sure that the operational conditions are within the assumed specification an expanded monitoring program may be necessary the first time after start up. The amount of time for the program can vary, because the wind turbine has to experience the entire specified operational conditions before the wind turbine is left to its normal service schedule. Not every single wind turbine has to be fully monitored. However at least the following parameters shall be monitored: sump temperature HS bearing temperature oil level power filter bypass function 6.3 Maintenance procedures Proper maintenance procedure carried out of a qualified staff is an important issue to achieve a trouble free operation through the entire service life. The organization servicing the wind turbine shall be able to document at least:
Section 6, March 2004
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a service / maintenance organization, procedures specifying operation of servicing including planning, execution, recordings and follow-up. service / maintenance program the responsibility and authority of personnel affecting the quality of the operation shall be defined. Qualifications / training of service personnel shall be described. procedures shall be established and maintained to ensure the proper identification, collection, filing etc. of valid records verifying that the operations are being carried out according to the requirements.
6.3.1
Manuals User- and service manuals shall contain all sufficient data and instructions to operate, control and maintain the gearbox. The manuals shall at least contain informations concerning: Gearbox manufacturer Gearbox type and main specification Specification of spare parts to an extend allowing a skilled mechanics changing wear parts Recommended lubrication type and volume Specification of gearbox normal and extreme operational conditions (e.g. power, speed, temperature etc.) Recommended lubrication change intervals Specified limits for lubrication properties Specifications for lubrication system including coolers, heaters, filters etc. Instructions for regular inspections including tolerances etc. Instruction for control of auxiliary equipment incl. monitoring transducers Instructions for control of gearbox interfaces e.g. torque supports, brake discs, couplings etc. Personal safety precautions
6.3.2
Lubrication Operation and control of lubrication shall comply with this regulations sect. 5. Inspection Inspections of gears and bearings shall be carried out at each service check, first time short after the start up. [6.1-6.3] To achieve a consistent output it is recommended to use a recognized method. An example is shown in Annex L. Documentation All results from monitoring, service, maintenance and repair if any shall be recorded in the logbook for the wind turbine. The logbook may be electronic or in written form, but shall always be available for the wind turbine owner.
6.3.3
6.3.4
6.4 Reference to section 6, including annex L [6.1] DIN 3979 Zahnschden an Zahnradgetrieben [6.2] ISO 10825 Wear and damages on Gears Terminology [6.3] T. E. Tallian: Failure Atlas for Hertz Contact Machine Elements [6.4] ISO 10825 Wear and Damage to Gear Teeth Terminology [6.5] DIN 3979 Tooth Damages on Gears Designation, Characteristics, Causes
Section 6, March 2004
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7.
Test and commissioning
7.1 Testing of prototype The objective of the prototype tests is to verify that a new design meets the specifications. The prototype test comprises at least the following activities: 7.1.1 Specification of prototype test Rinsing of the gearbox interior and lubrication system Additional surface conditioning (if required) Functional tests in factory Dismantling of gear unit for examination Documentation of tests
Specification of prototype tests The tests and test conditions shall be specified to an extent, which not may cause misinterpretations. As a minimum the following subjects should be specified: Identification of test unit, i.e. drawings, part lists and manufacturing specifications and complete quality documents concerning e.g. profile error, pitch error, alignment error, tip- and end relief, helix correction, flank surface hardness and surface roughness etc. Specification of test set up, i.e. description and drawing/photo of test rig and auxiliary equipment. The test set up should as far as feasible reflect the actual installation in the wind turbine e.g. concerning gearbox support position and elasticity, gearbox inclination, gearbox cleanliness, oil viscosity, couplings etc. A test plan shall be specified. Specification of monitoring. Data acquisition system has to be described/specified. Methodology for assessment of load distribution across the face-width, temperature measurements, oil sampling, cleanliness measurement, noise- and vibration levels etc. shall be specified. Specification of test conditions: direction of rotation and torque, duration of test, speed, power, temperature, type of lubricant, capacity of lubrication and cooling systems, lubricant cleanliness, number, magnitude and sequence order of load steps. Duration of each load step shall be long enough to reach temperature stabilisation. The test torque range shall at least correspond to the torque range during normal operation.
The rotating speed during the tests shall correspond to the actual speed at the different torque levels. Dismantling of gear unit after test for examination of condition of components regarding wear, particle indentation damage, deformations, micro pitting, surface fatigue, contact pattern etc. Results shall be documented by e.g. photos.
7.1.2
Rinsing The cleanliness of the new lubricant shall be at least -/14/11 according to ISO 4406. The gear shall be running at low speed and no load to rinse the housing and lubrication system and kept at low speed and no load until cleanliness of the lubricant has reached at least /14/11 before applying load. Further informations may be taken from annex D.
Section 7, August 2002
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7.1.3
Additional surface conditioning Wind turbines are subjected to operate up to their full design load capability immediately after installation. At this point, the roughness profile of gears and bearings is still dominated by the texture generated in the finishing process. High local contact stresses at the roughness peaks may cause micro-pitting, surface distress, scuffing or other irreversible wear processes. The surface finish achieved during the manufacturing process significantly influences the risk. Means like super-finishing, surface plating or run-in at controlled power levels may be appropriate to reduce this risk. Wind turbine manufacturer, gear supplier and possibly wind turbine operator shall mutually select the processes under consideration of the actual geometry, manufacturing processes, stress levels, -ratio, slide velocities and operating modes of the wind turbine. The suitability of the selected means shall be documented e.g. by prototype testing. Operating and load conditions of a possible run-in shall be selected with care to avoid that initial damage is done to gears and bearings. Uncertainties of the wind make it unlikely to achieve proper run-in conditions during infield commissioning; therefore a possible run-in will typically be performed at the factory. The cleanliness of the lubricant shall be kept at or better than -/15/12 at stabilised conditions. High-efficient filter systems are required to reduce the time where the gearbox is running at cleanliness worse than -/15/12 Recommendations for an additional surface conditioning procedure may be taken from Annex D.
7.1.4
Functional tests in the factory The objective of the functional tests is to demonstrate that the prerequisites for the gearbox design are fulfilled. The extent of the tests shall always reflect the actual wind turbine and gearbox design and have to be agreed upon between the purchaser and the gearbox supplier. At least the following subjects have to be considered: Tooth contact pattern at the design point of tooth modifications shall be compared to the pattern predicted by calculation, with the geometrical parameter values of the prototype gearbox. It shall be born in mind that the tooth face load distribution and consequently the tooth contact pattern of serial produced gearboxes are influenced by the variation of geometrical parameters in accordance with manufacturing tolerances. Thus, deviations of the geometrical parameters in relation to those of the prototype shall be considered when comparing the serial produced gearboxes with the prototype gearbox. The geometrical parameters influencing face load distribution are such as journal diameters, bearing bore diameters, bearing clearances, bearing run-out, tooth alignment of teeth on gears and bearing bore alignment. Proper function of lubrication system including lubricant distribution, lubricant cleanliness and cooling capacity shall be demonstrated. Wear particle production and removal rate should be monitored by particle analysis upstream the filter during the functional tests. It shall be demonstrated that no leaks appear from the housing and through-going shafts in the entire range of operational conditions.
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Bearing and sump temperature shall be verified Sound emission measurement: Sound emission has to be measured. Test conditions incl. test method has to be specified. Methodology and acceptance criteria for calculation of pure tones shall be agreed between purchaser and manufacturer. Test conditions and acceptance level for sound emission shall be agreed between purchaser and manufacturer. It has to be agreed between purchaser and manufacturer how and where the sound emission shall be measured, e.g. from the gears in the gearbox, from the enclosure of the gearbox, or inside the nacelle when mounted in the wind turbine installation. Vibration measurement: Vibration measurements shall be performed at different spots of the gear housing with following objectives: Judge the structure-born noise transmission from the gearbox into the wind turbine structure: Typical measurement positions and directions for this purpose will be close to the linking points between gearbox and wind turbine, for example at gear stays or on in- and outgoing shafts. Quality assurance for production consistency of the gearboxes: Measurements positions and -directions for this purpose shall preferably have a high response to production tolerances, and the measurements on these spots are not necessarily relevant for noise emission of the wind turbine. The prototype test shall evaluate a number of spots for this purpose, from which the most suitable shall be defined as check points in serial production.
Check for structural resonances of the gear housing for the main excitation frequencies Test conditions, measurement methods, evaluation criteria and acceptance levels for each measurement spot shall be agreed between purchaser and manufacturer. The vibrations levels measured on the prototype gearbox in the workshop shall be verified in the prototype wind turbine, and compared to the sound emission of the wind turbine. Acceptance limits for serial production shall be defined from this comparison.
If some operational conditions are not practical obtainable during tests in the factory, additional tests shall be conducted in the field. 7.1.5 Dismantling and examination of gear unit After completing the specified tests the entire gearbox shall be dismantled and the components examined. The results shall be documented in a report. Functional tests after installation The objectives of functional tests after installation are partly to verify and complete the tests in the factory and partly to conduct tests, which could not be carried out in actual test setup. Functional tests after installation shall at least comprise the following: Rinsing Verifying that temperature rise for bearings and sump correspond to the prerequisites. Verifying the function of lubricating system corresponds to the prerequisites. Verifying noise- and vibration levels correspond to the prerequisites. Controlling the tightness of the gearbox.
7.1.6
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7.2 Acceptance tests of the mass-produced units The objective of an acceptance test in serial production is to ensure compliance of massproduced units with the design specifications. As the acceptance test may not cover the entire design duty cycle, comparison between the prototype and the mass-produced units may be used to demonstrate this. An acceptance test shall be conducted for each gearbox unit. Extent of the acceptance test shall be agreed between the purchaser and the gearbox supplier. The test of mass produced units shall at least include: Rinsing Additional surface conditioning (see also 7.1.3) Functional tests according to section 7.1.4 Documentation of the test activities
7.3 Documentation of tests All tests shall be specified in a test plan. All test results and incidents shall be reported. All records shall be kept for a period agreed upon of the purchaser and the gearbox supplier. 7.4 Symbols for section 7 including annex D. hmin ke r pmax u Dx Dy E E` F G H Hmin P P Rx Ry Rz Ra Rq Sbi Sci Svi U W r max 0 Section 7, August 2002 Minimum oil film thickness Ellipticity parameter Dy/Dx Radius of curvature (convex surfaces positive curvature) Max. contact pressure Surface velocity in direction of motion (ua + ub)/2 Elliptical contact diameter in x-direction (direction of motion) Elliptical contact diameter in y-direction (transverse direction) Elliptic integral of second kind Effective elastic modulus, 2/[((1-a2)/Ea) + (1- b2)/Eb)] Elliptic integral of first kind Dimensionless material parameter Dimensionless film thickness Min. dimensionless film thickness Applied load Applied load per unit contact width Effective radius in x-direction (motion) Effective radius in y-direction (transverse) Mean peak-to-valley roughness Mean arithmetic roughness Root-mean-square deviation of the surface Surface bearing index Core fluid retention index Valley fluid retention index Dimensionless speed parameter Dimensionless load parameter Pressure-Viscosity coefficient of lubricant Radius ratio Ry/Rx Max. deformation Specific oil film thickness ratio = hmin/( R2q, a+R2q, b)1/2 Dynamic viscosity of lubricant at atmospheric pressure [m] [-] [m] [MPa] [m/sec.] [m] [m] [-] [MPa] [-] [-] [-] [-] [N] [N/m] [m] [m] [m] [m] [m] [-] [-] [-] [-] [-] [m2/N] [-] [m] [-] [Pasec]
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Subscripts: a b x y z
Poissons ratio
[-]
Solid a Solid b Coordinate in x-direction (direction of motion) Coordinate in y-direction (transverse direction) Coordinate in direction of film thickness
7.5 References to section 7, including annex D. [7.1] Klaus Michaelis: Gear Failures Definitions, Influence Factors, Rating Methods, Examples [7.2] A.V. Olver: Micro pitting and asperity deformation [7.3] A.V. Olver: Micro pitting of Gear Teeth: Design Solutions. [7.4] Stout et al: The development of methods for the characterisation of roughness in three dimensions. [7.5] B. O. Jacobson: Rheology and Elastohydrodynamic Lubrication, Tribology Series, 19, Elsevier Science Publishers B.V., 1991. [7.6] Bernard J. Hamrock, Bo Jacobson and Steven R. Schmid: Fundamentals of Machine Elements, WCB/McGraw-Hill, 1999.
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Annex A to Section 2 of "Gearboxes" Determination of gear loads (informative)

A 1.Wind regimes The winds regime is normally of minor interest for the gearbox manufacturer, but of crucial importance for the wind turbine manufacturer as basis for the load calculations. Information is given in e.g. DS 472 and IEC 61400 -1 [2.8 2.12]. A 2.Fatigue load sources Driving torque related contributions: The driving torque is the main contribution to fatigue loading of the wind turbine gearbox. The torque related fatigue loads are divided in two types: 1.Fatigue load generated by torque and rotation of transmission parts 2.Fatigue load generated by torque variations The first type is taken into account by the application of a torque load duration distribution spectrum. (LDD-spectrum). This spectrum, related to the rotor shaft or gearbox input shaft, shows torque levels and the corresponding duration of each load level. The duration may be applied in terms of hours or preferable in number of revolutions. The second type is taken into account by the application of a torque load cycle spectrum (RFC-spectrum). This spectrum is determined by the rain flow counting method, which supplies a number of torque load ranges with the corresponding number of occurrences (cycles). For fatigue analysis where the mean stress is of major significance the influence of the mean value of the torque load ranges shall be considered. Bending moment related contributions: Depending on the wind turbine configuration bending moments on the main shaft may contribute to fatigue loading. As by the torque related fatigue loads, the bending moment related fatigue loads are divided in two types: a. Fatigue load generated by bending moment and rotation of transmission parts b. Fatigue load generated by bending moment variations An often-used design concept includes a main shaft rigidly coupled to a planet carrier in the way that the planet carrier bearings serve as the rear bearing of the main shaft (semi integrated gearbox). In this case the bending load is absorbed by the planet carrier bearings and transmitted to the gear housing and machine frame. The bending causes both normal stresses and shear stresses in shaft, coupling and planet carrier, and depending on the design, stresses in the housing and connected components. In such cases, a load history of the moments acting on the main shaft shall be established. The main contributions are the moments caused by aerodynamic forces on the rotor blades, traditionally represented by the moments MX and MZ. Magnitude and direction of the resultant moment varies stochastic with time, yet the average magnitude increases with e.g. wind speed, turbulence and yaw error. The bending load contribution of type "a" is taken into account by the application of a load duration spectrum (LDD-spectrum). This spectrum, related to the rotor shaft or gearbox input shaft, shows bending moment levels and the corresponding duration of each load level. The bending moments caused by the gravity forces on relevant components shall be included.
Annex A, October 2002
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For bending load of type "b" a fatigue load cycle spectrum (RFC-spectrum) is applied. This spectrum is determined by the rain flow counting method, which supplies a number of bending moment ranges with the corresponding number of occurrences (cycles). For fatigue analysis where the mean stress is of major significance the mean value of the bending moment ranges shall be considered. The influence of gravity forces shall be included . A 2.1 Fatigue load generated by rotation and torque Regarding gear teeth, bearings and shafts, these elements are subjected to fatigue influence even by a gearbox operating with constant torque, solely caused by the rotation of the gearbox shafts. Looking on a gear tooth, it experiences a load cycle comprising a non-load state interrupted by a relative short duration of load when the tooth is in contact with a tooth of the mating gear. These tooth force pulses contribute to fatigue stresses in gear flank and foot. The contributions to fatigue damage depend on the tooth force levels and the corresponding number of pulse cycles. Tooth force levels and cycle number are calculated from the LDD-spectrum taking gear ratios and number of meshes of the actual gear in consideration. Looking on the rolling bearings, a specific location on inner ring, rolling elements (balls or rollers) or outer ring experiences a varying stress due to rotation as the place of contact between the bearing elements changes. The bearing force levels and the corresponding number of load pulse cycles influence the obtainable lifetime. The number of load cycles is taken into regard by the number of revolutions. Bearing forces due to tooth forces and number of revolutions are calculated from the LDDspectrum. To these torque related bearing forces should be vector added gravity forces acting on gears and shaft, thus creating a bearing force spectrum. The importance of taking this in consideration is growing with growing gear size. Unevenly angular distributed brake callipers cause forces on the bearings of the brake disc shaft, commonly the high- speed shaft. Also bearing forces caused by misalignment of couplings occur, as the constant bearing force direction is dependent of the misalignment direction. The contributions should be taken in consideration by vector addition with other bearing force contributions and be reflected in the bearing force spectrum. Both for gears and bearings torque variations within the time of contact are neglected by lifetime calculations, including calculations of safeties SH and SF, as the pulse duration is short and the stress variation contribution of the on/off load is far higher than that of the torque variation. On the contrary tooth couplings experiences the whole load history. Regarding the gearbox shafts, they are subjected to bending and torsion and according to that a certain location is subjected to normal stresses and shear stresses. The normal stress varies sinusoidal (+/) with the shaft rotation. For normal stresses the torque LDD spectrum is applied Examples of calculations based on the torque LDD-spectrum: tooth strength bearing rating life loads due to misalignments and unbalance loads due to unsymmetrical braking forces A 2.2 Fatigue load generated by torque variations Examples of calculations based on the torque RFC-spectrum: torque related shear stresses of shafts Annex A, October 2002 page 50 of 96
torque related stresses at key-ways and tooth couplings torque related stresses in planet carriers bending and shear stresses of planet pivots stresses in torque stays and their connections stresses in housings and machine frame (bed plate) A 2.3 Fatigue load generated by bending moment and rotation Actual for the bearings supporting the main shaft by semi integrated gearboxes (as in the formerly mentioned example) and for integrated gearboxes by which the main shaft as a whole is supported by the gearbox. The bending moment LDD-spectrum is applied to determine the bearing force levels and the number of cycles of each level. The variations of bearing force and direction within the duration of rolling element contact are neglected. A 2.4 Fatigue load generated by bending moment variations By the semi integrated gearbox the moment variations lead to varying longitudinal shear stresses at the fitting surfaces of the shaft coupling and varying stresses in the planet carrier, the gear housing and its connections. The stresses are determined from the bending moment RFC-spectrum. A 2.5 Combined fatigue load Looking on a gearbox shaft, subjected to bending and torsion, the variations of the bending related stresses (normal and shear) and the shear stresses due to torsion are not correlated, neither concerning frequency or magnitude. Consequently, the time history of the combined stress (e.g. according to von Mises) cannot be predicted from the LDD-spectrum and the RFC-spectrum. As the stress level in a gearbox shaft especially for the shear stress component usually is rather low, some conservative assumptions often are sufficient. Yet, special attention shall be paid to sharp-edged keyways and similar. Looking on the planet carrier of the semi-integrated concept it is exposed to stress contributions in accordance with both spectrum types. Again it may be necessary to make conservative assumptions. Using a simulation method a time history of the resultant stress of the contributions at a certain location of a gearbox element is possible. This demands special computer programming taking into regard the construction of the actual gearbox. When such a method is applied it is important to evaluate whether other loads than forces from the rotor contributes to damage. Also bearings may be subjected to load according to more spectra. A gearbox may be constructed in the way that the input shaft serves as main shaft, i.e. carries the rotor (fully integrated). In this case the input shaft bearings are loaded in radial direction from the bending moment on the rotor in accordance with the LDD-spectrum. One of the bearings (not considering cross located taper roller bearings) is axially loaded from the rotor thrust, varying rather independent of the bending moment and the driving torque. Provided the first gear stage is formed as two gears in mesh, the tangential (to base circle) and axial tooth forces cause bearing force contributions in accordance with the RFC-spectrum. Thus, the bearings are loaded according to three or four independent time histories. A time history established by simulation of the resultant bearing load would be preferable for the bearing lifetime calculations. Alternatively some conservative assumptions can be made. A 2.6 Load spectra arrangements Each load spectrum shall include all contributions to fatigue load relevant for the spectrum. Annex A, October 2002 page 51 of 96
The torque LDD-spectrum is related to the wind turbine main shaft, the reference shaft. The spectrum shall be presented in tabular form, listing classes of torque level and the corresponding number of revolutions. The torque levels should be listed in order of falling magnitude and the specified torque level of each class shall represent the upper limit of the absolute torque values placed in the class. Most often a constant load level difference from a bin to the next is applied. As the torque variation is presented by upper limits a larger number of bins implies higher calculated safeties and lifetimes. To avoid excessive conservatism a sufficient quantity of bins (not less than 40) shall be used. A finer torque resolution at the highest load levels is preferred. For a gear in rotational sense rigidly connected with the input shaft some teeth may experience a higher load than average. If the first stage is a planetary stage the same may happen for some teeth of the annulus gear. In these cases, a special LDD-spectrum shall be applied for the gear durability calculation. More about this in 2.5.4, Periodic loads. The torque RFC-spectrum related to main shaft, the bending moment LDD-spectrum and the bending moment RFC-spectrum shall be arranged in a similar way as the torque LDD-spectrum For wind turbines operating with variable speed the rotational velocities shall be listed together with the torques of the LDD-spectrum, as velocity is significant for bearing and gear calculations (Zv) as well. A 3. Load cases The load cases stated below should be considered as a minimum for a conventional wind turbine configuration. Other wind turbine configurations and different controland safety strategy may require additional load cases. It should be pointed out that table A1- A2 are established according to DS 472 and with special reference to gearbox loads and are not necessarily adequate for the wind turbine as a whole.
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Normal load cases
Normal load cases are defined as loads occurring at normal environmental conditions climate and normal operational conditions.
DLC Design situation Environmental conditions, wind conditions At defined wind speed distribution for interval Vcut int Vshut down Normal turbulence incl. turbulence in wind farms Vcut in, Vnom, Vshut down Normal turbulence incl. turbulence in wind farms At specified wind speed Normal turbulence incl. turbulence in wind farms Operational conditions Normal yaw error Other conditions Load specification Load components3) My MRx, i MRz, i FRx, i FRy, i FRz, i My MRx, i MRz, i FRx, i FRy, i FRz, i My MRx, i MRz, i FRx, i FRy, i FRz, i My MRx, i MRz, i FRx, i FRy, i FRz, i Type of analysis 4) F
N1
Power production
Including periodic loads and gravitational loads
LDD-spectrum RFC-spectrum
N2
Cut in/shut down
Normal yaw error
Numbers of events1) + time history Extreme load matrix
N3
Generator changeover
Normal yaw error
Numbers of events2) + time history Extreme load matrix
N4
Parked or controlled idling
Vhub < Vcut in Vhub > Vshut down According to defined wind speed distribution. Normal turbulence incl. turbulence in wind farms
Normal yaw error
LDD-spectrum RFC-spectrum Extreme load matrix
Table A 1 Normal load cases
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Extraordinary load cases Extraordinary load cases are defined as loads occurring at normal environmental conditions and extraordinary operational conditions or at extraordinary environmental conditions and normal operational conditions. Further more should extraordinary operational conditions be combined with extraordinary environmental conditions if the extraordinary operational condition is a consequence of the extraordinary environmental conditions.
DLC Design situation Environmental conditions Wind conditions Extreme wind direction shift (0- 90 in 30 sec.) and wind speed change (Vhub=10-25 m/sec. in 30 sec.) Vhub = 0.5Vext (10 min. average) Operational conditions Normal (meaning WTG operating within its specification without faults) Most unfavourable yaw error. Other conditions Load specification Extreme load matrix Load components3) My MRx, i MRz, i FRx, i FRy, i FRz, i My MRx, i MRz, i FRx, i FRy, i FRz, i My MRx, i MRz, i FRx, i FRy, i FRz, i My MRx, i MRz, i FRx, i FRy, i FRz, i My MRx, i MRz, i Type of analysis4) U
E1
Power production
E2
Extreme wind speed idling
E3
Extreme wind speed parked
Vext (10 min. average)
Most unfavourable yaw error.
Including periodic loads and gravitational loads Electrical grid loss shall be considered Electrical grid loss shall be considered.
LDD-spectrum7) RFC-spectrum7)
Extreme load matrix
E4
Power production
Vcut out
Vcut in < Vhub < Vcut out
Fault in yaw system, most unfavourable yaw error/backwind situation Fault in pitch system, most unfavourable
E5
Power production
Vcut out
Including periodic loads and gravitational loads. Electrical grid loss shall be considered Including periodic loads and gravitational
Extreme load matrix LDD spectrum5) RFC spectrum5)
Extreme load
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pitch angel
E6
Power production
Vcut out
Fault in airbrake system, most unfavourable situation
E7
Power production
Vshut down
Fault in mechanical brake system
E8
Emergency shut down
. 1.3Vshut down
Faults: e.g. Over speed Vibrations etc
loads. Electrical grid loss shall be considered Including periodic loads and gravitational loads. Electrical grid loss shall be considered Including periodic loads and gravitational loads. Electrical grid loss shall be considered Including periodic loads and gravitational loads. Extreme load To be specified To be specified Individual specifications depending on Type test program. Multiple faults. Normally not required.
LDD-spectrum6)
FRx, i FRy, i FRz, i My MRx, i MRz, i FRx, i FRy, i FRz, i My MRx, i MRz, i FRx, i FRy, i FRz, i FRy, i FRz, i MRz, i FRx, i My MRx, i To be defined To be defined My MRx, i MRz, i FRx, i FRy, i FRz, i My MRx, i MRz, i FRx, i FRy, i FRz, i
Extreme load matrix LDD-spectrum7) RFC-spectrum7)
Extreme load matrix
Extreme load matrix
E9 E10 E11
Transport Erection Type tests
To be specified. Max. wind speed has to be stated. According to regulations for type tests.
Individual specifications depending on Type test program. -
Extreme load Extreme load Extreme load
U U U
E12
Accident
Extreme load
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E13
Transport
To be specified.
To be specified
Extreme load
To be defined
Table A 2 Extraordinary load cases
According to DS 472:
1) 2000 low wind cut in and 2000 shut down pr. year. 50 high wind cut in and 50 shut down pr. year. 2) 700 change over from small generator to large generator per. year and 700 from large generator to small generator pr. year. 3) Are dependent of wind turbine configurations. See symbols and definition of system axes figure A 3. 4) F denotes strength analysis against fatigue failure and U denotes strength analysis against ultimate limit state 5) If proper operation of yaw system is not monitored, LDD for 50 hours shall be used 6) If proper operation of pitch system is not monitored, LDD for 200 hours shall be used 7) Duration 50 hours
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zblade yblade xblade
Zrotor Yrotor Xrotor
ztower ytower xtower
Figure A 3 Definition of the system axes for a horizontal axis wind turbine according to DS 472.
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Figure A 4 Example of drive train configuration, with gearbox interfaces 1 4 (red)
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Figure A 5 Example of time history for el. power at normal operational conditions at 10.1 14.4 and 19.3 m/sec.
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Figure A 6 Example of time history for a transient load event (shut down with mechanical brake)
Figure A 7 Example of calculated (-) and measured (--) time history for periodic load (power versus rotor azimuth position)
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Annex B to Section 3 of "Gearboxes" Calculation of rolling bearings (informative)

The most difficult issue of the method to determine reference life Lnr and modified reference life Lnmr is to determine rate and nature of the contamination of the lubricant. The influence from contamination is a function of several factors e.g. size of particles, their hardness, probability of particles coming into the rolling zone, fatigue strength of bearing material, load, bearing size, gearbox design and mounting. A number of these influence factors are taken into account by the contamination factor eC An accurate determination of eC calls for a complicated microscopic investigation of the lubricant. However, with some assumptions concerning the hardness and shape of the particles of the contamination one can for normal wind turbine applications determine eC on basis of bearing mean diameter dm, viscosity ratio and cleanliness class according to ISO 4406. B 1. Selection of contamination factor eC. eC is a factor accounting for contamination in the lubrication. It is shown from fatigue tests that eC under certain assumptions can be determined as a function of the lubricant cleanliness defined from ISO 4406, viscosity ratio and the bearing mean diameter dm. The assumptions are: - No initial damage in the raceways or rolling elements - The assumed lubricant cleanliness is kept during the total service life - Only hard inorganic particles are considered - No corrosive or other detrimental effects are present Interpretation of the ISO code 4406 is described in annex C. The viscosity ratio is defined as: = /1 The viscosity of the actual lubricant is determined at the temperature of the lubricant in the bearing. Required viscosity 1 is the required viscosity to achieve full hydrodynamic lubrication condition, which may be calculated from following equations (specific mass = 890 kg/m3): 1 = 45000 nr-0,83 dm-0,5 for nr < 1000 rpm 1 = 4500 nr-0,5 dm-0,5 for nr 1000 rpm where nr given in rpm, dm given in mm, and 1 given in mm2/sec. For other specific masses we have: = /1 (/890)0.83 The mean bearing diameter dm is defined as: dm = (D+d)/2 For mean diameters between the diameters of two curves in fig. B-1 to B-9 one can interpolate linearly between two mean diameters dm.
Annex B, November 2004
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Fig. B-1 Contamination factor for oil lubrication with filter ISO -/13/10, 6 = 200
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Fig. B-5 Contamination factor for oil lubrication without filter ISO -/13/10
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B 2. Determination of life factor aDIN
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From ref. [3.19] we have: ADIN = f ((eCCur)/Pr, ) where Cur is the fatigue load limit given in the bearing manufacturers catalogues. Pr is the equivalent radial dynamic load at constant conditions: P r = V Fr X + F a Y
B2.1 Life factor for radial roller bearings: aDIN = 0.1 [1-(1.58592- 1.39926/0.0543806) (eCCu/P)0.4]-9.185 aDIN = 0.1 [1-(1.58592- 1.23477/0.190870) (eCCu/P)0.4]-9.185 aDIN = 0.1 [1-(1.58592- 1.39926/0.0717391) (eCCu/P)0.4]-9.185 for 0.1 < 0.4 for 0.4 < 1 for 1 4
B2.2 Life factor for radial ball bearings: aDIN = 0.1 [1-(2.56705- 2.26492/0.0543806)0.83 (eCCu/P)0..333]-9.3 aDIN = 0.1 [1-(2.56705- 1.99866/0.190870)0.83 (eCCu/P)0.333]-9.3 aDIN = 0.1 [1-(2.56705- 1.99866/0.0717391)0.83 (eCCu/P)0.333]-9.3 for 0.1 < 0.4 for 0.4 < 1 for 1 4
B2.3 Life factor for axial roller bearings: aDIN = 0.1 [1-(1.58592- 1.39926/0.0543806) (eCCu/2.5 P)0.4]-9.185 aDIN = 0.1 [1-(1.58592- 1.23477/0.190870) (eCCu/2.5 P)0.4]-9.185 aDIN = 0.1 [1-(1.58592- 1.39926/0.0717391) (eCCu/2.5 P)0.4]-9.185 for 0.1 < 0.4 for 0.4 < 1 for 1 4
B2.4 Life factor for axial ball bearings: aDIN = 0.1 [1-(2.56705- 2.26492/0.0543806)0.83 (eCCu/3 P)0..333]-9.3 aDIN = 0.1 [1-(2.56705- 1.99866/0.190870)0.83 (eCCu/3 P)0.333]-9.3 aDIN = 0.1 [1-(2.56705- 1.99866/0.0717391)0.83 (eCCu/3 P)0.333]-9.3 for 0.1 < 0.4 for 0.4 < 1 for 1 4
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Annex C to Section 4 of "Gearboxes" Lubrication (informative)

The contents in this annex C is based on the text in ANSI/AGMA/AWEA 6006-A03 annex G, working draft. C 1. Laboratory analysis C 1.1 Viscosity In the standard test, the time is measured for a fixed volume of liquid to flow under gravity through the capillary of a calibrated viscometer under a reproducible driving head and at a known and closely controlled temperature. The kinematic viscosity is the product of the measured flow time and the calibration constant of the viscometer. DS/EN ISO 3104 will apply. From the viscosity measured at two temperatures, normally 40 and 100, the viscosity index can be calculated. ISO 2909 will apply. The viscosity index characterizes the variation of the viscosity of a petroleum product with the temperature. In the wind turbine context a high index is desirable because it indicates a relatively small change of viscosity of the lubricant with the temperature, i.e. good starting properties and still sufficient lubricating capability at high temperature. An increase in viscosity for a mineral or PAO of a lubricant over that of fresh oil can be caused by oxidation or by contamination by dirt or water. A decrease in viscosity is unusual, but it can be caused by contamination with a solvent or a lower viscosity fluid. For ester lubricants a decrease in viscosity is normally related to a degradation of the lubricant by hydrolysis. The lubricant viscosity increases exponentially with increasing pressure. That increase is necessary for gear and rolling bearing lubrication. Normal lubricating oils have pressure viscosity coefficients in the interval 10-8 to 410-8 1/Pa, and the oil film thickness is proportional to the square root of the pressure viscosity coefficient. Water gives an extremely thin film buildup due top its low pressure-viscosity coefficient. C 1.2 Total acid number The standard test for total acid number (TAN) is ISO/AWI 6619. The test uses potassium hydroxide (KOH) to neutralise the acid constituents in the lubricant. It yields a single number that represents the amount of KOH used for a given sample of lubricant in units of milligrams of KOH per gram of lubricant. When tested, most new, unused lubricants will have an acid number because the KOH reacts with the additives in the lubricant. Depending on the additive package, the new lubricant baseline TAN can vary widely. Therefore new lubricant should be tested to establish a baseline TAN. The TAN is a measure of the acidity of an oil sample. The higher the TAN, the more acidic constituents are present. The acids usually form when high temperature causes the oil to oxidize. The oxidation may be promoted by contaminants such as water, or debris such as iron and copper, that acts as catalysts. Oxidation is detrimental because it may increase the viscosity, cause residues and sludge, and create acids that promote corrosion. C 1.3 Water content Elevated water contents in the lubricant will cause reduced service life of both lubrication and components in the gearbox. The following effects are observed with elevated levels of water in the lubricant. Degrades the lubricant: - precipitates additives - promotes foaming - promotes oxidation - impairs lubricant film
Annex C, January 2004
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Degrades non-metallic components: - causes seal hardening - causes paint peeling - causes some plastics to swell or shrink Causes corrosion: - combines with sulphur to form sulphuric acid - causes rust particles that lead to abrasive wear and act as oxidation catalyst Promotes metal fatigue: - rust etch pits may initiate fatigue cracks - causes hydrogen embrittlement that promotes propagation of fatigue cracks Only the Karl Fischer titration method (ASTM D1744) possesses the necessary accuracy and sensibility. In some lubricant types with high contents of additives these additives may react with the Karl Fischer reagent and cause a false result. In that case the water has to be removed before the analysis. C 1.4 Spectrochemical analysis This test detects microscopic particles in an oil sample. The typical spectrometer is capable of identifying about 20 metals, the source of which may be wear debris, contaminants or inorganic additives in the lubricant. Knowing the type and quantity of metals can help diagnosing wear problems or disclose sources of contamination. Spectrochemical analyses are rapid and inexpensive. The oil sample is burnt and the light emitted is separated by diffraction into distinct wavelengths. Because each metal has its own characteristic wavelength, specific metals in the oil sample can be identified.
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Element Aluminium Antimony Arsenic Barium Bismuth Boron Cadmium Calcium Chromium Copper Indium Iron Lead Magnesium Manganese Molybdenum Nickel Phosphorous Potassium Silicon Sodium Tin Titanium Vanadium Zinc
Symbol Al Sb As Ba Bi B Cd Ca Cr Cu In Fe Pb Mg Mn Mo Ni P K Si Na Sn Ti V Zn
Typical source Dirt, labyrinth seal Bearings, grease Bearings Water, grease Bearings, additives Additives Bearings, plating Additives, water, grease, dirt Gears, shafts Cages bearings Solder Gears, shafts, rust, water Bearing, grease, paint, additives Dirt, additives Gears, shafts Gears, shafts, additives Gears, shafts Additives Dirt Additives, dirt, sealants Additives, dirt, grease Bearings, solder, coolers Paint, dirt Additives
Table C-1 Inorganic material in lubricant Emission spectroscopy works well for detecting metal particles up to 5-10 m. It will not detect particles greater than about 10 m, because it is incapable of completely and consistently burning larger particles. Therefore it readily detects particles from mild wear, polishing and micropitting because wear debris from these wear modes are within the detectable range. However failure modes such as severe abrasion, macropitting or scuffing usually generates particles that are larger than 10 m. In such cases, ferrography, particle counting or analysis with the Wear Particle Analyser may be superior monitoring techniques. Spectroscopy does not distinguish between particles of free metal and particles of metal oxides or other compounds of metal. For example rust particles may show up as increased iron content, but spectroscopy cannot identify whether the iron is in form of wear debris, iron oxide, iron sulphide, or rust. High contents of silicon or aluminium may indicate contaminants such as sand, dust or dirt. However there are other sources for silicon such as silicone antifoam additives or silicone gasket sealants. It is therefore important to analyse samples of fresh oil from new oil drums to establish a baseline level of silicon to help distinguish between contaminants and lubricant additives. It is helpful to plot the results of spectrochemical analyses over time. The graphs will indicate the normal test variability and will help one to follow any trends in test results. An accelerating wear problem is most easily predicted from a trend line that is increasing.
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C 1.5
Automatic particle counting Particle counters monitor the number of particles of a given size range in a given lubricant sample. A common method for determination of lubricant cleanliness, detects all particles regardless of their composition and is capable of detecting particles in the range of 4- 100m. Particle counters are either of the light-interruption type or the laser scanning type. Either method provides analyses that are rapid and inexpensive. Light-interruption particle counters flow the lubricant through a small passage while a light beam scans the oil through a window. Particles in the lubricant that are within a set size range momentarily interrupt the light beam. The output from a detector that senses the interruption of the light beam is related to the time of interruption and hence the size of the particle. Laser-scanning particle counters operate on a principle that is similar to that of the lightinterruption type, except the oil sample remains stationary in a clear glass container while it is scanned by a revolving laser beam. The range of the particle size is selectable, i.e. as it is the case with the light-interruption method. Limitations of automatic particle counting: While particle counting detects all particles, it gives no information on the shape or the composition of the particles. It is susceptible to incorrect counts caused by mistakenly counting bubbles of air or water. For accurate results, the oil sample should be well agitated to produce a uniform suspension of particulates, and the concentration of particles should be low enough to avoid counting two or more particles as one. ISO solid contamination code The ISO Solid Contamination code, ISO 4406 1999 is used. The difference between the 1999 edition and the 1987 edition is that the new introduces a three part code for levels measured with automatic particles counters calibrated in accordance with ISO 11 171. The particle sizes to be reported for measurements by using a microscope, 5m and 15m are unchanged from those specified in ISO 4406:1987. The code for contamination levels using automatic particle counters comprises three scale numbers, which permit the differentiation of the dimension and the distribution of the particles as follows: - the fist scale number represents the number of particles equal to or larger than 4m per millilitre of fluid. - the second scale number represents the number of particles equal to or larger than 6m per millilitre of fluid. - the third scale number represents the number of particles equal to or larger than 14m per millilitre of fluid The code for microscope counting comprises two scale numbers using 5m and15m.
C 1.6
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Number of particles per millilitre More than Up to and including 2 500 000 2 500 000 1 300 000 1 300 000 640 000 640 000 320 000 320 000 160 000 160 000 80 000 80 000 40 000 40 000 20 000 20 000 10 000 10 000 5 000 5 000 2 500 2 500 1 300 1 300 640 640 320 320 160 160 80 80 40 40 20 20 10 10 5 5 2.5 2,5 1.3 Table C-2 Allocation of scale numbers ISO 4406
Scale number >28 28 27 26 25 24 23 22 21 20 19 18 17 16 15 14 13 12 11 10 9 8
C 1.7
Ferro graphic analysis Ferro graphic analysis separates wear debris and contaminants from a lubricant sample by magnetic precipitation. It is capable of precipitating particles that range from less than 1m to greater than 200 m. Ferrography provides two types of analysis, a relatively inexpensive direct-reading (DR) Ferro graph, and a more expensive analytic Ferro graph. In the DR Ferro graph, a diluted sample of the lubricant is siphoned through a precipitation tube that resides in a powerful magnetic field. The combination of magnetic force and the viscous forces exerted by the lubricant causes the particles to be separated according to size. The larger particles (>5m) are deposited first, near the entry of the tube then the smaller particles (1-2m) deposit father down the tube. Two light beams pass through the precipitation tube, one at the entry deposit and one several mm farther down the tube where small particles deposit. Light attenuation at the two locations along the tube is used to quantify the relative amount of large to small particles. The results are reported as two scalar readings, direct large (DL) and direct small (DS). In the analytical Ferro graph, a diluted sample of the lubricant is pumped across a microscope slide that is mounted at an angle above a magnet so that the field varies along the length of the slide. The particles are subjected to a continuously increasing magnetic force as they flow along the slide. Consequently the particles precipitate distributed according to size, along a narrow band about 50mm long. Ferrous particles line up in strings that follow the magnetic lines. Nonferrous particles and contaminants travel down the field in a random pattern. The slide is washed with a fixative that washes away the oil, locks the particles in place, and floats away other material. The Ferro gram (slide upon which particles have been deposited) is examined in a bichromatic microscope equipped with a camera. The microscope uses both transmitted green
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light projected from the bottom of the Ferro gram and red light reflected from the top of the Ferro gram to distinguish the size, shape, texture and composition of both metallic and nonmetallic particles. The particles have characteristics that help determine the wear mechanism and identify the sources of the particles. C 1.8 Characteristics of particles Wear particles Flat platelets < 15 thick < 1 mm long. Found in lubricants of all machines, and are indicators of normal wear. Generally >15 with length/thickness ratio between 5 and 30. Surfaces have parallel striations and may have temper colours. That is evident of severe sliding. Long, curled chips resembling lathe cuttings. They are evidence of abrasive wear. May be caused by contamination of lubricant by hard sharp-edged particles. Generally > 5 with length/thickness ratio < 5. Surfaces are rough and particles are shaped like chunks of coal, rather than platelets. Thin, bright particles often with holes in their surfaces and edges that are split. Length/thickness ratio > 30. Typical of gear and rolling-bearing wear particles that pass between contacting surfaces. Generally < 15 diameter with smooth surfaces. They are a precursor to rolling- bearing fatigue failure.
Rubbing Slidin g Cutting
Fatigue
Laminar
Spherical
Table C-3 Wear particles
Red oxide
Dark metal oxide
Black oxide
Corrosion
Ferrous oxides Red/orange particles magnetically aligned. Appear thick, rounded and translucent. they are severe sliding wear particles that have oxidised. Resemble red oxide sliding wear particles, except they are not translucent. Often show flecks of free metal on their surfaces. They are caused by heat and may be evidence of lubricant starvation or severe wear. Dark grey/black particles magnetically aligned. Shaped like pebbles. They are evidence of inadequate lubrication and represent a more severe condition than red oxide particles. Fine deposit of < 1 size particles at the exit of ferrogram. They are formed by corrosive attack of metal surfaces and depletion of lubricant additives
Table C-4 Ferrous oxides
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Friction polymer Sand/Dirt Fibres
Spheres Other
Contaminants Amorphous, translucent material of no particular size. Indicates lubricant polymerisation under extreme conditions. Generally > 5 crystalline particles, not magnetically aligned. Translucent, fibrous particles not magnetically aligned. Typical fibres include hair, cotton, wood, glass, minerals, nylon and cellulose. Generally > 5 with rough surfaces. May be contaminants from grinding, welding or shot blasting. Contaminants such as paper, paint, varnish, glue, gasket or seal material, or lubricant additives such as molybdenum disulfide or graphite.
Table C-5 Contaminants C 1.9 Wear particle analyser In the wear particle analyser, a diluted sample of lubricant is drawn through a filter that is in a strong magnetic field. The filter has a matrix of fine ferromagnetic fibres that become magnetized in the magnetic field. The fibres capture particles magnetically, and physically capture particles larger than the spacing between the fibres. A flux sensor determines the changes in the magnetic field due to presence of particles, and displays the magnetic equivalent of the captured particles in micrograms of iron metal. The reading known as the magnetic iron content (MIC) is independent of particle size. The wear particle analyser is capable of capturing particles of 1m and larger with a efficiency of 95% or greater. The filter can be back washed with solvent to recover the particles for microscopic examination and other diagnostic analyses.
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Annex D. to Section 7 of "Gearboxes" Run-in methodology (informative)

D 1. Run-in methodology The objective of run-in is to reduce the surface roughness height and increase the roughness tip radius of curvature of all metal mating surfaces before full load is applied. The numbers of load levels and load cycles shall be enough to keep the micro contact pressure at the asperities below approximately 4 GPa during the entire run-in due to avoid plastic deformations. As the loads in operation in the field are difficult to predict, a safe and reproducible run-in is only possible in the factory. To get a successful run-in of surfaces, the high tops in the surface roughness structure have to be worn down by a mild wear process. The wear particles formed must thus be much smaller than the height of the roughness asperities. If the wear particles formed are of the same size or larger than the roughness height, the surfaces will not run-in, but remain rough and have a rapid wear. The contact pressure between an asperity top and the opposite surface is mainly a function of how steep the asperity slope is, not so much how large the load is, but the load determines how many asperities are in contact and over how large an area it takes place. An increasing load also increases the part of the load carried by asperity contacts. To make sure that the running-in is stable, the load in the beginning has to be very low, preferably only a few percent of the maximum load. If the running in load is 5% of the maximum load, the oil film thickness is 25% larger in a ball bearing and 40% larger in a roller bearing or a gear contact compared with the oil film thickness at maximum load. The over all size of the contacts are increasing when the load increases, so different parts of the surfaces are running-in at different loads. An increasing load thus increases the running-in of the central parts of the contact at the same time as it makes new parts of the surface start running in. The specific oil film thickness ratio is a key factor to estimate the lubrication regime and access the severity of asperity contacts. It is defined as the calculated oil film thickness divided by the composite root mean square surface roughness for the two co-operating surfaces. = hmin/( R2q, a+R2q, b)1/2 Normally 4 lubrication regimes are defined (rough estimates): 1. 2. 3. 4. Hydrodynamic lubrication (HL) Full-film elasto-hydrodynamic lubrication (EHL) Mixed-film EHL Boundary lubrication
Annex D, August 2002
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1. Hydrodynamic lubrication is generally characterized by developing a positive pressure because the bearing surfaces converge and their relative motion and the viscosity of the fluid separate the surfaces. The magnitude of the pressure developed (usually less than 5 MPa) is not generally enough to cause significant elastic deformation of the surfaces. 2. EHL occurs where the elastic deformations of the surfaces and the pressure-viscosity effects become significant. The maximum pressure is typically between 0.5 and 4 GPa. These conditions are dramatically different from 1. At loads normally experienced in nonconformal machine elements the elastic deformation are two orders of magnitude larger than the minimum film thickness. 3. If the pressure in EHL lubricated machine elements are too high or the running speeds are too low (start up), the lubricant film will be penetrated. Some contacts will take place between the asperities and mixed-film EHL will occur. The behaviour of the conjunction in a mixed-film EHL regime is governed by a combination of boundary and fluid film effects. It is important to recognize that the transition from full-film EHL to mixed-film EHL does not take place instantaneously as the severity of loading is increased, but rather a decreasing proportion of the load is carried by pressure within the fluid that fills the space between the opposing surfaces. As the load increases, the contact pressure between the asperities of the surfaces supports a larger part of the load. 4. Because in boundary lubrication the surfaces are not separated by the lubricant fluid film effects are negligible and there is considerable asperity contact. The contact lubrication mechanism is governed by the physical and chemical properties of a thin surface film of molecular proportions. The properties of the bulk lubricant are of minor importance, and the coefficient of friction is essentially independent of fluid viscosity. The frictional characteristics are determined by the properties of the solids and the lubricant film at the common interfaces. The coefficient of friction is highly dependent of the lubrication regime. The typical coefficient of friction generally increases with one order of magnitude going from one lubrication regime to the next regime meaning in total three orders of magnitude from hydrodynamic lubrication regime to unlubricated regime. A low value means severe asperity contact for rough surfaces, which may cause scuffing. On the other hand a too high value may cause excessive time consumption for, or even stop, the run-in. See typical values in table D1.
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Lubrication regime Full-film EHL Mixed-film EHL
Example
Boundary condition
Polished HS gear Polished or fine ground HS, INT, or LS gears Rough ground LS gears
Surface Roughness Ra (m) 0.2 0.2 0.6
Film thickness hc (m) 0.9 3.0 0.1 0.9
Specific film Thickness >3 0.1 - 3
0.8
< 0.1
< 0.1
Table D 1 Typical lubrication regimes for wind turbines A suitable range for will depend on the surface roughness at the start of the running in and the final value at normal operation. The contact load influences both the oil film thickness and the size of the Hertzian contact. It is clearly not possible to run-in the whole surface at one load level. To get the whole surface smoothened it is thus necessary to run it in at different loads. The degree of running in is guided by the overall oil film thickness, which is depending on the lubricant viscosity and surface speed. The thinner the lubricant film is, the smoother the surfaces will become by the runningin process. The running in should be done with such a low oil film thickness that the surfaces thereafter remain separated by a continuous oil film for all expected running conditions. For each set of running-in conditions (load, viscosity, speed) a certain run-in state is achieved after a certain number of cycles, after which only slight improvements of the surfaces occurs. This run-in state is only valid for the particular run-in conditions. To proceed the run-in, a new and more severe set of run-in conditions should be chosen, causing new asperities coming into contact and restart the run-in process, reaching a new and more complete state of run-in. This procedure is continued, until nominal operational conditions (load) are reached. Selecting a proper methodology for run-in has to be considered of purchaser, gearbox manufacturer, bearing manufacturer and lubricant supplier in a joint effort. D 2. Run-in conditions The number of cycles for the run-in procedure should be chosen sufficiently high to keep the micro contact pressure at the asperities below approximately 4 GPa at the nominal operational conditions [7.3]. The run-in conditions should be verified by tests before applying to mass production. The running-in can only take place in clean conditions. If large particles are present in the lubricant, the surfaces will never become smooth because of the indentation damage formed by over-rolling of particles. The cleanliness of the new lubricant shall be at least -/14/11 according to ISO4406. The gear shall be running at low speed and no load to rinse the housing and kept at low speed and no load until cleanliness of the lubricant has reached at least -/14/11 before applying load. The cleanliness of the lubricant shall be kept at or better than -/15/12 during the entire run-in period.
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As basis for choosing a proper run-in methodology the following may apply: 1) The first load level should be 5% of nominal load and the number of load levels should be at least 8 with a 50% increase from one level to the next. It means that the levels should be: 0.05, 0.07, 0.10, 0.15, 0.23, 0.35, 0.5, 0.75 and 1.0 times the nominal load. A suitable level at beginning of the run-in may be approximate 1. 2) The oil viscosity times the speed should be approximately 0.5 times the condition at 100% load. Thus if the run-in is carried out with the same lubricant and at the same temperature as at normal operation the speed shall be half the nominal speed. If the speed is altered, the actual flash temperature and the lubrication conditions for the bearings shall be re-calculated The lubricant shall be filtered continuously through a 6 filter or finer with a filter ratio 6 better than 75. 3) Every load level shall be run sufficient time to reduce the production of particles/unit of time to 25% of its maximum value. The lubrication conditions should be the same at all load levels. It is recommended to keep a low lubricant temperature to reduce the risk of scuffing when the running-in of gears is performed, but the viscosity times the speed must be low enough to give the desired oil film thickness expected for normal gearbox running temperatures. It is worth mentioning that the specific film thickness is calculated by means of a mean arithmetic roughness Ra or root mean square roughness Rq [7.6]. However Ra or Rq provides no information about the shape of the asperities, which in its turn has decisive influence on the micro-contact pressure. Investigations have shown that two surfaces (ground/ground and polished) can have the same roughness Ra and Rq but a very different nature of the micro-topography [7.1]. A far better approach to judge about the surface effect of run-in is to conduct a 3D surface characterisation. From this measurement a lot of useful parameters can be derived. Especially the functional parameters: Sbi, Sci and Svi provide information about features of a surface with respect to its bearing capability. [7.4] Surface bearing index Sbi indicates the effective bearing surface. The core fluid retention index Sci indicates the fluid retention in the core zone. The valley fluid retention index Svi indicates the fluid retention in the valley zone. It is therefore recommended to carry out such measurements before and after the run-in. This is to assess the run-in procedure and make it reproducible. By means of the replica-technique is it possible to take an impression of the metal surface in the field and subsequently make a 3D surface roughness measurement in the laboratory. D 3. Calculation of min. oil film thickness In order to assess the lubrication regimes and load conditions for gears and bearings it may be useful to calculate some crucial parameters such as e.g. min. lubrication film thickness hmin, the specific lubrication film thickness , the contact pressure and deformation in the contact area.
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According to [7.6] the dimensionless min. film thickness for an elliptical contact configuration can be written as: Hmin = 3.63U0.68G0.49W-0.073(1-e-0.68ke ) Where the elliptic ratio ke varies from near unity for ball on plate contact configuration to approx. 8 for a configuration approaching rectangular contact (Dy ). For ball bearings the ratio is normally approximately 8. Elliptic ratio: ke = Dy /Dx = (Ry /Rx)2/ Where Dx is the elliptical contact diameter in x-direction (direction of motion) and Dy is the elliptical contact diameter in y-direction (transverse direction) For line contact configuration we have: Hmin = 1.714U0.694G0.568W -0.128 Dimensionless film thickness: H = h/Rx Equivalent curvature: 1/Rx = 1/rax + 1/rbx 1/Ry = 1/ray + 1/rby Where r is the radius of curvature for solid a and b. Equivalent modulus of elasticity: E= 2/((1-a2)/Ea + (1-b2)/Eb) Dimensionless load parameter: Elliptic contact: Rectangular contact: W =Pz /E`Rx2 W =Pz /E`Rx
Where Pz is the applied load and Pz is the applied load per unit width Dimensionless speed parameter: U = 0u /E`Rx Where 0 is viscosity at atmospheric pressure, and u mean surface velocity Dimensionless material parameter: G = E` Where is the pressure-viscosity coefficient defined as:
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= ln( /0 )/p Where 0 is the absolute viscosity at atmospheric pressure Subsequently the min. film thickness can be written as: hmin = HminRx D 4. Calculation of max. contact pressure and deformation (simplified solution) According to [7.6] the max. contact pressure and deformation can be calculated from: Elliptical contacts: Radius ratio: r = Ry /Rx Elliptic integrals of first (F) and second (E) kinds: 1 < r < 100 F = /2 + qaln( r) E = 1 + qa / r Where: qa = ( /2) 1 0.01 < r < 1.0 F = /2 - qaln( r) E = 1 + qa r Major and minor axes of contact ellipse: Dy =2(6ke2EPR /E`)1/3 Dx =2(6EPR /ke E`)1/3 Max. contact pressure: pmax = 6P /DxDy Max. deformation: max = F((9/2ER)(P/keE)2)1/3 Rectangular contacts: Max. contact pressure: pmax = E(W/2)1/2 Max. deformation: max = (2WRx /)(ln(2/W) - 1)
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Annex F. to Section 4 of "Gearboxes" Gear calculation methodology (informative)

Two methods of durability calculation of flank and foot root are shown: the direct Miner's rule method and the KA-method. The safety S in the following represents both the safety SH for flank and the safety SF for foot (tooth root). F 1. Stress-cycle spectra From the reference spectrum, i.e. the torque load duration distribution spectrum related to the gear input shaft, a torque-cycle spectrum for the gear in question is formed, regarding gear ratios and number of meshes. Ideal distribution of torque, normally uniform, between the meshes is applied for this purpose, bearing in mind that the two meshes of an intermediate gear, i.e. a planet gear, shall be counted as one mesh only. The torque-cycle spectrum shows torque levels Ti and for each level the number of tooth contact periods Ni (cycles) as index i denotes the class number in general, figure 1.
Figure 1 - Torque-cycle spectrum From the torque-cycle spectrum stress-cycle spectra are derived (figure 3). The cycle numbers are directly transferred. With d being the pitch circle diameter of the actual gear the tangential tooth force of the i'th class related to the pitch circle is (1)
Ft i =
Ti d/2
Flank contact stress: Inserting (1) in the usual expression the stress of i'th class becomes
i = Hi =
(2)
ZBD ZH ZE Z Z
Ti u +1 K i K vi K Hi K Hi (d / 2) d1 bcom u
with the values of the load dependent K-factors of the i'th class. bcom = common face width. Foot root stress: Inserting (1) in the usual expression the stress of i'th class becomes (3)
i = Fi =
Ti YF YS Y K i K vi K Fi K Fi (d / 2) beff m n
with the values of the load dependent K-factors of the i'th class. beff= load carrying face width.
Annex F, January 2004
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F 2. Fatigue curves Fatigue curve in general
Figure 2 - Fatigue curve For both flank and foot approximations of similar shapes for the fatigue curve as shown in figure 2 are applied. In the double logarithmic coordinate system the curve for material strength A for the actual gear is represented by three straight lines (index A for Actual or Adjusted). N is the number of stress cycles in general. At the flexion points 0 (zero) and 1, the cycle numbers N = N0 and N1 are given. The corresponding strength values A0 and A1 are calculated from values of a reference gear (index T for Test gear) and adjusted for the actual gear. For the low cycle area, i.e. for N N0 the strength value is constant A = A0, hence the slope is a0 = 0. For the intermediate cycle area, i.e. for N0 < N N1, the slope of the fatigue curve is calculated, using (4)
a1 =
log A1 log A 0 log N1 log N 0
For the high cycle area, i.e. for N > N1, the slope a2 is determined by a prescribed fall of the fatigue curve for flank and foot respectively. For the area N0 < N < N1 the cycle number N corresponding to a certain stress level is found from (5) a1 = log A1 log log N1 log N
leading to the equation of the line:

p a1 A1 1 N = N1 = N1 A1 1
(6)
introducing the Whler exponent p1= 1/a1.
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Replacing a1 with a2 and p1 with p2= 1/a2 gives the equation of the inclined line for N > N1.
Fatigue curve of flank
At the transition to the high cycle area, i.e. for cycle number N1 = NH1 the value of the fatigue curve of the actual gear is (7)
A1 = HA1 = H lim Z L Z v Z R Z W Z X
For the low cycle area, i.e. for N N0 = NH0, the constant value of the fatigue curve is
(8)
A 0 = HA 0 = Hst Z W 0 Z X 0
The parameters of (7) and (8) are in accordance with ISO 6336-2 [4.2]. To distinguish between the values of ZW and ZX of the high cycle and of the low cycle area, the latter are indicated with 0 (zero) in the present document. Hlim and Hst are strength values of the fatigue curve of the reference gear. Hlim is corresponding to the cycle number N = NH1 and Hst to N NH0. Using the life factor function ZNT = ZNT(N) of the reference gear [12] Hst can be expressed as
(9)
Hst = Z NT ( N H 0 ) H lim
Example: For alloyed case hardened steel and through hardened steel, being alloyed quenched and tempered steel the load cycle numbers of the transition points are
N1 = N H1 = 5 10 7 and N 0 = N H 0 = 1 10 5
Fatigue curve of tooth root
At the transition to the high cycle area, i.e. for cycle number N1 = NF1, the value of the fatigue curve of the actual gear is (10)
A1 = FA1 = FE Y rel T YR rel T YX

For the low cycle area, i.e. for N N0 = NF0, the constant value of the fatigue curve is
(11)
A = FA 0 = Fst Y rel T 0 YR rel T 0 YX 0

The parameters of (10) and (11) are in accordance with ISO 6336-3 [4.3]. To distinguish between the values of Y relT , YRrelT and YX of the high cycle and of the low cycle area, the latter are indicated with 0 (zero) in the present document. FE and Fst are strength values of the fatigue curve of the reference gear. FE is corresponding to the cycle number N = NF1 and Fst to N NF0. Using the life factor function YNT = YNT(N) of the reference gear [G3] Fst can be expressed as
(12)
Fst = YNT ( N F0 ) FE
For intermediate gears (idler gears) with same load at both flanks, such as planet gears, the strength values FE and Fst are adjusted by the factor 0,7. Instead of this factor DNV [4.28] applies a reduction factor YM (formerly Yd) with different values of the low and high cycle area. Among other things the factor is determined in relation to the material type. In addition to the other Y-factors of the fatigue curve DNV uses the case depth factor YC with different values of the low and high cycle area. The factor ( 1) accounts for the influence of hardening depth by surface hardened root fillets (incl. nitrided, flame and induction hardened)
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Example: For alloyed case hardened steel and through hardened steel, being alloyed quenched and tempered steel, the load cycle numbers of the transition points are N1 = NF1 = 10000 and N0 = NF0 = 3106
F 3. Safety S calculated by using Miner's rule directly
Figure 3 - Stress-cycle spectrum and fatigue curve The stress-cycle-spectrum is collocated with the fatigue curve, see figure 3. The calculated safety is the factor S by which all the stresses i shall be multiplied to give a minersum equal to 1, i.e.
(13)
US =
i =1
i = i total
Ni = 1 N ASi
where NASi is the cycle number on the fatigue curve corresponding to A = S.i. Index S of . . N NASi indicates: calculated for S i ASi is calculated using the equations of the inclined lines:
(14)
S i a1 N ASi = N1 A1 S i a 2 N ASi = N1 A1
1
for A0 > S.i A1
(15)
for S.i < A1
The calculation of S has to be done in an indirect way. The procedure may start assuming S = 1. By means of (14) or (15) and the left equation of (13) a value of US is found. Classes with
i = 0 are ignored. If US < 1 then S shall be increased and vice versa. The calculation may be
done by subdividing of S. The following example for a flank illustrates the procedure.
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S 1 1,1 1,2 1,3 1,21 1,22 1,23 1,24 1,231 1,232 1,233 1,234 1,235 0,52222 0,68265 0,89024 1,15847 0,91409 0,93855 0,96364 0,98939 1,01580
US 0,00105 0,02343 0,39859 5,33398
With three decimals the calculated safety is S = 1,234 1,23 (as the corresponding US is closer to 1 than that of S = 1,235) In contradiction to a loop method the above subdivision method secures that no instability by the execution occurs. By a loop procedure an instability may be caused by the different slopes a1 and a2. Yet, if a2 = 0 is applied, also by the subdivision method in some cases it may be difficult to get near to US = 1. The problem can be solved by subdividing N of the class surrounding N = N1, or as a whole use more classes.
By calculation of S the load dependent K-factors in each class (corresponding to i) are kept constant as S expresses a strength reserve and not a torque reserve.
The calculated safety is compared with the prescribed minimum safety. If varying rotation speed the reference spectrum should be subdivided corresponding to speed and the classes marked with the speed values. The speed is taken into account by calculation of Kv and Zv. By the latter the fatigue curve for each contribution Ni / N ASi to the minersum must be adjusted according to speed.
F 4. Safety S calculated by using the KA factor Equivalent stress
(16)
N e = N1 + N 2 + N3 ...
is the total number of cycles in the design lifetime. By the definition of the equivalent stress it is assumed that the slope of the fatigue curve is constant (a1) for N > N0, i.e. a2 = a1. The equivalent stress e is then defined as a constant stress acting for the total cycle number and giving the same minersum U as the given spectrum, that is
(17)
U=
N e N1 N 2 N 3 = + + + ... N Ae N A1 N A 2 N A3
where NA1, NA2, NA3 are the cycle numbers of the fatigue curve corresponding to the stress levels 1, 2, 3 of the stress-cycle spectrum. In the same way NAe is the cycle number on the fatigue curve corresponding to e. Using (6) for determination of the NA's gives
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(18)
N e N1 A1 e
p1
N1 N1 A1 1
p1
N 2 N1 A1 2
p1
N 3 N1 A1 3
p1
+ ...
Multiplication with N1 A1 stress
p1
on both sides and lifting to power 1/p1 yields the equivalent

1 1
(19)
N p1 p1 N1 1p1 + N 2 2 p1 + N3 3p1 + ... p1 = i i e = N e N e
The application factor KA
(20)
KA =
Teq Tnom
i.e. the ratio between the equivalent torque and the torque corresponding to the nominal transmitted effect.
Equivalent torque for flank
The connection
e =
(21)
ZBD ZH ZE Z Z
Teq (d / 2) d1 bcom
u +1 K e K ve K He K He u
reflecting the usual expression for flank stress (compare (2)), defines the equivalent torque Teq = Te for flank calculation. The magnitude of the K-factors indicated with an e corresponds to the stress level of e. Insertion of (21) and (2) in (19) gives
(Teq K e K ve K He K He ) 1 2=
(22)
N i Ti K i K vi K Hi K Hi N e
1 p1 2 p1
Now, the aim of using equivalent torque and KA is to make possible relative simple and fast calculations. In accordance with this purpose the product of K-factors is considered being constant for all load levels, leading to
(23)
N i Ti p1 Teq = N e
2 p1
Now introducing a Whler exponent for torque p = p1/2 the expression becomes
(24)
N i Ti p Teq = N e
1 p
page 84 of 96
With Neq = Ne the expression is analogous with formula (21.5/1a) of [8] and (6) of [6].
Equivalent torque for tooth root
The connection (25)
e =
Teq (d / 2) beff m n
YF YS Y K e K ve K Fe K Fe
reflecting the usual expression for tooth root stress (compare (3)), defines the equivalent torque Teq = Te for foot calculation. The magnitude of the K-factors indicated with an e corresponds to the stress level of e. Insertion of (25) and (3) in (19) gives
(26)
Teq K e K ve K Fe K Fe
Ni Ti K i K vi K Fi K Fi = N e
)p ) p
l
1
1
As by the flank the product of K-factors is considered being constant for all load levels, leading to
(27)
N i Ti p Teq = N e
1 p
with p = p1. (27) is identical with (24) and analogous with formula (21.5/1a) of [4.25] and (6) of [4.26].
Number of classes for Teq
By the determination of the expression (24)/(27) for Teq the assumption of a constant slope of the fatigue curve for N > N0 was done. However, the slope value in fact changes at flexion point 1. The application of Teq and KA is connected with a constant value A1 of the fatigue curve in the high cycle area, i.e. for cycle numbers bigger than N1 of point 1. Calculating the safety S in connection with such a fatigue curve using the direct Miner's rule method, the classes contributing to an accumulated sum of cycles Ni bigger than N1 (classes right to point 1) do not contribute to the minersum US, as NASi = . Assuming the first class right to point 1 would contribute, Si of this class would be equal to A1 or bigger. However, this means that the minersum of the classes left to point 1, having higher stress levels than the class right to this point, already is bigger than 1. Consequently, by the calculation of Teq and KA the classes right to point 1 are omitted. The class surrounding point 1 is taken into account in the way that the excessive cycle numbers of this class, i.e. the numbers implying Ni > N1, are omitted. Thus, if Ni > N1, then Ne = N1 is used in formula (24)/(27). In advance, only torque classes with Ti 0,5Tnom are taken into account [4.25][4.26]. However, by wind turbines with a design lifetime of about 20 years this condition in general is fulfilled for some classes with accumulated cycle numbers Ni bigger than N1. In this case the first mentioned limitation of classes taken into account is decisive.
Whler exponent p
Values of p used for the calculation of Teq are given in [8] for different materials of flank and foot root. The values are valid for reference gears in accordance with the ZNT-function and the YNT-function, describing the shape of the fatigue curves of the reference gear (index T) for flank and foot respectively. Using these values directly no regard is taken to the Whler exponent p1 = 1/a1 of the actual gear.
Calculating S with KA
The KA values specific for
page 85 of 96
gear 1, flank gear 2, flank gear 1, foot gear 2, foot
respectively are calculated. The torque (four values) used for the gear calculation is determined by (28)
T = Teq = K A Tnom
(or the nominal effect multiplied by KA at a certain revolution speed delivers T in the gear program).
Figure 4 - Determination of safety S by the KA-method shown for Ne < N1 and Ne = N1
Using (21) for flank and (25) for foot a stress value = e is calculated. Now, when Ne = N1 the safety is calculated as (29)
S=
A1 e
see figure 4 (in which also the determination of S for Ne < N1 is illustrated).
F 5. Comparison between the direct Miner's rule method and the KA-method
The direct Miner's rule method for calculation of the gear safeties SH and SF offers some advantages in relation to the KA calculation method. By the Miner's rule method it is possible 1. to take into account the load dependency of the K-factors 2. to apply fatigue curves with declining values in the high cycle area (a2 < 0) 3. to adjust the fatigue curve (a1, p1) in accordance with the properties of the gear to be calculated (actual gear, index A) It is not possible to take into regard item number 1 and 2 by the KA-method. Item number 3 can be executed by the KA-method, but this is usually not done, as the p-value valid for the reference gear is applied. It is important to take the load dependency of the KH- and KF-factors into account, not only by a final gear calculation but particularly in the design phase of the gear transmission, thus making it possible to choose
page 86 of 96
such flank line corrections that imply optimum safeties taking into consideration the stochastic deviation of flank line direction (+/) due to manufacturing tolerances. By distributor gearboxes (torque split) the load dependency of the K-factor shall be taken into account. The calculation of SH and SF applying the Miner's rule method involves a great number of operations. Among other things the safety values are found by iteration. However, using a computer this plays no role. The introduction of the KA-method took place in the time before the computer era. At this time the method offered a good alternative to the Miner's rule method due to its smaller number of calculation operations. However it should be born in mind that the experience in the wind turbine field is gathered with gearboxes calculated by the KA-method, and it is therefore recommended to make comparative calculations to keep a safe relation to earlier calculations.
page 87 of 96
Annex H to Section 4 of "Gearboxes" Assessment of risk of micropitting (informative)

H 1. Considerations among micropitting
Micropitting is a gear flank failure with numerous small cracks (2 3 m) caused by plastic deformation of roughness peaks. The deformation is caused by local shear stress at the rough surface from high local friction forces due to mixed film conditions (specific lubricant film thickness lower than 1) in the contact points. The stress is increased due to stress concentrations at roughness peaks. When the flank is stressed repeatedly the cracks propagate into the depth of the material at an angle of 10 - 30. Due to the large number of cracks they easily merge. The consequence is a continuous loss of material, which results in profile deviation and in some cases to a progressive breakdown. Despite years of investigations, the nature of micropitting remains complex, unpredictable and difficult to control. The complexity is due to numerous influence parameters. Even small changes in one or more parameters can determine whether micropitting occurs or if it arrests after some time [4.13 4.17].
H 2. Appearance
To the naked eye micropitting appear as areas with a grey, dull or etched appearance caused by light dispersion from numerous small cracks (300 1000 cracks/mm2). In contrast, a normally run-in tooth flank will show either residual finish marks or burnishing from the gear-tooth contact. With the fine scale of damage it can be difficult to observe, unless the tooth flanks are well cleaned and intense artificial light is used. The areas of damage can be rather different from one flank to another, although sometimes they are similar on successive teeth. The phenomenon often occurs in the dedendum, but sometimes also in addendum. Often no damage is observed on the contacting gear-flank. Generally the gear with the roughest surface causes micropitting on the mating gear, especially if it is harder than the mating gear. Micropitting cracks grow opposite to the direction of sliding at the gear-flank. The slide direction reverses as the pitchline is crossed, and the cracks grow in opposite directions above and below the pitchline. Macroscopically, the surface appears glazed. Microscopically surface asperities appear plastically deformed and original machining marks may be partially or totally obliterated. It is worth mentioning that the circumstances where micropitting is observed are not unambiguous: high and low pitchline velocity high and low contact stress mineral and synthetic lubricant
H 3. Incubation, Initiation life
In addition to contact stress due to normal loading, gear tooth sliding causes shear stress at the asperities. During run-in (10,000 1,000,000 cycles) the primary damage is plastic deformation of the asperities. Plastic deformations produce residual stresses and after sufficient load cycles fatigue cracks initiate. After incubation micropits rapidly grow and merge and damage may be extensive after only 1,000,000 cycles.
Annex H, January 2004
page 88 of 96
Destructive wear is unacceptable in wind turbine gears. Therefore, the initiation life should exceed the service life. That is, the profile accuracy should not be compromised to a lower class of accuracy.
H 4. Significance
Micropitting degrades the gear tooth accuracy when it causes non-uniform wear and may cause noisy gears and increased dynamic loads. Micropitting may arrest after a time, and depending on depth and distribution of surface deterioration, it may not be considered a failure. However arrest is unpredictable, and micropitting may cause an unacceptable loss of accuracy or may lead to secondary failure modes such as macropitting, scuffing or bending fatigue.
H 5. Assessment of influence factors
For the time being, there is no recognized analytic method giving a reliable assessment of the risk of micropitting. Nevertheless, a good deal of knowledge about the influence parameters has accumulated during the last 20 years, which should be considered during the processes of design, manufacturing, run-in and operation to improve the micropitting resistance. At least the following parameters should be considered:
H 5.1 Surface topography Recent investigations show that the micro surface topography plays an important role in the development of micropitting. H 5.2 Initial roughness Normally the surface roughness of the tooth flank is defined as the mean arithmetic roughness Ra or the mean peak-to-valley roughness Rz. However, the decisive parameter is the shape of the roughness and not the mean value of peaks and valleys. That is, if a surface roughness has peaks with rounded, flat crests and lower slopes it will show better resistance against micropitting than a surface with the same Ra having steep sharp-pointed peaks. Normally the grinding process produces almost a symmetric surface profile, which in this context is not optimum.
Ra or Rz provides no information about the shape of the asperities, which in its turn has decisive influence on the micro-contact pressure. Investigations have shown that two surfaces (ground/ground and polished) can have the same roughness Ra and Rz but very different nature of the microtopography. A 3D surface measurement is a far better approach to characterize a surface. . Many useful parameters can be derived from this measurement. . Especially the functional parameters: Sbi, Sci and Svi that provide information about features of a surface with respect to its bearing capability [4.184.19]. Surface bearing index Sbi indicates the effective bearing surface. The core fluid retention index Sci indicates the fluid retention in the core zone. The valley fluid retention index Svi indicates the fluid retention in the valley zone.
The replica-technique can be used to take an impression of the metal surface in the field and subsequently make a 3D surface roughness measurement in the laboratory.
page 89 of 96
H 5.3 Persistent roughness If the peaks of surface asperities are not blunted during run-in, they continue to produce plastic deformation on asperities on mating tooth flanks and consequently promote micropitting. Wheels that experience many contacts such as sun pinion are most vulnerable to micropitting. Therefore, it is important that the mating tooth flanks are so smooth as possible. At the same time, the pinion should be approximately two HRC harder than the mating gear to blunt the peaks on the mating gear teeth. H 5.4 Measurement of surface topography Most conventional roughness analysis operates with parameters such as Ra, Rz, and CLA. which indicates only the height of the profile, whereas the decisive parameter is the local contact pressure, which depends of the shape of the asperity tips. Therefore an analysis method giving information about the profile shape is needed. H 5.5 Gear tooth finishing Different finishing processes give rise to different surfaces, which will cause different micro contact pressure despite the mean roughness (Ra) being the same. Micro contact pressures in the elastic range (approximate 4 GPa) are much less likely to cause micropitting irrespective of the value.
Consequently, either the manufacture should be improved to a standard, which will cause a lower micro contact pressure, or a run-in procedure should be adopted, which results in the same outcome.
H 5.6 Gear tooth geometry Micropitting resistance depends strongly on the gear flank geometry.
Pinions with fewer than 20 teeth and no profile shift should be avoided because they are especially sensitive to Hertzian fatigue and scuffing due to the contact occurring near the base circle where relative radius of curvature is small causing high contact stress, high negative specific sliding, high contact temperature and low . The aspect ratio b/d is a indicator of sensitivity to misalignment and should be lower than 1. for spur gears and single helical gears. Gear ratio. Gearsets with hunting ratios should be avoided. Profile shift. Normally positive profile shift will improve the micropitting resistance significantly especially for pinions with small numbers of teeth. Tooth profile modification such as tip relief, root relief and end relief should always be used to compensate for tooth deflections and manufacturing tolerances, and to reduce noise. Unfortunately, optimizing profile modification to reduce noise will cause reduced load capacity. Furthermore, the loads on a wind turbine gear are varying significantly, whereas profile correction can be designed for only one load level. Therefore, the amount and combination should be a compromise and evaluated carefully. However, tip-to-root interference shall definitely be avoided. Helix modification should always be used to compensate for torsional and bending deflections and manufacturing tolerances. Considerations are the same as for profile modification. Spur gear pinions are especially sensitive to Hertzian fatigue because they have a large variation of mesh stiffness as the contact alternates between one pair and two pairs of teeth. The time-dependent stiffness causes increased transmission error and generates dynamic loads. Micropitting is more damaging to spur gears than to helical gears because spur gears must have more accurate tooth profiles to transmit motion smoothly.
page 90 of 96
H 5.7 Speed, sliding Gear teeth both roll and slide on one another. Rolling velocity is beneficial because it entrains lubricant between contacting areas, increases oil film thickness, and reduces severity of asperity contacts. Sliding velocity on the other hand generates heat from friction and increases asperity distress.
The specific sliding ratio is the ratio between the sliding velocity and the absolute velocity in the tangent plane at the contact point: Specific sliding ratio: 1 = vg,1/w1 = 1 w2/w1 2 = vg,2/w2 = 1 w1/w2 where: vg is the sliding velocity on driving (1) and driven (2) gear respectively w is the absolute velocity in the tangent plane at the contact point on driving (1) and driven (2) gear respectively. If we introduce gy as the distance from rolling point on the pitch line to actual contact point, we have: 1,tip = 1 (sin + gy/r2)/(sin - gy/r1) 1,foot = 1 (sin - gy/r2)/(sin + gy/r1) where: is the pressure angle r1 and r2 is pitch circle radius on driving (1) and driven (2) gear respectively The specific sliding ratio ranges from zero at the rolling point to a positive value in the addendum and to a negative value in the dedendum. Experiments show areas with negative specific sliding ratio are significantly more prone to micropitting than areas with positive ratio, and a low specific sliding ratio is beneficial to micropitting resistance.
H 5.8 Load High nominal Hertzian pressure does not have a strong influence on micropitting resistance since it is the micro Hertzian pressure that is the determining stress parameter. H 5.9 Run-in It is evident that the run-in period is most critical because it is during this period that micro cracks initiate. It is generally agreed that a successful run-in significantly reduces the risk of micropitting. However, the mechanism that determines the borderline between a successful run-in and failure is not well understood. However some empirical guidelines are given in Annex D.
page 91 of 96
Annex L to Section 6 of "Gearboxes" Inspection of gearbox (informative)

Inspection of a gearbox on a wind turbine in service should at least contain the following, which shall be included in the inspection report:
L 1. Identification
Date of inspection and name of persons involved. Identification of wind turbine: Manufacture, type, serial number, date of starting operation. Identification of gearbox: Manufacture, type, serial number, date of starting operation. Identification of lubricant: Manufacture, type, date of filling. Operation details: Total production of wind turbine, operation hours, temperature of gear oil and high-speed shaft bearing (actual and maximum).
L 2. Gear meshes
Inspection details of gear meshes: For each visible pinion and wheel a description of the surface of the tooth flanks in words, and a drawing or photo illustrating the contact pattern:
Pitchline
Tooth root Rotor end
Figure L 1 example of reduced contact pattern

L 3. Bearings, lubricant and overall impression
Inspection details of visible bearings: Description of bearing: type of bearing and type of cage. Description of condition of balls, rollers, rollers cage, running surfaces, etc. Description of the appearance of the oil. If an oil sample is taken, the place from where the sample is taken is noted. Remarks to the overall impression.
L 4. Additional initiatives
Photos of the tooth flanks. Photos should always be taken, when the surface is not normal or otherwise different from expected, in order to follow the development of appearance, wear, etc. Inspection of bearings and tooth flanks with a bore scope.
See also ref. [6.1] [6.5]
Annex L, March 2004
page 92 of 96
Check sheet L 1 for inspection of gearbox

WT Manufacturer Date of inspection Page 1 of 4 WT Type/Serial No. Name of inspector
WT identification/operational details Date of starting operation Total energy production until present inspection Energy production since last inspection Max. power average Max. peak power Total number of operation hours Gearbox identification Manufacturer Type Serial No. Rated power Output speed Gear ratio Lubricant type/viscosity at 40 C Date of last lubricant shift Amount of lubricant Lubrication system Max. lubricant temperature in sump Max. lubricant temperature in HS bearings
Annex L, March 2004
page 93 of 96

Contact pattern Date of inspection Name of inspector Gear set identification Contact pattern pinion HS Gear set Page 2 of 4
Pitchline Tooth root Rotor end
Pi Tooth root Contact pattern wheel Gear set identification Contact pattern pinion Rotor end IMS Gear set
Pi Tooth root Contact pattern wheel Rotor end
Annex L, March 2004
page 94 of 96

Contact pattern Date of inspection Name of inspector Gear set identification Contact pattern pinion LS Gear set Page 3 of 4
Pi Tooth root Contact pattern wheel Gear set identification Contact pattern sun wheel Rotor end Planet gear set
Pitchline Tooth root Rotor end Contact pattern planet wheel Drive flank against sun wheel Pi Tooth root Rotor end Contact pattern planet wheel Drive flank against ring wheel Pitchline Tooth root Rotor end Contact pattern ring wheel Pitchline Tooth root Rotor end
Annex L, March 2004
page 95 of 96

Inspection of bearings Date of inspection Name of inspector Position of bearing Remarks Page 4 of 4
Inspection of lubricant
Overall impression
Annex L, March 2004
page 96 of 96

ENS Gearbox Recommendation

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Recommendation to Comply with the Technical Criteria of the Danish Wind Turbine Certification Scheme

Energistyrelsen The Danish Energy Authority

High-speed shaft High-speed intermediate shaft Low-speed intermediate shaft

High-speed intermediate shaft

Low-speed intermediate shaft

High-speed pinion High-speed intermediate wheel High-speed intermediate pinion

Low-speed intermediate pinion Low-speed wheel

Low-speed intermediate wheel

High-speed pinion Ring gear Sun wheel

High-speed intermediate wheel

High-speed intermediate pinion

Low-speed intermediate wheel

High speed bearing, R

High speed intermediate bearing, R

High speed intermediate bearing, NR

Low speed intermediate bearing, R

Low speed intermediate bearing, NR

Low speed bearing, R

Low speed bearing, NR

High speed bearing, R High speed bearing, NR

High speed intermediate bearing, R

High speed intermediate bearing, NR

Low speed intermediate bearing, NR

Low speed intermediate bearing, R

Planet carrier bearing, R Planet bearings

Planet carrier bearing, NR

Climate, operational conditions and loads

Section 2, October 2002

Section 2, October 2002

Section 2, October 2002

Section 2, October 2002

Section 2, October 2002

Gearbox housing and bearings

Section 3, November 2004

Section 3, November 2004

Section 3, November 2004

Section 3, November 2004

Section 3, November 2004

Section 3, November 2004

Section 3, November 2004

Min. difference Tbearing Toil C 20 15 10 5 5

Table 3.2 Minimum temperature differences

Section 3, November 2004

Table 3.3 Maximum contact stress equivalent load

Section 3, November 2004

Section 3, November 2004

3.4 [3.1] [3.2] [3.3] [3.4] [3.5] [3.6] [3.7] [3.8]

[3.9] [3.10] [3.11] [3.12] [3.13] [3.14] [3.15] [3.16]

Section 3, November 2004

Gear sets and shafts

nitrided steels and nitro-carburized steels

Section 4, January 2004

Section 4, January 2004

Section 4, January 2004

For more details see annex H and D

Section 4, January 2004

Section 4, January 2004

Section 4, January 2004

5.1 Lubrication regimes

5.2 Lubricating systems general

Section 5, February 2002

Section 5, February 2002