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The comparative tribological performance of a series of tapered bearings lubricated with a fully
formulated manual transmission fluid (MTF) and its PAO base oil was obtained using a KRL thrust bearing
tester. Bearing performance was based on the successful completion of an eight hour test procedure created for
the KRL tester. Optical microscopy was used to conduct textural analyses on the body contact areas of tested
rollers while X-ray photoelectron spectroscopy (XPS) depth profiles were used to collect surface film
composition at the previously mentioned contact area. The KRL results indicated that the MTF operated at lower
temperatures and performed better than the PAO. This difference was ascribed to the enhanced thermal stability
of the additive packages used in the fluid. The optical analyses detected a series of dark bands at the body
contact area of all tested rollers indicative of the presence of an EP/AW surface film. XPS depth profiles of the
base oil indicated that it generated a mixture of organic carbon and iron oxide which proved ineffective under
more severe test conditions. In contrast, the profile of the MTF included a mixture of carbonate, borate, sulfide,
phosphates and oxide throughout the film. Finally, the combination of thermal stability and EP/AW film
composition was attributed to the better performance of the MTF.
also increased the ability to correlate tribological an operating time of one hour. This break-in step
responses with the additive effects in the fluid and was necessary to prevent bearing damage and
surfaces of the tested components [9-13]. premature thermal runaway In Step 2 and Step 3, the
The aim of this paper is to present the use of speed was changed to 1500rpm and 3000rpm for a
this approach for the development of an MTF. First, 1H duration at each respective step. In Step 4, the
a KRL bearing shear stability tester was selected for speed was first decreased to 350rpm and increased
the performance testing. [8-9]. Field experience had to 450rpm for two hours. This step was designed to
shown that this method showed good correlation allow the lubricant to recover thermally before the
with actual transmission tests [1]. With additional process was repeated for the second cycle. A pass
modification of the rig, thermal stability and or fail performance rating was then assigned to the
frictional torque were also monitored and recorded. samples based on reaching the eight hour operating
Finally, surface analysis was used to verify that time limit or premature motor shutdown. The cut-
typical tribological films could be generated with off limits for motor shutdown were set at 200~ and
this approach. 5Nm for temperature and torque, respectively. This
tribological sequence is graphically shown in Figure
1.
2. E X P E R I M E N T A L
Optical microscopy and XPS were then
A PAO and its fully formulated MTF
used to analyze the surfaces of the tested bearings at
analogue used for this study were selected from a
the end of test. Optical photographs of the roller
multi blend lubricant matrix. They were designated
body (RB) were collected with a digital camera to
A and B, respectively. A was selected because of its
visualize the pre and post surface texture of the
viscosity, HVI and shear stability [3]. B was then
various rolling element components. XPS survey
formulated with a series of additive packages
scans using a PHI 5600 XPS system were first used
designed to reduce operating temperatures, promote
to obtain surface elemental compositions at the large
surface film formation, and passivate non steel based
end (LE) areas of the rollers [10]. To further probe
components. The relevant information for the two
the composition and thickness of the tribological
fluids was listed in Table 1.
films, depth profiles were then collected at the
All tribological tests were conducted with a
previously surveyed locations. Depth profiling was
Shell four-ball tester modified in accordance to the
conducted by the removal of successive film layers
DIN 51350 Part 6 procedure referred to as a KRL
with an Ar ion sputtering gun attached to the XPS
thrust-bearing rig (8-9). All tests were conducted
system at a rate of 40A/min. An indication of film
with a 40mm bore tapered bearing, a 35ml lubricant
removal was obtained once the Fe concentration
volume and a four step two cycle 8H tribological
reached a maximum value and no longer increased.
sequence. In Step 1 of the KRL test, the load was
The detectability limit for this technique is about 0.1
set at the maximum value of 5.825KN to 350rpm for
atomic percent for everything except H and He
which are not detectable.
~ . . . . . . . . . . . . . . . . . . . . .
Cycle 1 I~~ . . . . . . . . . . . Cycle 2 .................... ~
3000 ............... T r
Ii t Step3 ~I 0~--~--
Speed._
Load Step3
"-'t= 2 5 0 0 -! .........................................
e
"I~ 2000 I . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
_~ ~oo ~! ..........................
Q ~ t~ o ~ N o ~ r~ o r~ w O N O ~ r~ o ~ v~ o c~ N o
3. RESULTS & DISCUSSIONS usually is very severe and requires EP/AW additives
This section was divided into two to generate a tribological film with the proper wear
segments. In the first, explanations relating the and friction reducing characteristics to help it
recorded thermal signals and their physical meaning survive this transition. Since no failures occurred,
were presented. In the second, optical and XPS both fluids must have generated this type of
analyses of the tested components were then used to tribological film. This behavior was expected for B
complement the tribological data. but was somewhat surprising for A. However, the
literature suggests that this process could be
3.1 Tribological Results promoted by the oxidation induced polymerization
The temperature and torque results, T and of the hydrocarbons in the base oil [11]. This
M, for A and B are shown in Figures 2 and 3, explanation is plausible since no anti oxidant was
respectively. The data indicated that B successfully present in A.
passed the test while the failures for A were thermal Two different behaviors were observed
rather than torque related. The traces suggested the during Step 2. They were called regime 3 and
presence of at least four tribological regimes which regime 2 for A and B, respectively. After the speed
were directly coupled to the speed changes of the increase, the thermal traces for both tests with A
testing sequence. These regimes depicted different increased linearly until they reached the 200~ shut-
tribological interactions whether temperature and down limit. The torques also increased but levelled
torque were in or out phase with each other. off before reaching the 5Nm values. Failure was
The first regime was observed during Step temperature related and was assumed to be caused
1 or the break-in process of testing. The by two reasons. The first was due to the inability of
temperatures doubled in value from their room A to dissipate the heat induced by the speed
temperature starting points while the torque values increase. This increase must have reduced the
steadily decreased. This out of phase behavior effective fluid film in the contact zone due to higher
signified the transition point from boundary to shear forces and caused a transition from EHD to
mixed/EHD lubrication regime. It is usually the mixed or boundary lubrication mode [12]. This
point where the rib of the cone and the large end of
the roller are at their maximum contact [8-9]. It
380
recorded temperature for both tests during that Regime 4 was finally observed during the
operating time was 95~ Small spikes followed by speed decrease of Step 4. The temperatures
sharp decrease were also observed for the torque decreased to about 50~ while the torques quickly
responses. These spikes coincided with the speed doubled followed by a gradual decay to their final
increase and were related to temporary reductions in values. This process covered the entire half of the
the fluid films due to the induced high shear forces. 1H time duration and was mostly a response to the
However, unlike in A, the values decreased very speed decrease. The speed change probably forced
quickly. These sharp decreases were explained by a temporary transition from EHD to mixed
the formation of an effective surface AW film that lubrication regime which would account for the
further helped with the reduction of the heat input observed torque increase. However, the lowered
[14-15]. The observed stabilization was therefore a applied speed and load caused a decrease in the
combination of fluid thermal stability and AW film temperatures and must have reversed the contact
formation. This combination must have promoted back to the EHD regime. Torque and temperature
the transition from temporary operation in the were out of phase. This was also the first case
mixed to true operation in the EHD lubrication where temperature decreased before torque.
regime. In this regime, torque and temperature Very similar behaviors were observed
were out of phase with each other. Interestingly, during the steps of the second test cycle. However,
regime 2 like behavior was also observed for Step 3 they did not seem to have the same performance
of the test cycle. The temperature similarly doubled effects as in the first cycle since no failures were
and gradually equilibrated to a maximum value recorded for B. The obvious differences were the
around 130~ for both tests. Similar to Step 2, the absence of a torque break-in spike and regime 3.
torque spikes were related to the speed increase and Besides these two, all remaining behaviors were
their reduction to the formation of the AW film. identical to those previously observed and described
Thus, shear stability, additive composition and AW by regimes 1, 2 and 4. The explanations and
film formation were again responsible for this correlations advanced for the four observed regimes
excellent tribological behavior. However, it was are summarized in Table 2.
not clear whether the same type of AW surface
films were generated since time dependent studies
were not undertaken.
3.2 Optical and Surface Analysis showed a series of bands intertwined with
The optical and XPS analysis were then circumferential score marks along their RB areas [8-
used to confirm and differentiate the surface films 9]. They also showed a single band and a number
residing on the tested components. Optical of tangential scratches along their rib roller contact
photographs of a new roller and two used rollers areas. The orientation of these scratches was
from tests AI and BI were shown in Figure 4. suggestive of slip or misalignment in that area
When compared to the new roller, the tested rollers during testing. These bands were clearly remnants
382
of the EP/AW surface films formed by the two energies are shown in Figure 6. The figure showed
lubricants during these tests. It was not surprising binding energy, intensity and sputtering cycles as
to see heat or other failure related damage on A the X, Y and Z axes, respectively. For the Cls
since the test time was very short. binding energy, a peak at 285.2eV was observed
The profile of the LE area for the new until the 15 th cycle and a new peak at 282.3eV for
roller is shown in Figure 5. The elemental analysis the remainder of the profile. The first assignment
indicated the presence of Fe, C and O and a total suggested that the C was amorphous while the
film thickness of the order of 900A. To further second from a carbidic source [10].
probe the profile both Cls and Fe2p binding
Likewise, the Fe2p3/2 binding energy showed a composed of a mixture of amorphous C and iron
broad peak around 709eV from the surface to about oxide from its surface to a depth of about 150A.
the 15 th sputter cycle. It then shifted to 707.3eV Beyond this depth, it was most likely iron carbide
from that point until the end of the profile. The first and Fe metal expected for an austenitic type bearing
transition was assigned to an iron oxide while the steel.
second to Fe metal.
These analyses suggested that the film was
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383
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The depth profile for AI is shown in Beyond the 55 th sputter cycle, only the Fe metal
Figure 7. It indicated that the tribological film peak was visible. These results suggested that the
was of the order of 2500A and composed of Fe, C film was a mixture of a C-O rich phase and iron
O and Si. Its Cls and Fe2p binding energies, oxide to a depth of 500A. It then became mostly
shown in Figure 8, indicated that this film was iron oxide and amorphous C around 1500A. At
more complex than that of the new roller. A peak greater depths, it was mostly mixture of iron
at 286.4eV was observed until the 6 th sputter carbide and Fe metal.
cycle of the C ls binding energy. The peak These analyses partially supported the
position indicated that it belonged to organic C behavior described during tribological regimes 1
bound to O. This peak then gradually shifted to and 3. The organic carbon like phase in
the C ls 285eV and to the carbidic 282eV binding combination with the iron oxide was most likely
energies at higher sputtering cycles [10]. The the EP/AW surface film created during regime 1.
Fe2p3/2 binding energy showed a broad oxide It was effective during the break-in step but failed
peak around 710eV from the surface to about the to mitigate the high heat input experienced during
30 th sputter cycle. From that position to the 55 th regime 3.
cycle, both the oxide at 710eV and the Fe metal
peak around 707.3eV were present in the film.
'%,~
"\,.
I D o --
.--o - ,-..
",.,,.
. . . . s--
'----... ..
"-% .......
- Cls Z ~I~
9 I~
Fe2p 2p3/2
2pl/Z
~
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.~ WO- ,,,.,.... w
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385
/ ,'. ,,' , ~'"" " i' 'I" "~(~',. ".-. ;" "," .. . ' ,,
"'< Cls
I
z- t"~. ~ 'I 711:! tt
/ t1 "-
t 1--
the typical tribological film expected and reported from the boundary to the mixed/EHD lubrication
in many tribological studies [ 14-19]. It featured a mode. However, as test severity increased, the
series of phases usually associated with EP and previous combination became ineffective and the
AW activities in filed tested components. Low base oil failed the tests. The analysis for B
film thickness, 2000A for B, was obviously an indicated that it generated a fully functioning
area of concern for this type of simulation. But, it EP/AW film matching the borate, sulfide,
was clear that it was dependent on operating time. polyphosphate type chemistries required to
The XPS analysis was summarized in Table 3. transition form the boundary to a full EHD
lubrication mode in any MTF application.
4. CONCLUSIONS Finally, this work has shown that the combination
These results indicated that a combination of of lubricant design, bench testing and surface
base oil properties and effective additive selection analysis can be used for the successful
is necessary to formulate a high performing MTF. development of manual transmission fluids.
The data indicated that at low severity, the
viscometrics of the base oil and its ability to form
a surface film composed mostly of iron oxide and
amorphous C were sufficient to allow it to move
386